Introduction to LeadershipFourth Edition

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To Madison and Isla

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Introduction to LeadershipConcepts and Practice

Fourth Edition

Peter G. NorthouseWestern Michigan University

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Brief Contents1. Preface2. About the Author3. 1. Understanding Leadership4. 2. Recognizing Your Traits5. 3. Engaging Strengths6. 4. Understanding Philosophy and Styles7. 5. Attending to Tasks and Relationships8. 6. Developing Leadership Skills9. 7. Creating a Vision

10. 8. Establishing a Constructive Climate11. 9. Embracing Diversity and Inclusion12. 10. Listening to Out-Group Members13. 11. Managing Conflict14. 12. Addressing Ethics in Leadership15. 13. Overcoming Obstacles16. Glossary17. Index

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Detailed ContentsPrefaceAbout the Author1. Understanding Leadership

IntroductionLeadership Explained

“Leadership Is a Trait”“Leadership Is an Ability”“Leadership Is a Skill”“Leadership Is a Behavior”“Leadership Is a Relationship”“Leadership Is an Influence Process”

Global Leadership AttributesThe Dark Side of LeadershipLeadership Snapshot: Indra NooyiSummaryApplication

1.1 Case Study1.2 Conceptualizing Leadership Questionnaire1.3 Observational Exercise1.4 Reflection and Action Worksheet

References2. Recognizing Your Traits

IntroductionLeadership Traits Explained

IntelligenceConfidenceCharismaDeterminationSociabilityIntegrity

Leadership Snapshot: Nelson MandelaLeadership Traits in Practice

George Washington (1732–1799)Winston Churchill (1874–1965)Mother Teresa (1910–1997)Bill Gates (1955–)

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Oprah Winfrey (1954–)SummaryApplication

2.1 Case Study2.2 Leadership Traits Questionnaire2.3 Observational Exercise2.4 Reflection and Action Worksheet

References3. Engaging Strengths

IntroductionStrengths-Based Leadership Explained

Historical BackgroundIdentifying and Measuring Strengths

Strengths-Based Leadership in PracticeDiscovering Your StrengthsDeveloping Your StrengthsAddressing Your Weaknesses

Leadership Snapshot: Steve JobsRecognizing and Engaging the Strengths of OthersFostering a Positive Strengths-Based Environment

SummaryApplication

3.1 Case Study3.2 Leadership Strengths Questionnaire3.3 Observational Exercise3.4 Reflection and Action Worksheet

References4. Understanding Philosophy and Styles

IntroductionLeadership Philosophy Explained

Theory XTheory Y

Leadership Styles ExplainedAuthoritarian Leadership StyleDemocratic Leadership StyleLaissez-Faire Leadership Style

Leadership Snapshot: Victoria RansomLeadership Styles in PracticeSummaryApplication

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4.1 Case Study4.2 Leadership Styles Questionnaire4.3 Observational Exercise4.4 Reflection and Action Worksheet

References5. Attending to Tasks and Relationships

IntroductionTask and Relationship Styles Explained

Task StyleRelationship Style

Leadership Snapshot: Mick WilzTask and Relationship Styles in Practice

Task LeadershipRelationship Leadership

SummaryApplication

5.1 Case Study5.2 Task and Relationship Questionnaire5.3 Observational Exercise5.4 Reflection and Action Worksheet

References6. Developing Leadership Skills

IntroductionAdministrative Skills Explained

Administrative Skills in PracticeInterpersonal Skills Explained

Interpersonal Skills in PracticeLeadership Snapshot: Coquese WashingtonConceptual Skills Explained

Conceptual Skills in PracticeSummaryApplication

6.1 Case Study6.2 Leadership Skills Questionnaire6.3 Observational Exercise6.4 Reflection and Action Worksheet

References7. Creating a Vision

IntroductionVision Explained

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A PictureA ChangeValues

Leadership Snapshot: Rosalie GiffonielloA MapA Challenge

Vision in PracticeArticulating a VisionImplementing a Vision

SummaryApplication

7.1 Case Study7.2 Leadership Vision Questionnaire7.3 Observational Exercise7.4 Reflection and Action Worksheet

References8. Establishing a Constructive Climate

IntroductionConstructive Climate ExplainedClimate in Practice

Providing StructureClarifying NormsBuilding CohesivenessPromoting Standards of Excellence

Leadership Snapshot: Meg WhitmanSummaryApplication

8.1 Case Study8.2 Organizational Climate Questionnaire8.3 Observational Exercise8.4 Reflection and Action Worksheet

References9. Embracing Diversity and Inclusion

IntroductionDiversity and Inclusion Explained

DefinitionsBrief Historical Perspective

Inclusion FrameworkLeadership Snapshot: Ursula BurnsDiversity and Inclusion in Practice

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Model of Inclusive PracticesLeader Practices That Advance Diversity and InclusionBarriers to Embracing Diversity and Inclusion

SummaryApplication

9.1 Case Study9.2 Cultural Diversity Awareness Questionnaire9.3 Observational Exercise9.4 Reflection and Action Worksheet

References10. Listening to Out-Group Members

IntroductionOut-Group Members Explained

How Out-Groups FormThe Impact of Out-Group Members

Out-Group Members in PracticeStrategy 1: Listen to Out-Group MembersStrategy 2: Show Empathy to Out-Group MembersStrategy 3: Recognize the Unique Contributions of Out-Group MembersStrategy 4: Help Out-Group Members Feel IncludedStrategy 5: Create a Special Relationship With Out-GroupMembersStrategy 6: Give Out-Group Members a Voice andEmpower Them to Act

Leadership Snapshot: Abraham LincolnSummaryApplication

10.1 Case Study10.2 Building Community Questionnaire10.3 Observational Exercise10.4 Reflection and Action Worksheet

References11. Managing Conflict

IntroductionConflict Explained

Communication and ConflictConflict on the Content Level

Leadership Snapshot: Humaira BachalConflict on the Relational Level

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Managing Conflict in PracticeFisher and Ury Approach to ConflictCommunication Strategies for Conflict ResolutionKilmann and Thomas Styles of Approaching Conflict

SummaryApplication

11.1 Case Study11.2 Conflict Style Questionnaire11.3 Observational Exercise11.4 Reflection and Action Worksheet

References12. Addressing Ethics in Leadership

IntroductionLeadership Ethics ExplainedLeadership Ethics in Practice

1. The Character of the Leader2. The Actions of the Leader

Leadership Snapshot: Warren Buffett and Bill and MelindaGates

3. The Goals of the Leader4. The Honesty of the Leader5. The Power of the Leader6. The Values of the Leader

Culture and Leadership EthicsSummaryApplication

12.1 Case Study12.2 Sample Items From the Ethical Leadership StyleQuestionnaire12.3 Observational Exercise12.4 Reflection and Action Worksheet

References13. Overcoming Obstacles

IntroductionObstacles ExplainedOvercoming Obstacles in Practice

Obstacle 1: Unclear GoalsObstacle 2: Unclear DirectionsObstacle 3: Low Motivation

Leadership Snapshot: Bill Courtney

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Obstacle 4: Complex TasksObstacle 5: Simple TasksObstacle 6: Low InvolvementObstacle 7: Lack of a Challenge

SummaryApplication

13.1 Case Study13.2 Path–Goal Styles Questionnaire13.3 Observational Exercise13.4 Reflection and Action Worksheet

ReferencesGlossaryIndex

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Preface

Leadership is a salient topic today. Given the volatility of global eventsand our national political climate, it is even more important now than itwas when the third edition of this book was published. The public remainsfascinated by who leaders are and what leaders do. People want to knowwhat accounts for good leadership and how to become good leaders.Despite this strong interest in leadership, there are very few books thatclearly describe the complexities of practicing leadership. I have writtenIntroduction to Leadership: Concepts and Practice to fill this void.

Each chapter describes a fundamental principle of leadership and how itrelates in practice to becoming an effective leader. These fundamentals areillustrated through examples, profiles of effective leaders, and case studies.The text comprises 13 chapters: Chapter 1, “UnderstandingLeadership,” analyzes how different definitions of leadership have animpact on the practice of leadership. Chapter 2, “Recognizing YourTraits,” examines leadership traits found to be important in social scienceresearch and explores the leadership traits of a select group of historicaland contemporary leaders. Chapter 3, “Engaging Strengths,” discussesthe emerging field of strengths-based leadership, looking at how severalassessment tools can help one to recognize his or her own strengths andthose of others and then put those strengths to work as an effective leader.Chapter 4, “Understanding Philosophy and Styles,” explores how aperson’s view of people, work, and human nature forms a personalphilosophy of leadership and how this relates to three commonly observedstyles of leadership: authoritarian, democratic, and laissez-faire. Chapter5, “Attending to Tasks and Relationships,” describes how leaders canintegrate and optimize task and relationship behaviors in their leadershiprole. Chapter 6, “Developing Leadership Skills,” considers three typesof leadership skills: administrative, interpersonal, and conceptual. Chapter7, “Creating a Vision,” explores the characteristics of a vision and how avision is expressed and implemented. Chapter 8, “Establishing aConstructive Climate,” focuses on how important it is for leaders whoare running groups or organizations to provide structure, clarify norms,build cohesiveness, and promote standards of excellence. Chapter 9,“Embracing Diversity and Inclusion,” discusses the importance ofinclusive leadership and the barriers that can be encountered when trying

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to embrace diversity and inclusion. Chapter 10, “Listening to Out-Group Members,” explores the nature of out-groups, their impact, andways leaders should respond to out-group members. Chapter 11,“Managing Conflict,” addresses the question of how we can manageconflict and produce positive change. Chapter 12, “Addressing Ethics inLeadership,” explores six factors that are related directly to ethicalleadership: character, actions, goals, honesty, power, and values. Finally,Chapter 13, “Overcoming Obstacles,” addresses seven obstacles thatsubordinates may face and how a leader can help to overcome these.

New to This EditionThis edition retains the chapters of the previous edition but has beenexpanded and enhanced in several ways:

First and foremost, it includes a new chapter on diversity andinclusion that examines the nature of diversity and inclusion,provides a model of inclusive behavior, describes communicationpractices to improve inclusion, and identifies barriers to effectiveinclusive leadership.Second, this edition premieres the Ethical Leadership StyleQuestionnaire, a self-assessment instrument that allows readers tolearn what their ethical leadership behaviors tend to be. Thequestionnaire in this book is an abridged edition of a longer, morecomprehensive assessment available to readers online.Third, several chapters include a look at the dark side of leadershipin terms of the approaches explored in the book.Fourth, new case studies, examples, and research are integratedthroughout the book.Fifth, this edition includes new “Ask the Author” videos that showPeter Northouse answering student questions.

Special FeaturesIntroduction to Leadership: Concepts and Practice is designed to help thereader understand how to become a better leader. While the book isgrounded in leadership theory, it describes the basics of leadership in anunderstandable and user-friendly way. Each chapter focuses on afundamental aspect of leadership, discusses how it can be applied in real

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leadership situations, and provides a relevant profile of a leader.

Perhaps the most notable features of this book are the four appliedactivities included in every chapter, which allow the reader to exploreleadership concepts and real-world applications:

Case studies illustrate the leadership concepts discussed in thechapter. At the end of each case, thought-provoking questions helpthe reader analyze the case using ideas presented in the chapter.Self-assessment questionnaires help the reader determine his or herown leadership style and preferences. Students may want to completethis questionnaire before reading the chapter’s content. Bycompleting the questionnaire first, the reader will be more aware ofhow the chapter’s content specifically applies to his or her leadershiptendencies.Observational exercises guide the reader in examining behaviors ofleaders from his or her life experiences.Reflection and action worksheets stimulate the reader to reflect onhis or her leadership style and identify actions to take to become moreeffective.

AudienceA practice-oriented book, Introduction to Leadership: Concepts andPractice is written in a user-friendly style appropriate for introductoryleadership courses across disciplines. Specifically, it is well suited forprograms in leadership studies and leadership courses in schools ofagriculture, allied health, business, management, communication,education, engineering, military science, public administration, nursing,political science, social work, and religion. In addition, this book isappropriate for programs in continuing education, corporate training,executive development, in-service training, and government training. It isalso useful for student extracurricular activities.

Digital ResourcesSAGE coursepacks allow instructors to import high-quality onlineresources directly into Blackboard, Canvas, Moodle, or Brightspace byDesire2Learn (D2L) in an intuitive, simple format. Instructors who do not

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use an LMS platform can still access many of the online resources byvisiting edge.sagepub.com/northouseintro4e.

SAGE coursepacks include, for each chapter:

A diverse range of test items with pretests, posttests, and test banksbuilt on Bloom’s Taxonomy and AACSB standards, available withExamView test generationAssignable SAGE Premium Video (available via the interactiveeBook version, linked through SAGE coursepacks) that includesinsights from Peter G. Northouse and other leadership experts, withcorresponding multimedia assessment options that automaticallyfeed to a gradebookA comprehensive Media Guide for the video resourcesDiscussion questions to help launch classroom interactionSAGE journal articles to show how scholarship relates to chapterconceptsEditable, chapter-specific PowerPoint® slides that offer flexibilitywhen creating multimedia lecturesSample course syllabi with suggested models for structuring aleadership courseLecture notes that summarize key concepts for each chapterIdeas for class activities that can be used in class to reinforce activelearningWeb exercises that direct students to useful websites to completecreative activities and reinforce learningSuggested films to facilitate showing examples of leadership inactionCase notes that include case summaries, analyses, and sampleanswers to case questionsThe Reflection and Action Worksheets and ObservationalExercises from the text in downloadable Word document format formore flexibility in using these resourcesTables and figures from the textbook

SAGE edge for students at edge.sagepub.com/northouseintro4eenhances learning in an easy-to-use environment that offers, for eachchapter, learning objectives, action plans to track progress, mobile-friendlyflashcards and practice quizzes, SAGE Premium Video featuring authorPeter G. Northouse, additional multimedia resources, and selected SAGE

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journal articles to strengthen learning.

Interactive eBookAn interactive eBook version of the text is available for students to providea contemporary, multimedia-integrated presentation for learning. Inaddition to a fully electronic textbook, students can link directly to “Askthe Author” video, audio, additional enrichment readings from SAGEjournals titles, and other relevant resources, bringing the subject matter tolife in a way a traditional print text cannot.

The interactive eBook features exclusive Interactive LeadershipAssessments to help students strengthen their leadership abilities byproviding them with individualized feedback based on their responses toeach questionnaire. After completing each questionnaire, a student usingthe interactive eBook will receive an in-depth analysis of her or his scoresas well as personalized, pragmatic suggestions for further developing heror his leadership.

You can find the eBook icons in the print and electronic versions of thetext. Below is a guide to the icons:

“Ask the Author” video icon

SAGE journal article icon

Video icon

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Web icon

AcknowledgmentsI would like to express my appreciation to many individuals who directlyor indirectly played a role in the development of this book. First, I wouldlike to thank the many people at SAGE Publications, in particular myeditor, Maggie Stanley, who along with her leadership team (Liz Thornton,Lauren Holmes, Neda Dallal, Katie Ancheta, Ashlee Blunk, GeorgiaMclaughlin, and Gail Buschman) has competently guided this revisionfrom the beginning review phase through the production phase. Inaddition, I would like to thank copy editor Melinda Masson and productioneditor Libby Larson. In their own unique ways, each of these people madevaluable contributions that enhanced the overall quality of the book.Collectively, they are an extraordinary team that demonstrates the veryhighest standards of excellence in all that they do.

For their thoughtful and constructive feedback on this latest edition, Iwould like to thank the following reviewers:

Jens Beyer, Hochschule Anhalt Standort BernburgCarl Blencke, University of Central FloridaRoger Clark, NWN CorporationDan Cunningham, McDaniel CollegeD. Keith Gurley, University of Alabama at BirminghamSat Ananda Hayden, University of Southern MississippiSharon Kabes, Southwest Minnesota State UniversityLorin Leone, Independence UniversityDouglas Micklich, Illinois State UniversityBryan Patterson, Johnson C. Smith University, NortheasternUniversityRobert W. Robertson, Independence UniversityLou L. Sabina, Stetson UniversityStephanie Schnurr, University of WarwickDouglas Threet, Foothill CollegeSimone Wesner, Birkbeck, University of LondonPaula White, Independence UniversityCecilia Williams, Independence University

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For comprehensive reviews of past editions, I would like to thank thefollowing reviewers:

Maureen Baldwin, Saint Ambrose UniversityBarry L. Boyd, Texas A&M UniversitySusan Bramlett Epps, East Tennessee State UniversityLinda L. Brennan, Mercer UniversityShannon Brown, Benedictine UniversityLisa Burgoon, University of Illinois at Urbana-ChampaignTom Butkiewicz, University of RedlandsPatricia Cane, Klamath Community CollegeStephen C. Carlson, Piedmont CollegeMelissa K. Carsten, Winthrop UniversityJames R. “Chip” Coldren Jr., Governors State UniversityBarbara Collins, Cabrini CollegeStacey A. Cook, College of MarinRonald J. Cugno, Nova Southeastern UniversityGreg Czyszczon, James Madison UniversityDouglas Davenport, Truman State UniversityEdward Desmarais, Salem State CollegeMarco Dowell, California State University, Dominguez HillsTiffany Erk, Ivy Tech Community College of IndianaLeon Fraser, Rutgers Business SchoolJim Fullerton, Idaho State UniversityJennifer Garcia, Saint Leo UniversityDon Green, Lincoln Christian UniversityFrancesca Grippa, Northeastern UniversityYael Hellman, Woodbury UniversityVanessa Hill, University of Louisiana at LafayetteMartha A. Hunt, NHTI—Concord’s Community CollegeJean Gabriel Jolivet, Southwestern CollegeRuth Klein, Le Moyne CollegeRenee Kosiarek, North Central CollegeRobert Larison, Eastern Oregon UniversityKaren A. Longman, Azusa Pacific UniversityMaureen Majury, Bellevue Community CollegeJames L. Morrison, University of DelawareTerry W. Mullins, University of North Carolina at GreensboroJane Murtaugh, College of DuPageJoanne E. Nottingham, University of North Carolina, Wilmington

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Ramona Ortega-Liston, University of AkronRon Parlett, Nova Southeastern UniversityBruce Peterson, Sonoma State UniversityJoseph W. T. Pugh, Immaculata UniversityDeana Raffo, Middle Tennessee State UniversityMelody Rawlings, Northern Kentucky UniversityBronte H. Reynolds, California State University, NorthridgeLouis Rubino, California State University, NorthridgeLaurie A. Schreiner, Azusa Pacific UniversityThomas Shields, University of RichmondPearl Sims, Peabody College of Vanderbilt UniversityBruce Tucker, Santa Fe Community CollegeMary Tucker, Ohio UniversityJohn Tummons, University of MissouriSameer Vaidya, Texas Wesleyan UniversityNatalie N. Walker, Seminole State CollegeAmy Wilson, University at BuffaloLaurie Woodward, University of South Florida

Critiques by these reviewers were invaluable in helping to focus mythinking and writing during the revision process.

I would like to thank Dr. Bernardo Ferdman for his helpful comments andsuggestions on the “Embracing Diversity and Inclusion” chapter, andTerry Hammink for his assistance in the construction and scoring of theEthical Leadership Style Questionnaire and James Ludema for his support.

For their outstanding work in developing creative resources for thisedition, I am grateful to Isolde Anderson of Hope College, MatthewCreasy of the University of Delaware, Jeff Paul of the University of Tulsa,Lou Sabina of Stetson University, Andrea Smith-Hunter of Siena College,and Douglas Threet of Foothill College.

Finally, I wish to thank Marie Lee for her thorough editing andcommitment and Laurel Northouse for her editorial insights andextraordinary support. It takes a lot of dedicated people to write a book,and I feel fortunate to have those people in my life.

In the electronic edition of the book you have purchased, there are severalicons that reference links (videos, journal articles) to additional content.

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Though the electronic edition links are not live, all content referenced maybe accessed at edge.sagepub.com/northouseintro4e . This URL is referencedat several points throughout your electronic edition.

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About the Author

Peter G. Northouse,PhD, is Professor Emeritus of Communication in the School ofCommunication at Western Michigan University. In addition topublications in professional journals, he is the author of Leadership:Theory and Practice (now in its seventh edition) and coauthor ofHealth Communication: Strategies for Health Professionals (now inits third edition) and Leadership Case Studies in Education. Hisscholarly and curricular interests include models of leadership,

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leadership assessment, ethical leadership, and leadership and groupdynamics. For more than 30 years, he has taught undergraduate andgraduate courses in leadership, interpersonal communication, andorganizational communication on both the undergraduate andgraduate levels. Currently, he is a consultant and lecturer on trends inleadership research, leadership development, and leadershipeducation. He holds a doctorate in speech communication from theUniversity of Denver, and master’s and bachelor’s degrees incommunication education from Michigan State University.

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1 Understanding Leadership

IntroductionThis book is about what it takes to be a leader. Everyone, at some time inlife, is asked to be a leader, whether to lead a classroom discussion, coacha children’s soccer team, or direct a fund-raising campaign. Manysituations require leadership. A leader may have a high profile (e.g., anelected public official) or a low profile (e.g., a volunteer leader in BigBrothers Big Sisters), but in every situation there are leadership demandsplaced on the individual who is the leader. Being a leader is challenging,exciting, and rewarding, and carries with it many responsibilities. Thischapter discusses different ways of looking at leadership and their impactson what it means to be a leader.

What is Leadership?

Leadership ExplainedAt the outset, it is important to address a basic question: What isleadership? Scholars who study leadership have struggled with thisquestion for many decades and have written a great deal about the natureof leadership (Antonakis, Cianciolo, & Sternberg, 2004; Bass, 1990;Conger & Riggio, 2007). (See Box 1.1.)

In leadership literature, more than 100 different definitions of leadershiphave been identified (Rost, 1991). Despite these many definitions, anumber of concepts are recognized by most people as accurately reflectingwhat it is to be a leader.

Leadership Basics

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“Leadership Is a Trait”First, leadership is thought of as a trait. A trait is a distinguishing qualityof an individual, which is often inherited. Defining leadership as a traitmeans that each individual brings to the table certain qualities thatinfluence the way he or she leads. Some leaders are confident, some aredecisive, and still others are outgoing and sociable. Saying that leadershipis a trait places a great deal of emphasis on the leader and on the leader’sspecial gifts. It follows the often-expressed belief “leaders are born, notmade.” Some argue that focusing on traits makes leadership an elitistenterprise because it implies that only a few people with special talentswill lead. Although there may be some truth to this argument, it can alsobe argued that all of us are born with a wide array of unique traits and thatmany of these traits can have a positive impact on our leadership. It alsomay be possible to modify or change some traits.

Through the years, researchers have identified a multitude of traits that areassociated with leadership. In Chapter 2 we will discuss some keyleadership traits, and in Chapter 3 we will explain how strength-basedleadership is a variation of trait leadership. Although there are manyimportant leadership traits, what is most important for leaders is having therequired traits that a particular situation demands. For example, a chaoticemergency room at a hospital requires a leader who is insightful anddecisive and can bring calm to the situation. Conversely, a high schoolclassroom in which students are bored demands a teacher who is inspiringand creative. Effective leadership results when the leader engages the righttraits in the right place at the right time.

“Leadership Is an Ability”In addition to being thought of as a trait, leadership is conceptualized as anability. A person who has leadership ability is able to be a leader—that is,has the capacity to lead. While the term ability frequently refers to anatural capacity, ability can be acquired. For example, some people arenaturally good at public speaking, while others rehearse to becomecomfortable speaking in public. Similarly, some people have the naturalphysical ability to excel in a sport, while others develop their athleticcapacity through exercise and practice. In leadership, some people havethe natural ability to lead, while others develop their leadership abilities

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through hard work and practice.

Box 1.1 The Evolution of Leadership

Leadership has long intrigued humankind and has been the topic ofextensive literature for centuries. The earliest writings includephilosophies of leadership such as Machiavelli’s The Prince(1531/2005) and biographies of great leaders. With the development ofthe social sciences during the 20th century, inquiry into leadershipbecame prolific. Studies on leadership have emerged from everydiscipline “that has had some interest in the subject of leadership:anthropology, business administration, educational administration,history, military science, nursing administration, organizationalbehavior, philosophy, political science, public administration,psychology, sociology, and theology” (Rost, 1991, p. 45).

As a result, there are many different leadership approaches and theories.While the words are often used interchangeably, approaches andtheories are different conceptually. An approach is a general way ofthinking about a phenomenon, not necessarily based on empiricalresearch. A theory usually includes a set of hypotheses, principles, orlaws that explain a given phenomenon. Theories are more refined andcan provide a predictive framework in analyzing the phenomenon. Forexample, the spiritual leadership approach is a conceptualization ofleadership that does not yet have a body of empirical research tovalidate it, while contingency leadership theory has a refined set ofpropositions based on the results of multiple research studies.

Not unlike fashion, approaches to leadership have evolved, changedfocus and direction, and built upon one another during the past century.To understand this evolution, a brief historical view can be helpful:

Trait ApproachThe early trait approach theories were called “Great Man” theoriesbecause they focused on identifying the innate qualities andcharacteristics possessed by great social, political, and military leaderssuch as Catherine the Great, Mohandas Gandhi, Abraham Lincoln,Moses, and Joan of Arc. Studies of leadership traits were especiallystrong from 1900 to the early 1940s and enjoyed a renewed emphasisbeginning in the 1970s as researchers began to examine visionary andcharismatic leadership. In the 1980s, researchers linked leadership tothe “Big Five” personality factors while interest in emotional

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intelligence as a trait gained favor in the 1990s. (For a discussion ofemotional intelligence as a leadership skill, see Chapter 6, pages 126–127.)

Behavior ApproachIn the late 1930s, leadership research began to focus on behavior—whatleaders do and how they act. Groundbreaking studies by researchers atThe Ohio State University and the University of Michigan in the 1940sand 1950s analyzed how leaders acted in small group situations.Behavior approach theories hit their heyday in the early 1960s withBlake and Moulton’s (1964) work exploring how managers use taskand relationship behaviors in the organizational setting.

Situational ApproachThe premise of this approach is that different situations demanddifferent kinds of leadership. Serious examination of situationalapproach theories began in the late 1960s by Hersey and Blanchard(1969) and Reddin (1967). Situational approaches continued to berefined and revised from the 1970s through the 1990s (Vecchio, 1987).One of these, path–goal theory, examines how leaders use employeemotivation to enhance performance and satisfaction. Another approach,contingency theory, focuses on the match between the leader’s styleand specific situational variables.

Relational ApproachIn the 1990s, researchers began examining the nature of relationsbetween leaders and followers. This research ultimately evolved intothe leader–member exchange (LMX) theory. LMX theory predictsthat high-quality relations generate more positive leader outcomes thanlow-quality relations. Research in the relational approach toleadership continues to generate moderate interest today.

“New Leadership” ApproachWhen these approaches began appearing in the mid-1980s—threedecades ago—they were, and continue to be, called “new leadership”approaches (Bryman, 1992). Beginning with the work of Bass (1985,1990), leadership studies generated visionary or charismatic leadershiptheories. From these approaches developed transformational

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leadership theory, which describes leadership as a process thatchanges people and organizations.

Emerging Leadership ApproachesA diverse range of approaches to leadership is emerging during the 21stcentury:

Adaptive leadership examines how leaders help people addressproblems, face challenges, and adapt to change. Adaptiveleadership stresses that the leaders don’t solve the problems, butrather encourage others to do the problem solving and adapt tochange.Authentic leadership is an approach that looks at the authenticityof leaders and their leadership and is currently enjoying stronginterest.Spiritual leadership considers how leaders use values, a sense of“calling,” and membership to motivate followers.Servant leadership emphasizes the “caring principle” withleaders as “servants” who focus on their followers’ needs in orderto help these followers become more autonomous, knowledgeable,and like servants themselves.Gender-based studies, which have gained much momentum aswomen continue to become more dominant in the workforce,especially on a global level, view how one’s gender affects anddifferentiates one’s leadership.

The historical timeline in Figure 1.1 is not intended to represent theseapproaches as separate and distinct eras, only to disappear from thepicture when a new theory appears. Instead, many of these theoriesoccur concurrently, building upon one another. Even when a certainapproach’s period of popularity has waned, the theory continues toinfluence further study and the development of new leadershipapproaches.

Figure 1.1 Development of Leadership Theories Through History

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Source: Adapted from Antonakis, J., Cianciolo, A. T., & Sternberg,R. J. (Eds.). (2004). The nature of leadership. Thousand Oaks, CA:Sage, p. 7.

Key Theories

An example of leadership as ability is the legendary University ofCalifornia at Los Angeles basketball coach John Wooden, whose teamswon seven consecutive National Collegiate Athletic Association titles.Described first as a teacher and then as a coach, Wooden implementedfour laws of learning into his coaching: explanation, demonstration,imitation, and repetition. His goal was to teach players how to do the rightthing instinctively under great pressure. Less visible or well known, butalso an example of leadership as ability, is the unheralded but highlyeffective restaurant manager who, through years of experience andlearning, is able to create a successful, award-winning restaurant. In bothof these examples, it is the individuals’ abilities that create outstandingleadership.

“Leadership Is a Skill”Third, leadership is a skill. Conceptualized as a skill, leadership is acompetency developed to accomplish a task effectively. Skilled leaders arecompetent people who know the means and methods for carrying out their

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responsibilities. For example, a skilled leader in a fund-raising campaignknows every step and procedure in the fund-raising process and is able touse this knowledge to run an effective campaign. In short, skilled leadersare competent—they know what they need to do, and they know how to doit.

Describing leadership as a skill makes leadership available to everyonebecause skills are competencies that people can learn or develop. Evenwithout natural leadership ability, people can improve their leadership withpractice, instruction, and feedback from others. Viewed as a skill,leadership can be studied and learned. If you are capable of learning fromexperience, you can acquire leadership.

“Leadership Is a Behavior”Leadership is also a behavior. It is what leaders do when they are in aleadership role. The behavioral dimension is concerned with how leadersact toward others in various situations. Unlike traits, abilities, and skills,leadership behaviors are observable. When someone leads, we see thatperson’s leadership behavior.

Leadership Behaviors

Research on leadership has shown that leaders engage primarily in twokinds of general behaviors: task behaviors and process behaviors. Taskbehaviors are used by leaders to get the job done (e.g., a leader preparesan agenda for a meeting). Process behaviors are used by leaders to helppeople feel comfortable with other group members and at ease in thesituations in which they find themselves (e.g., a leader helps individuals ina group to feel included). Since leadership requires both task and processbehaviors, the challenge for leaders is to know the best way to combinethem in their efforts to reach a goal.

“Leadership Is a Relationship”Another, and a somewhat unusual, way to think about leadership is as a

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relationship. From this perspective, leadership is centered on thecommunication between leaders and followers rather than on the uniquequalities of the leader. Thought of as a relationship, leadership becomes aprocess of collaboration that occurs between leaders and followers (Rost,1991). A leader affects and is affected by followers, and both leader andfollowers are affected in turn by the situation that surrounds them. Thisapproach emphasizes that leadership is not a linear one-way event, butrather an interactive event. In traditional leadership, authority is often topdown; in the interactive type of leadership, authority and influence areshared. When leadership is defined in this manner, it becomes available toeveryone. It is not restricted to the formally designated leader in a group.

Leadership and Change

Thinking of leadership as a relationship suggests that leaders must includefollowers and their interests in the process of leadership. A leader needs tobe fully aware of the followers and the followers’ interests, ideas,positions, attitudes, and motivations. In addition, this approach has anethical overtone because it stresses the need for leaders to work withfollowers to achieve their mutual purposes. Stressing mutuality lessens thepossibility that leaders might act toward followers in ways that are forcedor unethical. It also increases the possibility that leaders and followers willwork together toward a common good (Rost, 1991).

“Leadership Is an Influence Process”A final way of thinking about leadership is as an influence process. This isthe perspective that will be emphasized in this book.

Leadership is a process whereby an individual influences agroup of individuals to achieve a common goal.

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Leadership Development

Defining leadership as an influence process means that it is not a trait or anability that resides in the leader, but rather an interactive event that occursbetween the leader and the followers. Influence is central to the process ofleadership because leaders affect followers. Leaders direct their energiestoward influencing individuals to achieve something together. Stressingcommon goals gives leadership an ethical dimension because it lessens thepossibility that leaders might act toward followers in ways that usecoercion or are unethical.

Finally, in explaining what leadership is, it is important to make adistinction between leadership and management. In discussing whatleadership is and can be, the concepts of leadership and managementsometimes overlap. Both leadership and management involve influence,but leadership is about seeking constructive change, and management isabout establishing order. For example, it is often said that “managers arepeople who do things right, and leaders are people who do the right thing.”Since both leaders and managers are engaged in influencing people towardgoal accomplishment, our discussion in this book will treat the roles ofmanagers and leaders similarly and not emphasize the differences betweenthem.

Global Leadership AttributesWe probably all wonder at the differences in leadership around the world.Why do some countries gravitate toward the distributed leadership of ademocracy, while others seem content with the hierarchical leadership of amonarchy or dictatorship? The definition and concepts of leadershipoutlined in this chapter are from an American perspective. If you were totravel to nations across the world, you would no doubt encounter differentviews of leadership specific to those ethnic and political cultures.

Universal Leadership Attributes

In 2004, Robert House led a group of 160 researchers in an ambitious

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study to increase our understanding of the impact culture has on leadershipeffectiveness. The GLOBE (Global Leadership and OrganizationalBehavior Effectiveness) studies drew on the input of 17,000 people in 62countries in determining how leadership varies across the world. Amongthe many findings generated by the GLOBE studies was the identificationof positive and negative leadership characteristics that are universallyaccepted worldwide (see Table 1.1).

Table 1.1 Universal Leadership AttributesTable 1.1 Universal Leadership Attributes

Positive Leader Attributes

Trustworthy

Foresighted

Positive

Builds confidence

Intelligent

Win-win problem solver

Administratively skilled

Excellence oriented

Just

Plans ahead

Dynamic

Motivational

Decisive

Communicative

Coordinator

Honest

Encouraging

Motivator

Dependable

Effective bargainer

Informed

Team builder

Negative Leader Attributes

Loner

Irritable

Ruthless

Asocial

Nonexplicit

Dictatorial

Noncooperative

Egocentric

Source: Adapted from House, R. J., Hanges, P. J., Javidan, M., Dorfman, P. W., &Gupta, V. (Eds.). (2004). Culture, leadership, and organizations: The GLOBE study of62 societies. Thousand Oaks, CA: Sage, pp. 677–678. Reprinted with permission.

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The Dark Side of LeadershipThose same characteristics and behaviors that distinguish leadership canalso be used by leaders in nonpositive ways (Conger, 1990). The dark sideof leadership is the destructive side of leadership where a leader uses hisor her influence or power for personal ends. Lipman-Blumen (2005)suggests that such leaders are “toxic,” where their leadership leaves theirfollowers worse off than they found them, often violating the basic humanrights of others and playing to their followers’ basest fears. Darkleadership is able to thrive when three conditions exist, according toPadilla, Hogan, and Kaiser (2007): a destructive leader, susceptiblefollowers, and a conducive environment. Destructive leaders will prevailwhen the checks and balances of an organization are weak and the rules ofthe institution are ineffective. While many cite Adolf Hitler as the primeexample of the dark side of leadership, there are many current examples inthe world today from the regime of Bashar al-Assad in Syria, whoseleadership has led to violent civil war that has left hundreds of thousandsdead, to religious extremist groups, such as ISIS and al-Qaeda, who usetheir followers to engage in mass murder of innocents.

The Dark Side of Leadership

The meaning of leadership is complex and includes many dimensions. Forsome people, leadership is a trait or an ability, for others it is a skill or abehavior, and for still others it is a relationship or a process. In reality,leadership probably includes components of all of these dimensions. Eachdimension explains a facet of leadership.

Destructive Leadership

In considering these various definitions of leadership and based on theresults of your Conceptualizing Leadership Questionnaire (page 14),which dimension seems closest to how you think of leadership? Howwould you define leadership? Answers to these questions are important

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because how you think about leadership will strongly influence how youpractice leadership.

There is a strong demand for effective leadership in society today. Thisdemand exists at the local and community levels, as well as at the nationallevel, in this country and abroad. People feel the need for leadership in allaspects of their lives. They want leaders in their personal lives, at school,in the work setting, and even in their spiritual lives. Everywhere you turn,people are expressing a need for strong leadership.

When people ask for leadership in a particular situation, it is not alwaysclear exactly what they want. For the most part, however, they wanteffective leadership. Effective leadership is intended influence that createschange for the greater good. Leadership uses positive means to achievepositive outcomes. Furthermore, people want leaders who listen to andunderstand their needs and who can relate to their circumstances. Thechallenge for each of us is to be prepared to lead when we are asked to bethe leader.

Leadership Snapshot: Indra Nooyi, CEO, PepsiCo

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Mark Wilson/Staff/Getty Images News/Getty Images

The daughter of a conservative, middle-class family in southern India,Indra Nooyi didn’t seem destined to one day run one of the world’slargest snack food and beverage companies. But Nooyi does just that asthe CEO and president of PepsiCo, making her one of the top femaleexecutives in the United States and probably the highest-rankingwoman of Indian heritage in corporate America.

Nooyi, who grew up in Madras (now Chennai), India, admits shealways pushed social conventions. She played on an all-girls cricketteam and was a guitarist in a rock band at a time when it was deemedinappropriate for Indian girls to do such things. Despite graduating fromcollege with bachelor’s degrees in chemistry, math, and physics from

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Madras Christian College in 1974 and a master of businessadministration from the Indian Institute of Management Calcutta, Nooyiwas reportedly remembered for being only a “mediocre student”(Pandey, 2006).

Nooyi’s first job after college was for Tootal, a British textile companyin India, but she was hired away as a brand manager for Johnson &Johnson to oversee the company’s Stayfree account in India. It was ajob that would have challenged the most seasoned marketing executivebecause, at the time, advertising women’s feminine products was notallowed in her country (Murray, 2004).

By 1978, Nooyi felt she needed more preparation for the business worldand applied to and was accepted to the Yale School of Management inthe United States. To her surprise, her parents agreed to let her go,although it would essentially make her an unmarriageable commodityin her culture. She received financial aid from Yale, but still struggledto make ends meet, working as an overnight receptionist. She didn’thave the money to buy a business suit, so she wore her traditional sarito work and later in job interviews, choosing to be herself rather thanadhere to expected cultural norms.

Nooyi did not earn an MBA from Yale, choosing instead to get amaster’s degree in public and private management. Her first jobs aftergraduation were for the prestigious Boston Consulting Group andMotorola. In 1990, she joined ASEA Brown Boveri (ABB), a Swiss-Swedish industrial conglomerate. Her success in directing ABB’s NorthAmerican operations caught the attention of PepsiCo CEO WayneCalloway who wooed her away to become his company’s chiefstrategist.

Nooyi quickly left her mark at PepsiCo. She was the chief deal makerfor two of PepsiCo’s most important acquisitions: the Tropicana orangejuice brand in 1998 and Quaker Oats in 2001. The Quaker Oats dealadded a huge range of cereals and snack foods to the PepsiCo empire.Nooyi also helped the company acquire beverage maker SoBe, beatingout a competing offer from Coca-Cola. Her deal-making talentselevated her to the job of PepsiCo’s chief financial officer in 2000, anda year later she was given the title of president.

Nooyi’s vision for PepsiCo—that “for any part of the day, we will havea little snack for you” (Byrnes, 2001)—has been implemented throughdevelopment of new products and acquisitions. The company now sellsa wide range of foods and beverages from Cap’n Crunch and Doritos toMountain Dew and Gatorade. The company’s 18 brands are sold in 200

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countries, and it employs 198,000 people worldwide.

But the strategist in Nooyi has also foreseen the effect that growinglifestyle diseases such as obesity could have on her company. Again,she has chosen to follow an unconventional path, looking to createhealthier products in an industry dominated by salt, fat, and sugar. Sheinvested heavily in the creation of a research and development lab thattook five years to complete, drawing criticism from stockholders andindustry analysts. So far, the investment has had some success: PepsiCointroduced a “mid-calorie” cola, Pepsi True, which has 30% less sugarand uses stevia extract instead of artificial sweeteners, and has createdpotato chips that taste just as salty as the original but have less sodium.The company has also introduced a new line of craft sodas calledStubborn Soda, which contain natural flavors and sugarcane instead ofhigh-fructose corn syrup.

SummaryAll of us at some time in our lives will be asked to show leadership. Whenyou are asked to be the leader, it will be both demanding and rewarding.How you approach leadership is strongly influenced by your definitions ofand beliefs about leadership. Through the years, writers have definedleadership in a multitude of ways. It is a complex, multidimensionalprocess that is often conceptualized in a variety of ways by differentpeople. Some of the most common ways of looking at leadership are as atrait, as an ability, as a skill, as a behavior, as a relationship, and as aprocess. The way you think about leadership will influence the way youpractice leadership.

Glossary Termsability 2adaptive leadership 4approach 3authentic leadership 4behavior approach 3“Big Five” personality factors 3contingency theory 4dark side of leadership 9emotional intelligence 3

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gender-based studies 4“Great Man” theories 3leader–member exchange (LMX) theory 4leadership 7path–goal theory 4process behaviors 6relational approach 4relationship behaviors 3servant leadership 4situational approach 4skill 5spiritual leadership 4task behaviors 3, 6theory 3trait 2trait approach 3transformational leadership theory 4

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Application

1.1 Case Study: King of the HillDenny Hill’s career as a high school swimming coach didn’t start outwell. The seniors on his team quit in the first season because herequired them to come to all the workouts. The team only won threemeets the whole season. That was 40 years ago. Since that time, thehigh school chemistry teacher’s success as a swimming coach has beenextraordinary; his winnings include more than 900 boys’ and girls’ dualmeets and a phenomenal 31 state titles.

Denny is noted for creating a team effort out of what is usually

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considered an individual sport. He begins every season with a teamsleepover, followed by “Hell Week,” a two-week grueling regimen inwhich team members swim at least 5 miles a workout and 10 miles aday. He acknowledges this is a bonding experience for the swimmers,regardless of their skill, because they are “all in the same boat.”

Denny passes the mantle of leadership onto his team members. Seniorsare expected to be mature leaders who inform the freshmen of the teamgoals and expectations. Juniors are to be role models, while sophomoresserve as quiet leaders who are still learning but have a foundation in theteam culture. Even the freshmen members have a job: They are requiredto pay attention to the coaches and other team members as they learnthe team’s culture and what’s expected.

Denny holds a 20-minute team meeting each Monday where everymember has the opportunity to present a rose or a complaint to anyoneon the team including the coaches. He is tough on swimmers and makesthem work, but when they need support he is always there to put an armaround them. Denny also uses humor, often making jokes that help takethe edge off long, hard workouts.

And despite his teams’ successes, Denny isn’t about winning; he’s moreabout preparing to win—telling his swimmers that by preparing to win,everything takes care of itself. When you do win, he says, you’ve doneit the right way.

Questions

1. What leadership traits account for Denny Hill’s success?2. How would you describe Denny Hill’s leadership abilities?3. Leadership includes administrative skills, interpersonal skills, and

conceptual skills. How does Denny Hill stack up on these skills?4. How does Denny Hill integrate task and relationship behaviors in

his leadership?5. From a relational perspective, how would you describe Denny

Hill’s leadership?6. In what way does Denny Hill’s coaching exemplify leadership as

an influence process?

1.2 Conceptualizing Leadership Questionnaire

Purpose

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1. To identify how you view leadership2. To explore your perceptions of different aspects of leadership

Directions

1. Consider for a moment your own impressions of the wordleadership. Based on your experiences with leaders in yourlifetime, what is leadership?

2. Using the scale below, indicate the extent to which you agree ordisagree with the following statements about leadership.

Statement Stronglydisagree

Disagree Neutral Agree Stronglyagree

1. When Ithink ofleadership, Ithink of aperson withspecialpersonalitytraits.

1 2 3 4 5

2. Much likeplaying thepiano ortennis,leadership is alearned ability.

1 2 3 4 5

3. Leadershiprequiresknowledgeand know-how.

1 2 3 4 5

4. Leadershipis about whatpeople dorather thanwho they are.

1 2 3 4 5

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5. Followerscan influencethe leadershipprocess asmuch asleaders.

1 2 3 4 5

6. Leadershipis about theprocess ofinfluencingothers.

1 2 3 4 5

7. Somepeople areborn to beleaders.

1 2 3 4 5

8. Somepeople havethe naturalability to beleaders.

1 2 3 4 5

9. The key tosuccessfulleadership ishaving theright skills.

1 2 3 4 5

10. Leadershipis bestdescribed bywhat leadersdo.

1 2 3 4 5

11. Leadersand followersshare in theleadershipprocess.

1 2 3 4 5

12. Leadership

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is a series ofactionsdirectedtowardpositive ends.

1 2 3 4 5

13. A personneeds to havecertain traits tobe an effectiveleader.

1 2 3 4 5

14. Everyonehas thecapacity to bea leader.

1 2 3 4 5

15. Effectiveleaders arecompetent intheir roles.

1 2 3 4 5

16. Theessence ofleadership isperformingtasks anddealing withpeople.

1 2 3 4 5

17. Leadershipis about thecommonpurposes ofleaders andfollowers.

1 2 3 4 5

18. Leadershipdoes not relyon the leaderalone but is aprocessinvolving the

1 2 3 4 5

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leader,followers, andthe situation.

19. Peoplebecome greatleadersbecause oftheir traits.

1 2 3 4 5

20. People candevelop theability to lead.

1 2 3 4 5

21. Effectiveleaders havecompetenceandknowledge.

1 2 3 4 5

22. Leadershipis about howleaders workwith people toaccomplishgoals.

1 2 3 4 5

23. Effectiveleadership isbest explainedby the leader–followerrelationship.

1 2 3 4 5

24. Leadersinfluence andare influencedby followers.

1 2 3 4 5

Scoring

1. Sum scores on items 1, 7, 13, and 19 (trait emphasis)2. Sum scores on items 2, 8, 14, and 20 (ability emphasis)

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3. Sum scores on items 3, 9, 15, and 21 (skill emphasis)4. Sum scores on items 4, 10, 16, and 22 (behavior emphasis)5. Sum scores on items 5, 11, 17, and 23 (relationship emphasis)6. Sum scores on items 6, 12, 18, and 24 (process emphasis)

Total Scores

1. Trait emphasis: _________________2. Ability emphasis: ________________3. Skill emphasis: __________________4. Behavior emphasis: ______________5. Relationship emphasis: ___________6. Process emphasis: _______________

Scoring Interpretation

The scores you received on this questionnaire provide informationabout how you define and view leadership. The emphasis you give tothe various dimensions of leadership has implications for how youapproach the leadership process. For example, if your highest score isfor trait emphasis, it suggests that you emphasize the role of the leaderand the leader’s special gifts in the leadership process. However, if yourhighest score is for relationship emphasis, it indicates that you thinkleadership is centered on the communication between leaders andfollowers, rather than on the unique qualities of the leader. Bycomparing your scores, you can gain an understanding of the aspects ofleadership that you find most important and least important. The wayyou think about leadership will influence how you practice leadership.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

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1.3 Observational Exercise

Defining Leadership

Purpose

1. To develop an understanding of the complexity of leadership2. To become aware of the different ways people define leadership

Directions

1. In this exercise, select five people you know and interview themabout leadership.

2. Ask each person to give you his or her definition of leadership,and to describe his or her personal beliefs about effectiveleadership.

3. Record each person’s response on a separate sheet of paper.Person #1 (name)__________________________________________Person #2 (name)_________________________________________Person #3 (name)_________________________________________Person #4 (name)_________________________________________Person #5 (name)_________________________________________

Questions

1. What differences did you observe in how these people defineleadership?

2. What seems to be the most common definition of leadership?3. In what ways did people describe leadership differently from the

definitions in Chapter 1, “Understanding Leadership”?4. Of the people interviewed, whose definition comes closest to your

own? Why?

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Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

1.4 Reflection and Action Worksheet

Understanding Leadership

Reflection

1. Each of us has our own unique way of thinking about leadership.What leaders or people have influenced you in your thinkingabout leadership? Discuss what leadership means to you and giveyour definition of leadership.

2. What do the scores you received on the ConceptualizingLeadership Questionnaire suggest about your perspective onleadership? Of the six dimensions on the questionnaire (trait,ability, skill, behavior, relationship, and process), which one is themost similar to your own perspective? Which one is least likeyour own perspective?

3. Do you think leadership is something everyone can learn to do, ordo you think it is a natural ability reserved for a few? Explain youranswer.

Action

1. Based on the interviews you conducted with others aboutleadership, how could you incorporate others’ ideas aboutleadership into your own leadership?

2. Treating leadership as a relationship has ethical implications. Howcould adding the relationship approach to your leadership makeyou a better leader? Discuss.

3. Think about your own leadership. Identify one trait, ability, skill,or behavior that you could develop more fully to become a betterleader.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

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ReferencesAntonakis, J., Cianciolo, A. T., & Sternberg, R. J. (Eds.). (2004). The

nature of leadership. Thousand Oaks, CA: Sage.

Bass, B. M. (1985). Leadership and performance beyond expectations.New York, NY: Free Press.

Bass, B. M. (1990). Bass and Stogdill’s handbook of leadership: A surveyof theory and research. New York, NY: Free Press.

Blake, R. R., & Moulton, J. S. (1964). The managerial grid. Houston, TX:Gulf.

Bryman, A. (1992). Charisma and leadership in organizations. London, UK: Sage.

Byrnes, N. (2001, January 29). The power of two at Pepsi. Businessweek.Retrieved from http://www.bloomberg.com/news/articles/2001-01-28/the-power-of-two-at-pepsi

Conger, J. (1990). The dark side of leadership. Organizational Dynamics,19(2), 44–55.

Conger, J. A., & Riggio, R. E. (Eds.). (2007). The practice of leadership:Developing the next generation of leaders. San Francisco, CA: Jossey-Bass.

Hersey, P., & Blanchard, K. H. (1969). Life-cycle theory of leadership.Training and Development Journal, 23(5), 26–34.

House, R. J., Hanges, P. J., Javidan, M., Dorfman, P. W., & Gupta, V.(2004). Culture, leadership, and organizations: The GLOBE study of 62societies. Thousand Oaks, CA: Sage.

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Lipman-Blumen, J. (2005). The allure of toxic leaders. New York, NY:Oxford University Press.

Machiavelli, N. (2005). The prince (W. J. Connell, trans.). Boston, MA:Bedford/St. Martin’s. (Original work published in 1531)

Murray, S. (2004, January 26). From poor Indian student to powerful U.S.business-woman. Financial Times, p. 3.

Padilla, A., Hogan, R., & Kaiser, R. B. (2007). The toxic triangle:Destructive leaders, susceptible followers, and conducive environments.The Leadership Quarterly, 18(3), 176–194.

Pandey, J. M. (2006, August 18). Nooyi: IIM-C’s “average” student turnsrole model. The Times of India. Retrieved fromhttp://timesofindia.indiatimes.com/india/Nooyi-IIM-Cs-average-student-turns-role-model/articleshow/1902571.cms

Reddin, W. J. (1967, April). The 3-D management style theory. Trainingand Development Journal, pp. 8–17.

Rost, J. C. (1991). Leadership for the twenty-first century. Westport, CO:Praeger.

Vecchio, R. P. (1987). Situational leadership theory: An examination of aprescriptive theory. Journal of Applied Psychology, 72(3), 444–451.

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2 Recognizing Your Traits

IntroductionWhy are some people leaders while others are not? What makes peoplebecome leaders? Do leaders have certain traits? These questions have beenof interest for many years. It seems that all of us want to know whatcharacteristics account for effective leadership. This chapter will addressthe traits that are important to leadership.

Is Leadership a Trait?

Since the early 20th century, hundreds of research studies have beenconducted on the traits of leaders. These studies have produced anextensive list of ideal leadership traits (see Antonakis, Cianciolo, &Sternberg, 2004; Bass, 1990). The list of important leadership traits is longand includes such traits as diligence, trustworthiness, dependability,articulateness, sociability, open-mindedness, intelligence, confidence, self-assurance, and conscientiousness. Because the list is so extensive, it isdifficult to identify specifically which traits are essential for leaders. Infact, nearly all of the traits are probably related to effective leadership.

What traits are important when you are asked to be a leader? To answerthis question, two areas will be addressed in this chapter. First, a set ofselected traits that appear by all accounts to be strongly related to effectiveleadership in everyday life will be discussed. Second, the lives of severalhistorical and contemporary leaders will be examined with a discussion ofthe traits that play a role in their leadership. Throughout this discussion,the unique ways that certain traits affect the leadership process in one wayor another will be emphasized.

Leadership Traits ExplainedFrom the beginning of the 20th century to the present day, researchershave focused a great deal of attention on the unique characteristics of

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successful leaders. Thousands of studies have been conducted to identifythe traits of effective leaders. The results of these studies have produced avery long list of important leadership traits; each of these traits contributesto the leadership process.

Leadership Traits

For example, research studies by several investigators found the followingtraits to be important: achievement, persistence, insight, initiative, self-confidence, responsibility, cooperativeness, tolerance, influence,sociability, drive, motivation, integrity, confidence, cognitive ability, taskknowledge, extroversion, conscientiousness, and openness (Judge, Bono,Ilies, & Gerhardt, 2002; Kirkpatrick & Locke, 1991; Stogdill, 1974). Onthe international level, House, Hanges, Javidan, Dorfman, and Gupta(2004), in a study of 17,000 managers in 62 different cultures, identified alist of 22 valued traits that were universally endorsed as characteristics ofoutstanding leadership in these countries. The list, which was outlined inTable 1.1 in Chapter 1, “Understanding Leadership,” includes suchattributes as being trustworthy, just, honest, encouraging, positive,dynamic, dependable, intelligent, decisive, communicative, informed, anda team builder. As these findings indicate, research studies on leadershiptraits have identified a wide array of important characteristics of leaders.

Are There Certain Traits a Leader Needs?

However, these research findings raise an important question: If there areso many important leadership traits, which specific traits do people need tobe successful leaders? While the answer to this question is not crystalclear, the research points to six key traits: intelligence, confidence,charisma, determination, sociability, and integrity. In the followingsection, we will discuss each of these traits in turn.

IntelligenceIntelligence is an important trait related to effective leadership.

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Intelligence includes having good language skills, perceptual skills, andreasoning ability. This combination of assets makes people good thinkers,and makes them better leaders.

While it is hard for a person to alter his or her IQ (intelligence quotient),there are certain ways for a person to improve intelligence in general.Intelligent leaders are well informed. They are aware of what is going onaround them and understand the job that needs to be done. It is importantfor leaders to obtain information about what their leadership role entailsand learn as much as possible about their work environment. Thisinformation will help leaders be more knowledgeable and insightful.

For example, a few years ago a friend, Chris, was asked to be the coach ofhis daughter’s middle school soccer team even though he had never playedsoccer and knew next to nothing about how the game is played. Chris tookthe job and eventually was a great success, but not without a lot of effort.He spent many hours learning about soccer. He read how-to books,instructors’ manuals, and coaching books. In addition, Chris subscribed toseveral soccer magazines. He talked to other coaches and learnedeverything he could about playing the game. By the time he had finishedthe first season, others considered Chris to be a very competent coach. Hewas smart and learned how to be a successful coach.

Regarding intelligence, few if any of us can expect to be another AlbertEinstein. Most of us have average intelligence and know that there arelimits to what we can do. Nevertheless, becoming more knowledgeableabout our leadership positions gives us the information we need to becomebetter leaders.

ConfidenceBeing confident is another important trait of an effective leader. Confidentpeople feel self-assured and believe they can accomplish their goals.Rather than feeling uncertain, they feel strong and secure about theirpositions. They do not second-guess themselves, but rather move forwardon projects with a clear vision. Confident leaders feel a sense of certaintyand believe that they are doing the right thing. Clearly, confidence is atrait that has to do with feeling positive about oneself and one’s ability tosucceed.

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Confidence

If confidence is a central trait of successful leaders, how can you buildyour own confidence? First, confidence comes from understanding what isrequired of you. For example, when first learning to drive a car, a student’sconfidence is low because he or she does not know what to do. If aninstructor explains the driving process and demonstrates how to drive, thestudent can gain confidence because he or she now has an understandingof how to drive. Awareness and understanding build confidence.Confidence can also come from having a mentor to show the way andprovide constructive feedback. This mentor may be a boss, an experiencedcoworker, or a significant other from outside the organization. Becausementors act as role models and sounding boards, they provide essentialhelp to learn the dynamics of leadership.

Confidence also comes from practice. This is important to point out,because practice is something everyone can do. Consider Michael Phelps,one of the most well-known athletes in the world today. Phelps is a verygifted swimmer, with 23 Olympic gold medals and the record for winningthe most medals, 28, of any Olympic athlete in history. But Phelps alsospends an enormous amount of time practicing. His workout regimenincludes swimming six hours a day, six days a week. His excellentperformance and confidence are a result of his practice, as well as his gifts.

In leadership, practice builds confidence because it provides assurance thatan aspiring leader can do what needs to be done. Taking on leadershiproles, even minor ones on committees or through volunteer activities,provides practice for being a leader. Building one leadership activity onanother can increase confidence for more demanding leadership roles.Those who accept opportunities to practice their leadership will experienceincreased confidence in their leadership abilities.

CharismaOf all the traits related to effective leadership, charisma gets the mostattention. Charisma refers to a leader’s special magnetic charm and

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appeal, and can have a huge effect on the leadership process. Charisma is aspecial personality characteristic that gives a leader the capacity to doextraordinary things. In particular, it gives the leader exceptional powersof influence. A good example of a charismatic leader is former presidentJohn F. Kennedy, who motivated the American people with his eloquentoratorical style (visit edge.sagepub.com/northouseintro4e to read one ofhis speeches). President Kennedy was a gifted, charismatic leader who hadan enormous impact on others.

Charismatic Leadership

It is not unusual for many of us to feel challenged with regard to charismabecause it is not a common personality trait. There are a few select peoplewho are very charismatic, but most of us are not. Since charisma appearsin short supply, the question arises: What do leaders do if they are notnaturally charismatic?

Based on the writings of leadership scholars, several behaviorscharacterize charismatic leadership (Conger, 1999; House, 1976; Shamir,House, & Arthur, 1993). First, charismatic leaders serve as a strong rolemodel for the values that they desire others to adopt. Mohandas Gandhiadvocated nonviolence and was an exemplary role model of civildisobedience; his charisma enabled him to influence others. Second,charismatic leaders show competence in every aspect of leadership, soothers trust their decisions. Third, charismatic leaders articulate cleargoals and strong values. Martin Luther King Jr.’s “I Have a Dream”speech is an example of this type of charismatic leadership. By articulatinghis dream, he was able to influence multitudes of people to follow hisnonviolent practices. Fourth, charismatic leaders communicate highexpectations for followers and show confidence in their abilities to meetthese expectations. Finally, charismatic leaders are an inspiration to others.They can excite and motivate others to become involved in real change, asdemonstrated by John F. Kennedy and Martin Luther King Jr.

Determination

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Determination is another trait that characterizes effective leaders.Determined leaders are very focused and attentive to tasks. They knowwhere they are going and how they intend to get there. Determination isthe decision to get the job done; it includes characteristics such asinitiative, persistence, and drive. People with determination are willing toassert themselves, they are proactive, and they have the capacity topersevere in the face of obstacles. Being determined includes showingdominance at times, especially in situations where others need direction.

Determination

We have all heard of determined people who have accomplishedspectacular things—the person with cancer who runs a standard 26.2-milemarathon, the blind person who climbs Mount Everest, or the single momwith four kids who graduates from college. A good example of determinedleadership is Nelson Mandela, who is featured in the Leadership Snapshotin this chapter. Mandela’s single goal was to end apartheid in SouthAfrica. Even though he was imprisoned for many years, he steadfastly heldto his principles. He was committed to reaching his goal, and he neverwavered from his vision. Mandela was focused and disciplined—adetermined leader.

What distinguishes all of these leaders from other people is theirdetermination to get the job done. Of all the traits discussed in this chapter,determination is probably the one trait that is easily acquired by those wholead. All it demands is perseverance. Staying focused on the task,clarifying the goals, articulating the vision, and encouraging others to staythe course are characteristics of determined leaders. Being determinedtakes discipline and the ability to endure, but having this trait will almostcertainly enhance a person’s leadership.

SociabilityAnother important trait for leaders is sociability. Sociability refers to aleader’s capacity to establish pleasant social relationships. People wantsociable leaders—leaders with whom they can get along. Leaders whoshow sociability are friendly, outgoing, courteous, tactful, and diplomatic.

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They are sensitive to others’ needs and show concern for their well-being.Sociable leaders have good interpersonal skills and help to createcooperative relationships within their work environments.

Being sociable comes easier for some than for others. For example, it iseasy for extroverted leaders to talk to others and be outgoing, but it isharder for introverted leaders to do so. Similarly, some individuals arenaturally “people persons,” while others prefer to be alone. Althoughpeople vary in the degree to which they are outgoing, it is possible toincrease sociability. A sociable leader gets along with coworkers and otherpeople in the work setting. Being friendly, kind, and thoughtful, as well astalking freely with others and giving them support, goes a long way toestablish a leader’s sociability. Sociable leaders bring positive energy to agroup and make the work environment a more enjoyable place.

To illustrate, consider the following example. This scenario occurred inone of the best leadership classes I have had in 40 years of teaching. In thisclass, there was a student named Anne Fox who was a very sociableleader. Anne was an unusual student who dressed like a student from the1960s, although it was more than two decades later. Even though shedressed differently than the others, Anne was very caring and was liked byeveryone in the class. After the first week of the semester, Anne couldname everyone in class; when attendance was taken, she knew instantlywho was there and who was not. In class discussions, Anne alwayscontributed good ideas, and her remarks were sensitive of others’ points ofview. Anne was positive about life, and her attitude was contagious. Byher presence, Anne created an atmosphere in which everyone felt uniquebut also included. She was the glue that held us all together. Anne was notassigned to be the leader in the class, but by the semester’s end sheemerged as a leader. Her sociable nature enabled her to develop strongrelationships and become a leader in the class. By the end of the class, allof us were the beneficiaries of her leadership.

IntegrityFinally, and perhaps most important, effective leaders have integrity.Integrity characterizes leaders who possess the qualities of honesty andtrustworthiness. People who adhere to a strong set of principles and takeresponsibility for their actions are exhibiting integrity. Leaders withintegrity inspire confidence in others because they can be trusted to do

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what they say they are going to do. They are loyal, dependable, andtransparent. Basically, integrity makes a leader believable and worthy ofour trust.

Integrity

Leadership Snapshot: Nelson Mandela, First Black President of SouthAfrica

South Africa The Good News / www.sagoodnews.co.za CC BY2.0 https://creativecommons.org/licenses/by/2.0/deed.en

In 1990, when Nelson Mandela was released from prison after serving27 long years, he was determined not to be angry or vindictive, butinstead to work to unite his country of South Africa, which had beenfractured by generations of apartheid.

The descendent of a tribal king, Mandela was born in 1918 in a smallAfrican village and grew up in a country where Whites ruled through

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subjugation and tyranny over Blacks and other races. Mandela attendedMethodist missionary schools and put himself through law school,eventually opening the first Black law partnership in 1942. His firmrepresented the African National Congress (ANC), which was engagedin resisting South Africa’s apartheid policies, and during the 1950s, hebecame a leader of the ANC. Influenced by Mohandas Gandhi,Mandela was initially committed to nonviolent resistance but shifted tosupporting violent tactics when the government refused to change itsapartheid policies. In 1964, Mandela received a life sentence forplotting to overthrow the government by violence.

During the nearly three decades Mandela spent in prison, he became asymbolic figure for the anti-apartheid movement. But during thoseyears, Mandela spent time examining himself, coming to see himself asothers did: as an aggressive and militant revolutionary. He learned tocontrol his temper and strong will, instead using persuasion andemphasis to convince others. He listened to others’ life stories,including those of the White guards, seeking to understand theirperspectives. He was steadfast in maintaining his dignity, carefullyrefusing to be subservient while being respectful to the guards andothers. As a result, he became a natural leader inside the prison, whileoutside, his fame framed him as a symbolic martyr not only to BlackAfricans but also to people across the globe. Free Mandela campaignswere building around the world, with other countries and internationalcorporations being pressured by stockholders and citizens to “divest” inSouth Africa.

In 1990, South African president F. W. de Klerk, fearing civil war andeconomic collapse, released Mandela, at the time 71, from prison.Mandela emerged as a moral leader who stood by the principles ofliberty and equal rights for all. He began speaking around the world,raising financial support for the ANC while seeking to bring peace tohis fractured country. In 1992, the South African government instituteda new constitution and held a popular election with all partiesrepresented including the ANC. The result? In 1994, Mandela waselected as the first Black president of South Africa, effectively endingapartheid. For his role in negotiations to abolish apartheid, Mandelareceived the Nobel Peace Prize, sharing it with de Klerk.

As president of South Africa from 1994 to 1999, Mandela’s missionwas to transform a nation from minority rule and apartheid to amultiracial democracy. On the first day of his presidency, he set thetone with the predominantly White staff of the former president, tellingthem that those who wanted to keep their jobs were welcome to stay,

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stating “Reconciliation starts here.” He developed a multiracial staffand cabinet, using his friendly smiling style and tactic of listening to allviewpoints carefully before making decisions to keep the staff focusedon problems and issues rather than on partisanship.

Mandela served his five-year term as president but, at 76 years old,chose not to seek another term. In retirement, he continued to advocatefor social causes, serving as a mediator in disputes outside of SouthAfrica, and to bring a message of peace and justice throughout theworld. Mandela died in 2013. While it is difficult to summarize all thathe accomplished, Mandela’s legacy is best described by former U.S.president Bill Clinton who in 2003 wrote, “Under a burden ofoppression he saw through difference, discrimination and destruction toembrace our common humanity.”

Grown-ups often tell children, “Never tell a lie.” For children, the lesson is“Good children are truthful.” For leaders, the lesson is the same: “Goodleaders are honest.” Dishonesty creates mistrust in others, and dishonestleaders are seen as undependable and unreliable. Honesty helps people tohave trust and faith in what leaders have to say and what they stand for.Honesty also enhances a leader’s ability to influence others because theyhave confidence in and believe in their leader.

Integrity demands being open with others and representing reality as fullyand completely as possible. However, this is not an easy task: There aretimes when telling the complete truth can be destructive orcounterproductive. The challenge for leaders is to strike a balance betweenbeing open and candid and monitoring what is appropriate to disclose in aparticular situation. While it is important for leaders to be authentic, it isalso essential for them to have integrity in their relationships with others.

Integrity undergirds all aspects of leadership. It is at the core of being aleader. Integrity is a central aspect of a leader’s ability to influence. Ifpeople do not trust a leader, the leader’s influence potential is weakened.In essence, integrity is the bedrock of who a leader is. When a leader’sintegrity comes into question, his or her potential to lead is lost.

Former president Bill Clinton (1993–2001) is a good example of howintegrity is related to leadership. In the late 1990s, he was brought beforethe U.S. Congress for misrepresenting under oath an affair he had engagedin with a White House intern. For his actions, he was impeached by theU.S. House of Representatives, but then was acquitted by the U.S. Senate.

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At one point during the long ordeal, the president appeared on nationaltelevision and, in what is now a famous speech, declared his innocence.Because subsequent hearings provided information suggesting he mighthave lied during his television speech, many Americans felt Clinton hadviolated his duty and responsibility as a person, leader, and president. As aresult, Clinton’s integrity was clearly challenged and the impact of hisleadership substantially weakened.

Effective Traits

In conclusion, there are many traits related to effective leadership. The sixtraits discussed here appear to be particularly important in the leadershipprocess. As will be revealed in subsequent chapters, leadership is a verycomplex process. The traits discussed in this chapter are important but areonly one dimension of a multidimensional process.

Leadership Traits in PracticeThroughout history, there have been many great leaders. Each of them hasled with unique talents and in different circumstances. The followingsection analyzes the accomplishments and the traits of five famous leaders.Although there are hundreds of equally distinguished leaders, these fiveare highlighted because they represent different kinds of leadership atdifferent points in history. All of these leaders are recognized as beingnotable leaders: Each has had an impact on many people’s lives andaccomplished great things.

Traits of Great Leaders

The leaders discussed below are George Washington, Winston Churchill,Mother Teresa, Bill Gates, and Oprah Winfrey. As you read about each ofthem, think about their leadership traits.

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George Washington (1732–1799)George Washington is considered to be the founding father of the UnitedStates of America. His leadership was pivotal in the development of thiscountry’s government. He was truly respected by everyone, from low-ranking soldiers to feisty public officials. He was a man of great integritywho was a good listener. After the Revolutionary War, Washington wasthe reason that various factions did not splinter into small groups ornations. He became the United States’ first president because hisleadership was so well suited for the times.

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Gilbert Stuart /National Gallery of Art/Getty Images

Born into a prosperous Virginia family, he grew up on a large plantation.His father died when he was 11. Washington received formal schooling forseven years and then worked as a surveyor. He entered the military at theage of 20. During the French and Indian War, Washington learned aboutthe difficulties of battle and experienced both victories and defeats. He

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served as commander in chief of the Continental Army from 1775 to 1783.His leadership was instrumental in leading the colonies to victory overGreat Britain in the Revolutionary War. After the war, he retired to farmfor a short period. In 1787, however, his interests in politics and the nationtook him to the Constitutional Convention in Philadelphia, where he waschosen to preside over the successful creation of the U.S. Constitution.After the Constitution was ratified, Washington was elected by 100% ofthe electoral college as the first president of the United States. Washingtonserved two terms as president (1789–1793, 1793–1797); although he hadthe people’s support, he chose not to serve a third term. He retired toMount Vernon in 1797 and died there from pneumonia at the age of 67. Athis funeral, one of his officers, Henry Lee, eulogized him as an Americanwho was “first in war, first in peace, and first in the heart of hiscountrymen.”

Traits and Characteristics

George Washington exhibited many special leadership traits (Brookhiser,1996; Burns & Dunn, 2004; Fishman, 2001; Higginbotham, 2002).Researchers identify him as a modest man with great moral character whodemonstrated integrity, virtuousness, and wisdom in his leadership.Though neither highly educated nor brilliant, he is reported to have read 10newspapers each day. He was tall, and careful about his appearance. Formuch of his life, he kept a daily record of his work. Although reserved, asa military leader he was brave and tenacious. Rather than use power to hisown ends, he gave up his position as commander in chief after the war.Washington provided stability, reason, and order after the AmericanRevolution when the United States was in its formative stages. Hisevenness made him predictable to the American people, who consideredhim trustworthy. Above all, Washington was a prudent leader who madesound judgments and provided balance and wisdom to the newgovernment. Washington was a special leader with many unique talentswho, as Schwartz (1987, p. 147) has suggested, “was ‘great’ because hewas ‘good.’”

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Walter Stoneman/Stringer/Hulton Archive/Getty Images

Winston Churchill (1874–1965)Winston Churchill was one of the greatest statesmen and orators of the20th century. In addition, he was a talented painter and prolific writer; hereceived the Nobel Prize in Literature in 1953. Churchill served in the

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military during World War I, became prime minister of Great Britain inMay 1940, and remained in that office through World War II, until 1945. Itwas at this time that his masterful leadership was most visible. When theGermans threatened to invade Britain, Churchill stood strong. He mademany famous speeches that had far-reaching effects on the morale of thepeople of Great Britain and the Allied forces. On the home front, he was asocial reformer. He served a second term as prime minister from 1951 to1955. He died at the age of 90 in 1965.

Traits and Characteristics

Winston Churchill’s leadership was remarkable because it emerged from aman who was average in many respects and who faced challenges in hispersonal life. In his education, he did not stand out as superior to others.On a societal level, he was a loner who had few friends. On a personallevel, he suffered from bouts of depression throughout his life. Despitethese characteristics, Churchill emerged as a leader because of his otherunique gifts and how he used them (Hayward, 1997; Keegan, 2002;Sandys & Littman, 2003). A voracious reader, Churchill was plainspeaking, decisive, detail oriented, and informed (Hayward, 1997).Furthermore, he was very ambitious, but not out of self-interest: Hewanted what was right for others, and he wanted the best for Great Britain.His most significant talent was his masterful use of language. In hisoratory, the normally plainspoken Churchill used words and imagery inpowerful ways that touched the hearts of many and set the moral climateof the war (Keegan, 2002). He had the ability to build hope and inspireothers to rise to the challenge. His stoicism and optimism were aninspiration to his people and all of the Allied forces (Sandys & Littman,2003).

Mother Teresa (1910–1997)A Roman Catholic nun considered a saint by many, Mother Teresareceived the Nobel Peace Prize in 1979 for her work with the poor andhelpless in Kolkata, India, and throughout the world. Born in Macedonia,Mother Teresa came from a comfortable background. At the age of 18, shejoined the Catholic Sisters of Loreto order and worked for 17 years as ahigh school teacher in Kolkata. Her awareness of poverty in Kolkatacaused her to leave the convent in 1948 to devote herself to working full-

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time with the poorest of the poor in the slums of the city. In 1950, MotherTeresa founded a new religious order, the Missionaries of Charity, to carefor the hungry, homeless, unwanted, and unloved.

Bettmann/Contributor/Bettmann/Getty Images

Today, there are more than 1 million workers affiliated with theMissionaries of Charity in more than 40 countries. The charity provideshelp to people who have been hurt by floods, epidemics, famines, and war.The Missionaries of Charity also operate hospitals, schools, orphanages,youth centers, shelters for the sick, and hospices. For her humanitarianwork and efforts for peace, Mother Teresa has been recognized with manyawards, including the Pope John XXIII Peace Prize (1971), the NehruAward (1972), the U.S. Presidential Medal of Freedom (1985), and theCongressional Gold Medal (1994). Although she struggled withdeteriorating health in her later years, Mother Teresa remained activelyinvolved in her work to the very end. She died at the age of 87 in 1997. InSeptember 2016, Pope Francis declared Mother Teresa a saint, with the

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official name of Saint Teresa of Kolkata. In a statement announcing thecanonization, the Vatican called her a “metaphor for selfless devotion andholiness” (Lyman, 2016).

Traits and Characteristics

Mother Teresa was a simple woman of small stature who dressed in a plainblue and white sari, and who never owned more than the people sheserved. Mirroring her appearance, her mission was simple—to care for thepoor. From her first year on the streets of Kolkata where she tended to onedying person to her last years when thousands of people were cared for bythe Missionaries of Charity, Mother Teresa stayed focused on her goal.She was a true civil servant who was simultaneously determined andfearless, and humble and spiritual. She often listened to the will of God.When criticized for her stand on abortion and women’s role in the family,or her approaches to eliminating poverty, Mother Teresa responded with astrong will; she never wavered in her deep-seated human values. Teachingby example with few words, she was a role model for others. Clearly,Mother Teresa was a leader who practiced what she preached (Gonzalez-Balado, 1997; Sebba, 1997; Spink, 1997; Vardey, 1995).

Bill Gates (1955–)For many years, William (Bill) H. Gates III, cofounder and chair ofMicrosoft Corporation, the world’s largest developer of software forpersonal computers, was the wealthiest person in the world with assetsestimated at more than $70 billion. A self-made man, Gates began hisinterest in computers at the age of 13 when he and a friend developed theirfirst computer software program. He later attended Harvard University butleft, without graduating, to focus on software development. He cofoundedMicrosoft in 1975. Under Gates’s leadership, Microsoft developed thewell-known Microsoft Disk Operating System (MS-DOS), Windowsoperating system, and Internet Explorer browser. Microsoft is one of thefastest-growing and most profitable companies ever established. From thesuccess of Microsoft, Gates and his wife established the Bill & MelindaGates Foundation in 2000 to reduce inequities and improve lives aroundthe world. This foundation promotes education, addresses global healthissues (such as malaria, HIV/AIDS, and tuberculosis), sponsors libraries,and supports housing and community initiatives in the Pacific Northwest.

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Beginning in 2006, Gates transitioned away from his day-to-day operatingrole at Microsoft to spend more time working with his foundation, but heremained the corporation’s chair. But in February 2014, Gates steppeddown as the company’s board chairman in order to increase hisinvolvement in the company’s operations, serving in a new role oftechnology adviser and mentor to the company’s new CEO Satya Nadella.Gates continues to tackle global challenges as co-chair of the Bill &Melinda Gates Foundation, which has become the world’s largest privatecharitable foundation.

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Yamaguchi Haruyoshi/Contributor/Corbis Historical/Getty Images

Traits and Characteristics

Bill Gates is both intelligent and visionary. When he cofounded Microsoft,he had a vision about how to meet the technological needs of people in thefuture, and he hired friends to help him accomplish that vision. Gates is

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also task oriented and diligent, often working 12 or more hours a day topromote his interest in software product development. Furthermore, Gatesis focused and aggressive. When Microsoft was accused by the U.S.government of antitrust violations, Gates appeared before congressionalhearings and strongly defended his company. When asked about whetherhe has a “win at all cost” mentality, he answered that you bring peopletogether to work on products and make products better, but there is never afinish line—there are always challenges ahead (Jager & Ortiz, 1997, pp.151–152). In his personal style, Gates is simple, straightforward,unpretentious, and altruistic: He has demonstrated a strong concern for thepoor and underserved.

Intelligence in Leadership

Oprah Winfrey (1954–)An award-winning television talk show host, Oprah Winfrey is one of themost powerful and influential women in the world. Born in ruralMississippi into a dysfunctional family, she was raised by her grandmotheruntil she was 6. Winfrey learned to read at a very early age and skippedtwo grades in school. Her adolescent years were difficult: While living ininner-city Milwaukee with her mother who worked two jobs, Winfrey wasmolested by a family member. Despite these experiences, she was anhonors student in high school and received national accolades for heroratory ability. She received a full scholarship to Tennessee StateUniversity, where she studied communication and worked at a local radiostation. Winfrey’s work in the media eventually led her to Chicago whereshe became host of the highly acclaimed Oprah Winfrey Show. In 2007,Winfrey was the highest-paid entertainer in television, earning an annualsalary estimated at $260 million. She also is an actor, a producer, a bookcritic, and a magazine publisher, and, in 2011, left her successful televisionshow to concentrate on her television network, OWN. For years, Winfreyhad publicly battled her weight, using her struggles as inspiration for hermillions of fans to lead healthier lives. In 2015, Winfrey become a 10%stockholder and board member of the diet empire Weight Watchers.Winfrey, who has long shown an interest in health issues and dietingprograms, serves as an adviser to the company, using her undeniable clout

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to further encourage others to engage in healthier lifestyles.

Frederick M. Brown/Stringer/Getty Images Entertainment/GettyImages

Her total wealth is estimated at more than $3.1 billion. Winfrey is also ahighly regarded philanthropist: Her giving has focused on making adifference in the lives of the underprivileged and poor. Winfrey has paid

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special attention to the needs of people in Africa, raising millions ofdollars to help AIDS-affected children there and creating a leadershipacademy for girls in a small town near Johannesburg, South Africa.

Traits and Characteristics

Oprah Winfrey’s remarkable journey from rural poverty to influentialworld leader can be explained by several of her strengths (Harris &Watson, 2007; Illouz, 2003; McDonald, 2007). Foremost, Winfrey is anexcellent communicator. Since she was a little girl reciting Bible passagesin church, she has been comfortable in front of an audience. On television,she is able to talk to millions of people and have each person feel as if sheis talking directly to him or her. Winfrey is also intelligent and well read,with a strong business sense. She is sincere, determined, and inspirational.Winfrey has a charismatic style of leadership that enables her to connectwith people. She is spontaneous and expressive, and has a fearless abilityto self-disclose. Because she has “been in the struggle” and survived, sheis seen as a role model. Winfrey has overcome many obstacles in her lifeand encourages others to overcome their struggles as well. Her message isa message of hope.

All of these individuals have exhibited exceptional leadership. While eachof these leaders is unique, together they share many commoncharacteristics. All are visionary, strong willed, diligent, and inspirational.As purpose-driven leaders, they are role models and symbols of hope.Reflecting on the characteristics of these extraordinary leaders will provideyou with a better understanding of the traits that are important for effectiveleadership. Although you may not aspire to be another Bill Gates orMother Teresa, you can learn a great deal from these leaders inunderstanding how your own traits affect your leadership.

SummaryThis chapter describes the traits required of a leader. Social scienceresearch has provided insight into leadership traits. Thousands ofleadership studies have been performed to identify the traits of effectiveleaders; the results of these studies point to a very long list of importantleadership traits. From this list, the traits that appear to be especiallyimportant for effective leadership are intelligence, confidence, charisma,

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determination, sociability, and integrity.

Traits and Leadership Styles

From an examination of a select group of well-known historical andcontemporary leaders including George Washington, Winston Churchill,Mother Teresa, Bill Gates, and Oprah Winfrey, it is clear that exemplaryleaders exhibit many similar traits. In the main, these leaders were or arevisionary, strong willed, diligent, inspirational, purpose driven, andhopeful. These leadership figures provide useful models for understandingthe traits that are important and desirable for achieving effectiveleadership.

Because leadership is a complex process, there are no simple paths orguarantees to becoming a successful leader. Each individual is unique, andeach of us has our own distinct talents for leadership. Those who arenaturally strong in the six traits discussed in this chapter will be wellequipped for leadership. If you are not strong on all of these traits but arewilling to work on them, you can still become an effective leader.

Remember that there are many traits related to effective leadership. Bybecoming aware of your own traits and how to nourish them, you will bewell on your way to becoming a successful leader.

Glossary Termscharisma 24confidence 23determination 25integrity 26intelligence 22sociability 25

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Application

2.1 Case Study: An Emerging LeaderTim T. portrays his life as a tension between “nature” and “nurture.” Hesees it this way: He has two sets of DNA, and these two very differentsets of characteristics have given him what he needs to be a leader. Thefirst set of DNA, he says, comprises those “God-given genetic talents”that came from the biological parents who abandoned him at birth. Thesecond set comes from the religious and caring family who adopted himtwo years later.

Tim’s nature is to be out in front of people and relating to them. Theseinnate abilities of his have always been very public and people oriented:from his easy and eloquent speaking style and teaching skills to singingand acting. “As a baby, I was always an extrovert, and since age 2 or 3,people have told me that I would be either president of the UnitedStates, a preacher, or a comedian,” he says. “I didn’t intentionally workon these abilities; I have just always had them.”

His “other strand of DNA” came from his adoptive family whom hedescribes as gentle, unassuming, and quiet. Tim admits he ran in the“middle of the crowd,” while his family members were often silentbystanders standing off in a corner. They did, however, instill in himthe strong values of “loving God, loving family, working hard, andgiving back” that he embraces today.

Those two sets of characteristics allowed Tim to thrive early. Just out ofhigh school, he was given an opportunity by baseball player DerekJeter’s Turn 2 Foundation to create a new after-school program forsecond to fifth graders called Proud to Be Me. The goal of the pilotprogram was to build children’s self-esteem and self-concept byproviding them with new and diverse experiences. Tim developed itwith the goal of giving these children a larger lens of what the worldcould be, so they would be empowered to see more choices than whatthey found in their neighborhoods.

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“My core belief and approach has been to help others by giving themthings that nobody can take away,” he says.

When Tim went to college, he supported himself working part-time at abank doing collections, calling people on the phone to try to convincethem to make payments on their debts. It wasn’t fun, but Tim excelledat it. “I would use my powers of persuasion to get people to makepayments, not because it was my job, but because I wanted to helpthem. These weren’t bad people; they just got in over their heads.”

It was in this job that Tim realized his talents only worked if there was apurpose. “I tried to sell vacuum cleaners once and couldn’t even sellone to my own mama,” he says. “Do you know why? Because therewas no purpose in it. But yet, I could talk these people who arestruggling and hurting into making a payment. That’s when I knew thatI can’t walk on the face of this earth and not help somebody. Mypersuasion has to have a purpose.”

After finishing college, Tim went on to get a master’s degree incommunication and, at the age of 28, became the executive director ofthe Douglass Community Association, a 90-year-old private, nonprofit,inner-city agency that provides opportunities for youth development,education, healthy living, and leadership. Tim managed the center’s$1.2 million budget and 24 people. He spent much of his time out in thelarger community raising money and resources and putting out fires.Although Tim enjoyed his role as executive director, he admits he haddifficulty handling the day-to-day personnel issues at the agency.

“I spent a lot of time managing external human resources, but notpaying attention to the needs of internal human resources at the center.When my staff did an assessment of me, they consistently said, ‘Hedoes a great job as a leader, but he is our boss and we need him here.’”

To enhance his skills, he took advanced leadership training at theCenter for Creative Leadership in North Carolina and HarvardUniversity in Cambridge, Massachusetts. Tim left the community centerafter four years to become an associate vice president at SouthwestMichigan First, a regional agency focused on catalyzing job creationand economic growth in an area that has been hard hit by job losses. ForTim, it’s an opportunity that makes the most of his double set of DNA.

“This is the place where my talent and my passions meet. I can helppeople. I can sift through problems and take big issues and break themdown in ways people understand. I can persuade and motivate peopleand organizations to grow,” he says. “And I am still helping others in

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ways that people can’t take away.”

But Tim still wants to find more ways to help others by creating anindependent foundation to help people and kids in need. “Myexperience has been that it is hard to help hurting people because thereis so much bureaucracy and BS tied up in how we do it. I want to helppeople without strings. If you give people money to help them, don’tgive it to them if you need it back. If you’re gonna do something forsomeone, just do it.”

Questions

1. What is your reaction to Tim’s story?2. Nature and nurture play a significant role in Tim’s leadership

journey. From your perspective, which has the greatest impact onTim? Discuss your answer.

3. Of the six major traits described in the chapter (i.e., intelligence,confidence, charisma, determination, sociability, and integrity),which traits are Tim’s strongest, and which traits are his weakest?

4. What characteristics of Tim’s leadership would you like toincorporate into your own style of leadership?

2.2 Leadership Traits Questionnaire

Purpose

1. To gain an understanding of how traits are used in leadershipassessment

2. To obtain an assessment of your own leadership traits

Directions

1. Make five copies of this questionnaire. It should be completed byyou and five people you know (e.g., roommates, coworkers,relatives, friends).

2. Using the following scale, have each individual indicate thedegree to which he or she agrees or disagrees with each of the 14statements below regarding your leadership traits. Do not forget tocomplete this exercise for yourself.

3. ______________________________ (your name) is

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Statements Stronglydisagree

Disagree Neutral Agree Stronglyagree

1. Articulate:Communicateseffectivelywith others

1 2 3 4 5

2. Perceptive:Is discerningand insightful

1 2 3 4 5

3. Self-confident:Believes inoneself andone’s ability

1 2 3 4 5

4. Self-assured: Issecure withself, free ofdoubts

1 2 3 4 5

5. Persistent:Stays fixed onthe goals,despiteinterference

1 2 3 4 5

6. Determined:Takes a firmstand, actswith certainty

1 2 3 4 5

7.Trustworthy:Is authentic,inspiresconfidence

1 2 3 4 5

8.Dependable:

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Is consistentand reliable

1 2 3 4 5

9. Friendly:Showskindness andwarmth

1 2 3 4 5

10. Outgoing:Talks freely,gets alongwell withothers

1 2 3 4 5

11.Conscientious:Is thorough,organized, andcareful

1 2 3 4 5

12. Diligent:Is industrious,hardworking

1 2 3 4 5

13. Sensitive:Showstolerance, istactful andsympathetic

1 2 3 4 5

14. Empathic:Understandsothers,identifies withothers

1 2 3 4 5

Scoring

1. Enter the responses for Raters 1, 2, 3, 4, and 5 in the appropriatecolumns on the scoring sheet on this page. An example of acompleted chart is provided on page 41.

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and place that number in the “average rating” column.3. Place your own scores in the “self-rating” column.

Leadership Traits Questionnaire Chart

Rater1

Rater2

Rater3

Rater4

Rater5

Averagerating

Self-rating

1. Articulate

2. Perceptive

3. Self-confident

4. Self-assured

5. Persistent

6.Determined

7.Trustworthy

8.Dependable

9. Friendly

10. Outgoing

11.Conscientious

12. Diligent

13. Sensitive

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14. EmpathicSummary and interpretation:

Scoring Interpretation

The scores you received on this questionnaire provide informationabout how you see yourself and how others see you as a leader. Thechart allows you to see where your perceptions are the same as those ofothers and where they differ. There are no “perfect” scores for thisquestionnaire. The purpose of the instrument is to provide a way toassess your strengths and weaknesses and to evaluate areas where yourperceptions are similar to or different from those of others. While it isconfirming when others see you in the same way as you see yourself, itis also beneficial to know when they see you differently. Thisassessment can help you understand your assets as well as areas inwhich you may seek to improve.

Example 2.1 Leadership Traits QuestionnaireRatings

Rater1

Rater2

Rater3

Rater4

Rater5

Averagerating

Self-rating

1. Articulate 4 4 3 2 4 3.4 4

2. Perceptive 2 5 3 4 4 3.6 5

3. Self-confident

4 4 5 5 4 4.4 4

4. Self-assured

5 5 5 5 5 5 5

5. Persistent 4 4 3 3 3 3.4 3

6.Determined

4 4 4 4 4 4 4

7.Trustworthy

5 5 5 5 5 5 5

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8.Dependable

4 5 4 5 4 4.4 4

9. Friendly 5 5 5 5 5 5 5

10. Outgoing 5 4 5 4 5 4.6 4

11.Conscientious

2 3 2 3 3 2.6 4

12. Diligent 3 3 3 3 3 3 4

13. Sensitive 4 4 5 5 5 4.6 3

14. Empathic 5 5 4 5 4 4.6 3Summary and interpretation: The scorer’s self-ratings are higher than the averageratings of others on articulate, perceptive, conscientious, and diligent. The scorer’sself-ratings are lower than the average ratings of others on self-confident, persistent,dependable, outgoing, sensitive, and empathic. The scorer’s self-ratings on self-assured, determined, trustworthy, and friendly are the same as the average ratings ofothers.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

2.3 Observational Exercise

Leadership Traits

Purpose

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1. To gain an understanding of the role of traits in the leadershipprocess

2. To examine the traits of selected historical and everyday leaders

Directions

1. Based on the descriptions of the historical leaders provided in thechapter, identify the three major leadership traits for each of theleaders listed below.

2. Select and briefly describe two leaders in your own life (e.g., worksupervisor, teacher, coach, music director, business owner,community leader). Identify the three major leadership traits ofeach of these leaders.

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Questions

1. Based on the leaders you observed, which leadership traits appearto be most important?

2. What differences, if any, did you observe between the historicaland everyday leaders’ traits?

3. Based on your observations, what one trait would you identify asthe definitive leadership trait?

4. Overall, what traits do you think should be used in selecting oursociety’s leaders?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

2.4 Reflection and Action Worksheet

Leadership Traits

Reflection

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1. Based on the scores you received on the Leadership TraitsQuestionnaire, what are your strongest leadership traits? What areyour weakest traits? Discuss.

2. In this chapter, we discussed five leadership figures. As you readabout these leaders, which leaders did you find most appealing?What was it about their leadership that you found remarkable?Discuss.

3. As you reflect on your own leadership traits, do you think some ofthem are more “you” and authentic than others? Have you alwaysbeen the kind of leader you are today, or have your traits changedover time? Are you a stronger leader today than you were fiveyears ago? Discuss.

Action

1. If you could model yourself after one or more of the historicalleaders we discussed in this chapter, whom would you modelyourself after? Identify two of their traits that you could andshould incorporate into your own style of leadership.

2. Based on the case study of Tim T., which of his traits could youincorporate into your own leadership? Discuss.

3. Although changing leadership traits is not easy, which of yourleadership traits would you like to change? Specifically, whatactions do you need to take to change your traits?

4. All of us have problematic traits that inhibit our leadership but aredifficult to change. Which single trait distracts from yourleadership? Since you cannot easily change this trait, what actionscan you take to “work around” this trait? Discuss.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesAntonakis, J., Cianciolo, A. T., & Sternberg, R. J. (Eds.). (2004). The

nature of leadership. Thousand Oaks, CA: Sage.

Asmal, K., Chidester, D., & Wilmot, J. (2003). Nelson Mandela: In his

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own words. New York, NY: Little, Brown.

Bass, B. M. (1990). Bass and Stogdill’s handbook of leadership: A surveyof theory and research. New York, NY: Free Press.

Brookhiser, R. (1996). Founding father: Rediscovering GeorgeWashington. New York, NY: Free Press.

Burns, J. M., & Dunn, S. (2004). George Washington. New York, NY:Times Books.

Clinton, W. J. (2003). Foreword. In K. Asmal, D. Chidester, & J. Wilmot(Eds.), Nelson Mandela: In his own words (pp. xv–xvi). New York, NY:Little, Brown.

Conger, J. A. (1999). Charismatic and transformational leadership inorganizations: An insider’s perspective on these developing streams ofresearch. Leadership Quarterly, 10(2), 145–170.

Fishman, E. (2001). Washington’s leadership: Prudence and the Americanpresidency. In E. Fishman, W. D. Pederson, & R. J. Rozell (Eds.),George Washington: Foundation of presidential leadership and character(pp. 125–142). Westport, CT: Praeger.

Gonzalez-Balado, J. L. (1997). Mother Teresa: Her life, her work, hermessage. Liguori, MO: Liguori.

Hadland, A. (2003). Nelson Mandela: A life. In K. Asmal, D. Chidester, &J. Wilmot (Eds.), Nelson Mandela: In his own words (pp. xxix–xxxvii).New York, NY: Little, Brown.

Harris, J., & Watson, E. (Eds.). (2007). The Oprah phenomenon.Lexington: The University Press of Kentucky.

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Hayward, S. F. (1997). Churchill on leadership: Executive success in theface of adversity. Rocklin, CA: Prima.

Higginbotham, R. D. (2002). George Washington: Uniting a nation.Lanham, MD: Rowman & Littlefield.

House, R. J. (1976). A 1976 theory of charismatic leadership. In J. G. Hunt& L. L. Larson (Eds.), Leadership: The cutting edge (pp. 189–207).Carbondale: Southern Illinois University Press.

House, R. J., Hanges, P. J., Javidan, M., Dorfman, P. W., & Gupta, V.(2004). Leadership, culture, and organizations: The GLOBE study of 62societies. Thousand Oaks, CA: Sage.

Illouz, E. (2003). Oprah Winfrey and the glamour of misery. New York,NY: Columbia University Press.

Jager, R. D., & Ortiz, R. (1997). In the company of giants: Candidconversations with the visionaries of the digital world. New York, NY:McGraw-Hill.

Joseph, J. A. (2003). Promoting peace and practicing diplomacy. In K.Asmal, D. Chidester, & J. Wilmot (Eds.), Nelson Mandela: In his ownwords (pp. 499–506). New York, NY: Little, Brown.

Judge, T. A., Bono, J. E., Ilies, R., & Gerhardt, M. W. (2002). Personalityand leadership: A qualitative and quantitative review. Journal ofApplied Psychology, 87(4), 765–780.

Keegan, J. (2002). Winston Churchill. New York, NY: Viking.

Kirkpatrick, S. A., & Locke, E. A. (1991). Leadership: Do traits matter?The Executive, 5(2), 48–60.

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Lyman, E. J. (2016). Mother Teresa declared a saint by Pope Francis. USAToday. Retrieved from http://www.usatoday.com

McDonald, K. B. (2007). Embracing sisterhood: Class, identity, andcontemporary black women. Lanham, MD: Rowman & Littlefield.

Sandys, C., & Littman, J. (2003). We shall not fail: The inspiringleadership of Winston Churchill. New York, NY: Penguin.

Schwartz, B. (1987). George Washington: The making of an Americansymbol. New York, NY: Free Press.

Sebba, A. (1997). Mother Teresa: Beyond the image. New York, NY:Doubleday.

Shamir, B., House, R. J., & Arthur, M. B. (1993). The motivational effectsof charismatic leadership: A self-concept based theory. OrganizationScience, 4(4), 577–594.

Spink, K. (1997). Mother Teresa: A complete authorized bibliography.New York, NY: HarperCollins.

Stogdill, R. M. (1974). Handbook of leadership: A survey of theory andresearch. New York, NY: Free Press.

Turn 2 Foundation. (2010). Proud to Be Me. Retrieved fromhttp://derekjeter.mlb.com/players/jeter_derek/turn2/proud_douglass.jsp

Vardey, L. (1995). Introduction. In L. Vardey (Ed.), Mother Teresa: Asimple path (pp. xv–xxxviii). New York, NY: Ballantine.

Wills, G. (1994). Certain trumpets: The call of leaders. New York, NY:Simon & Schuster.

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3 Engaging Strengths

IntroductionThink of a time or circumstance when you were at the top of your game.Now, step back and try to explain why you were so effective in thatsituation. What was it about you or the way you presented yourself thatmade you feel good? What did you do that worked so well? Why didothers respond to you the way they did? The answers to each of thesequestions are related to your strengths—the central theme of this chapter.

What Do You Mean By Strengths?

Every one of us has identifiable leadership strengths, areas in which weexcel or thrive. But we often fail to recognize these strengths. As a result,many times our strengths are used ineffectively or not at all. The same istrue for the strengths of our coworkers and followers; sometimes theirstrengths are known, but often they go untapped. The challenge we face asleaders is to identify our own strengths as well as the strengths of othersand then use these to make our organizations and followers more efficient,productive, and satisfied.

Identifying individual strengths is a unique challenge because people oftenfeel hesitant and inhibited about acknowledging positive aspects ofthemselves. In the American culture, expressing positive self-attributes isoften seen as boastful or self-serving. In fact, focusing on self is disdainedin many cultures, while showing humility and being self-deprecating isseen as virtuous. In this chapter, you will be asked to set aside yourinhibitions about identifying your own strengths in an effort to betterunderstand the inextricable role these strengths play in leading andworking with others.

Our goal in this chapter is to explore how understanding strengths canmake one a better leader. First, we will explain the concept by definingstrengths and describing the historical background of strengths-based

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leadership. We will examine how to identify strengths, followed by adescription of different measures that can be used to assess your strengths.The final section of the chapter will look at the concept of strengths-basedleadership in practice, including specific strategies that leaders can employto use strengths to become more effective leaders.

Strengths-Based Leadership ExplainedBefore discussing the development and principles of strength leadership,we first need to clarify what is meant by strengths. A strength is anattribute or quality of an individual that accounts for successfulperformance. It is the characteristic, or series of characteristics, wedemonstrate when our performance is at its best. Strength researchers(Buckingham & Clifton, 2001; Rath, 2007) suggest that strengths are theability to consistently demonstrate exceptional work. Similarly, Linley(2008) defines strength as a preexisting capacity that is authentic andenergizing and enables peak performance. Simply put, strengths arepositive features of ourselves that make us effective and help us flourish.For example, Antonio was born with a talent for drawing and design. Heworked as a construction laborer for years while he attended a university tostudy architecture. As a result, when Antonio became an architect, hisexperiences in building made his design skills stronger because he morefully understood the concepts of actual construction. His clients oftencomment that one of his strengths is his “construction-friendly” designs.

What is Strengths-Based Leadership?

Historical BackgroundStudying leadership from the perspective of strengths is a new area ofstudy, which came to the forefront in the late 1990s as a result of twooverlapping research developments. First, researchers at the GallupOrganization initiated a massive study that included interviews of over 2million people to describe what’s right with people—that is, their talentsand what they are good at—rather than what’s wrong with people (Rath,2007).

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Second, academic research scholars began to question the exclusive focusin psychology on the disease model of human problems and started tostudy mentally and physically healthy people and what accounted for theirwell-being. From this work, a new field called positive psychologyemerged (Peterson & Seligman, 2003). Each of these two developmentshelped to explain the rising popularity of strengths-based leadership.

Gallup Organization

Best known as a public opinion research organization that conductspolitical polling, the Gallup Organization also conducts research in otherareas of the social sciences. For nearly 40 years, the study of people’sstrengths has been a major research focus at Gallup. This work wasspearheaded by the late Donald O. Clifton, under whose leadershipmillions of people were interviewed regarding their performance andhuman strengths. Based on these interview data, Gallup researchersdesigned and published the StrengthsFinder profile, an online assessmentof people’s talents and potential strengths. This profile was subsequentlytitled the Clifton StrengthsFinder in honor of its chief designer and since2007 has been called StrengthsFinder 2.0. Later in the chapter, we willdiscuss more extensively StrengthsFinder and the specific talent-basedstrengths it measures.

The Strengths Finder

StrengthsFinder is one of the most widely used self-assessmentquestionnaires in the world and has been completed by more than 10million people to date. This assessment has been adopted by manyuniversities and organizations to help individuals identify their strengths,become more engaged, and improve their performance. While Gallup hasnot published a theory about strengths, the widely accepted use ofStrengthsFinder has elevated strengths as a key variable in discussions offactors that account for effective leadership development and performance.

Positive Psychology

At the same time Gallup’s StrengthsFinder profile was growing in

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popularity, a major change was occurring in the discipline of psychology.Researchers were challenging the discipline to expand its focus on notonly what is wrong with people and their weaknesses, but also what isright with people and their positive attributes. This expanded focus, whichwas initiated by Martin Seligman in an address to the AmericanPsychological Association in 1998 (see Fowler, Seligman, & Kocher,1999), soon became the field of positive psychology. Since its inception adecade ago, positive psychology has grown exponentially and developedinto a credible and important area of psychological research.

Positive Psychology

Specifically, positive psychology can be defined as “the ‘scientific’ studyof what makes life most worth living” (Peterson, 2009, p. xxiii). Ratherthan study the frailties and flaws of individuals (the disease model),positive psychology focuses on individuals’ strengths and the factors thatallow them to thrive (Fredrickson, 2001; Seligman, 2002; Seligman &Csikszentmihalyi, 2000). It addresses people’s positive experiences, suchas their happiness and joy; people’s positive traits, such as theircharacteristics and talents; and people’s positive institutions, such asfamilies, schools, and businesses that influence them (Cameron, Dutton, &Quinn, 2003).

Positive Psychology in Action

Most prominently, positive psychology is devoted to the study of people’spositive characteristics—their strengths. This makes it invaluable forunderstanding strengths-based leadership. Positive psychology launchedthe analysis of people’s strengths into the mainstream of scientific research(Linley, 2008). Concepts and theories from the field of positivepsychology directly relate to learning how strengths-based leadershipworks.

Identifying and Measuring Strengths

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As indicated in the historical background, most of the research onstrengths has been done by scholars connected with Gallup and scholarsstudying positive psychology. This body of research has produced multipleways of identifying strengths and a wide-ranging list of individualstrengths. This section explores the way strengths have been identified bythree major groups: (1) Gallup Organization, (2) Values in ActionInstitute, and (3) Centre of Applied Positive Psychology in Great Britain.Although there is much overlap in their work, each research groupprovides a unique perspective on identifying and measuring individualstrengths. Collectively, this research provides an extensive list of specificstrengths, a clear picture of how strengths can be measured, and anexpansive view of how strengths can be used to understand humanbehavior.

Gallup and the StrengthsFinder Profile

Gallup researchers interviewed an enormous number of executives,salespeople, teachers, doctors, nurses, and other professionals about theirstrengths and what made them good at what they did. The goal of theinterviews was to identify the qualities of high-performing individuals.From interviews, Gallup researchers extracted 34 patterns or themes thatthey thought did the best job at explaining excellent performance (seeTable 3.1). These 34 items are “the most common themes that emergedfrom the study of human talent” (Buckingham & Clifton, 2001, p. 12). Forthe last decade, these themes have been the benchmark for discussingstrengths in the workplace.

It is important to point out that Gallup researchers identified themes ofhuman talent, not strengths. Talents are similar to personality traits—theyare relatively stable, fixed characteristics that are not easily changed. Fromtalents, strengths emerge. The equation for developing a strength is talenttimes investment (see Figure 3.1). Strengths are derived from havingcertain talents and then further developing those talents by gainingadditional knowledge, skills, and practice (Rath, 2007). For example, youmay have the talent for being able to communicate easily with others. Ifyou were to invest time in learning more about the intricacies of effectivecommunication and practicing it with the help of ToastmastersInternational, a club that helps individuals develop public speaking skills,you could enhance your communication strength. Similarly, if you wereborn with talent as an initiator, you could develop it further into one of

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your strengths by studying how to “think outside of the box” and thenpracticing this thought process in your organization. To summarize, talentsare not strengths, but they provide the basis for developing strengths whenthey are coupled with knowledge, skills, and practice.

How are strengths measured from the Gallup perspective? Gallup’sStrengthsFinder is a 177-item questionnaire that identifies “the areaswhere you have the greatest potential to develop strengths” (Rath, 2007, p.31). After taking this questionnaire, you receive a list of your fivestrongest talents. You can build on these talents, furthering your personalgrowth and development. The questionnaire, which takes about 30 minutesto complete, is available through an access code that appears in the back ofstrengths books published by Gallup. It is also available on theorganization’s website at www.strengthsfinder.com.

Becoming Influential

Table 3.1 34 Talent ThemesTable 3.1 34 Talent Themes

Executing Influencing RelationshipBuilding

StrategicThinking

Achiever

Arranger

Belief

Consistency

Deliberative

Discipline

Focus

Responsibility

Activator

Command

Communication

Competition

Maximizer

Self-Assurance

Significance

Adaptability

Developer

Connectedness

Empathy

Harmony

Includer

Individualization

Positivity

Analytical

Context

Futuristic

Ideation

Input

Intellection

Learner

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Restorative Woo Relator StrategicSource: Copyright © 2008 Gallup, Inc. All rights reserved. The content is used withpermission; however, Gallup retains all rights of republication.

Figure 3.1 Strength Equation

Source: Copyright © 2007 Gallup, Inc. All rights reserved. Thecontent is used with permission; however, Gallup retains all rights ofrepublication.

How can leaders use strengths in their leadership? In the book StrengthsBased Leadership, Rath and Conchie (2008) explain how a leader’s scoreson the StrengthsFinder profile can be interpreted. To facilitateunderstanding, they developed a configuration that depicts four domains ofleadership strengths (see Table 3.2). The four domains are executing,influencing, relationship building, and strategic thinking. These domainswere derived from information obtained during interviews with thousandsof executive teams and from a factor analysis of the Gallup talent data set.Taken together, the four domains represent the four kinds of strengths thathelp create successful teams.

Effective teams possess broad groupings of strengths and work best whenall four domains of leadership strengths are represented on their teams(Rath & Conchie, 2008). Effective teams are generally well rounded, andthey have different group members who fulfill different needs of thegroup. Leaders bring unique strengths to teams, but leaders do not have to

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bring into play everyone’s strengths to make the team effective.

For example, Maria Lopez, who has owned a successful bridal shop for 10years, took the StrengthsFinder profile and found her dominant strengthswere in the strategic thinking domain. Maria is known for her futuristicthinking and deliberate planning. She is outstanding at forecasting trendsin bridal wear and helping her team navigate the constantly changingbridal market. Maria hired Claudia, whose dominant strengths are inrelationship building. Claudia is the most positive person on the staff andconnects with everyone. It is Claudia who treats customers in the store likethey are part of “the family.” To run the store on a day-to-day basis, Mariabrought on Kristen who is a hard worker and uses her strengths inexecuting to get the job done. She is highly disciplined and motivated tomake the bridal shop the best in the city. Lastly, Maria hired Briannabecause of her strengths in the domain of influencing. Brianna is alwaysout in the community promoting the shop. She is seen as a credibleprofessional by other shop owners because she is self-assured andknowledgeable. In the store, people like Brianna because she is not afraidto be in charge and give directions to others. In summary, Maria, thestore’s owner, is a leader with strengths in one domain, but has the wisdomto hire personnel who have strengths in other domains. Collectively, thecombined strengths of Maria and her team allow them to have a verysuccessful bridal shop.

Table 3.2 Four Domains of Leadership StrengthTable 3.2 Four

Domains of LeadershipStrength

Executing

Influencing

Relationship Building

Strategic ThinkingSource: Copyright © 2008 Gallup, Inc. All rights reserved. The content is used withpermission; however, Gallup retains all rights of republication.

Values in Action Institute and Inventory of Strengths

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Values in Action Institute and Inventory of Strengths

At the same time the StrengthsFinder profile was gaining prominence,researchers at the Values in Action (VIA) Institute, led by MartinSeligman and Christopher Peterson, were engaged in a project to develop aframework for the field of positive psychology that defined andconceptualized character strengths. This classification focused on what isbest in people rather than their weaknesses and problems. To develop theclassification, they reviewed philosophical and spiritual literature inConfucianism, Buddhism, Hinduism, Judeo-Christianity, Ancient Greece,and Islam to determine whether there were commonalities that consistentlyemerged across cultures regarding virtues (Peterson & Park, 2009;Peterson & Seligman, 2004). From the review, they identified six universalcore virtues: courage, justice, humanity, temperance, transcendence, andwisdom. These six virtues represent the basic structure around whichSeligman and Peterson developed the Values in Action Classification ofCharacter Strengths (see Table 3.3). The VIA Classification includes 24strengths organized under these six basic virtues.

As illustrated in Table 3.3, the 24 character strengths identified in the VIAClassification are somewhat different from the strengths identified inGallup’s StrengthsFinder profile (see Table 3.1). For example, “justice”and “love,” which are strengths in the VIA Classification, seem moreencompassing and virtue oriented than “connectedness” and “ideation,”which are strengths identified in the Gallup list. Furthermore, the strengthsoutlined by the StrengthsFinder are more closely tied to the workplace andhelping individuals perform better, while VIA strengths are focused moredirectly on a person’s character and how one can become more virtuous.

Table 3.3 VIA Classification of Character StrengthsTable 3.3 VIA Classification of Character Strengths

Classification Strengths

WISDOM &KNOWLEDGE

Cognitive Strengths

1.

2.

3.

Creativity

Curiosity

Open-mindedness

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4.

5.

Love of learning

Perspective

COURAGE

Emotional Strengths

6.

7.

8.

9.

Authenticity

Bravery

Perseverance

Zest

HUMANITY

Interpersonal Strengths

10.

11.

12.

Kindness

Love

Social intelligence

JUSTICE

Civic Strengths

13.

14.

15.

Fairness

Leadership

Teamwork

TEMPERANCE

Strengths Over Excess

16.

17.

18.

19.

Forgiveness

Modesty

Prudence

Self-regulation

TRANSCENDENCE

Strengths About Meaning

20.

21.

22.

23.

24.

Appreciation of beauty andexcellence

Gratitude

Hope

Humor

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pp. 142–146.

Values in Action

From the VIA perspective, character strengths are measured with theValues in Action Inventory of Strengths (VIA-IS), a questionnairedesigned to create a profile of your character strengths. It takes about 30minutes to complete and is available free at www.viacharacter.org. Aftercompleting the questionnaire, you will receive reports and feedbackidentifying your top five character strengths as well as a rank order of yourscores on all 24 character strengths.

Centre of Applied Positive Psychology and the R2Strengths Profiler Assessment

Based on the principles of positive psychology, researchers at the Centreof Applied Positive Psychology (CAPP) in the United Kingdom developedan approach to strengths that differs from the approaches used in Gallup’sStrengthsFinder and the Values in Action perspectives. Rather thanfocusing exclusively on the identification of a specific number ofstrengths, CAPP researchers created a more dynamic model of strengthsthat emphasizes the changing nature of strengths (see Figure 3.2). Theyalso examined different kinds of strengths and weaknesses. CAPP arguedthat strengths are more fluid than personality traits and can emerge over alifetime through the different situations we experience.

From CAPP’s perspective, strengths were conceptualized as “the thingsthat we are good at and that give us energy when we are using them”(Linley & Dovey, 2012, p. 4). The three central elements of this definitionbecame the criteria in CAPP’s questionnaire (R2 Strengths Profiler) forassessing strengths: (1) performance—how good we are at doingsomething; (2) energy—how much vitality we get out of it; and (3) use—how often we are able to do it. Therefore, the R2 Strengths Profilerassesses 60 strengths in relation to three dimensions of energy,performance, and use. Based on an individual’s combined scores acrossthese dimensions, CAPP provides feedback that specifies the individual’s

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these dimensions, CAPP provides feedback that specifies the individual’srealized strengths, unrealized strengths, learned behaviors, andweaknesses. It takes about 20 minutes to complete the R2 StrengthsProfiler, which is available for a fee at www.cappeu.com.

The CAPP strengths perspective is represented in the R2 Strengths ProfilerQuadrant Model (see Figure 3.2). It is divided into quadrants labeledrealized strengths, unrealized strengths, learned behaviors, andweaknesses. As you can see in Figure 3.2, each quadrant lists attributesbased on the dimensions of performance, energy generation, and use. Eachquadrant characterizes different individual attributes and how they can beput into use.

Realized Strengths. Realized strengths are personal attributes thatrepresent our strongest assets. We are energized when we use thembecause they help us perform well. For example, one of Rachel’s strengthsis narrator. She is a wonderful storyteller and uses these stories to conveyher message and express her values. The model suggests that peopleshould make every effort to maximize the use of these realized strengths,when it is appropriate to do so.

Unrealized Strengths. Unrealized strengths are personal attributes thatare less visible. We feel good when we tap into unrealized strengthsbecause they support our efforts and help us achieve our goals. One ofJason’s unrealized strengths is creativity. He is good at coming up withnew ideas and concepts, but more often than not he just goes with the flowand does not express his creativity. The model challenges individuals tobecome more aware of these strengths and to use them more frequently—thus to marshal them as a resource.

Figure 3.2 R2 Strengths Profiler 4M Model

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Source: Centre of Applied Positive Psychology (CAPP), Coventry,UK: CAPP Press.

Learned Behaviors. Learned behaviors represent those ingrained thingswe have learned throughout our life experience. Although valuable, theydo not excite or inspire us. For example, one of Sunil’s learned behaviorsis driver. As the eldest of five, he was driven to graduate from college.Highly self-motivated, Sunil constantly pushes himself to succeed ineverything he does, often to the detriment of his own health. Many timesSunil doesn’t recognize when his goals are unrealistic, and not succeedingin these leads to feelings of self-doubt and worthlessness. The modelsuggests limiting, or moderating, the use of these behaviors because theyare draining and do not energize us.

Weaknesses. Weaknesses are our limiting attributes. They often drain ourenergy and result in poor performance. One of Kaylee’s weaknesses isunconditionality. She finds it hard to genuinely accept people for who theyare, without being judgmental about them and expecting them to change tomeet her ideals. As a leader, she is constantly frustrated by others becausethey don’t meet her standards in a number of areas. The model suggeststhat effective people try to minimize their weaknesses so as to make themirrelevant or of less concern.

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Unlike the previous approaches to strengths, the CAPP model isprescriptive and pragmatic. The R2 Strengths Profiler suggests wayspeople can be more effective by increasing their strengths and minimizingtheir weaknesses. The model recommends that individuals use theirrealized strengths when possible, but also intentionally look for ways toincrease use of their unrealized strengths. Stated another way, we shouldcapitalize on our strengths but also seek out ways to express our unrealizedstrengths. In addition, the model recommends that we try to moderate ouruse of learned behaviors and minimize our use of our weaknesses. We areenergized by our strengths (the top two quadrants), and we lose energywhen we express our weaknesses and learned behavior (the bottom twoquadrants).

A good example of using the CAPP model is Tamaria, who has recentlytaken on the role of project manager for a team that is developing a newwebsite for her company. Tamaria’s realized strength is her focus ondetails and organization; her weakness is that she isn’t as technicallyskilled as some of the members of her team. As a child, Tamaria struggledin school, and one of her coping mechanisms was to ask a lot of questionsso that she thoroughly understood assignments. That has become a learnedbehavior she still employs. Finally, one of Tamaria’s unrealized strengthsis her ability to problem-solve and mediate in conflict.

In order for her team to succeed, Tamaria will need to maximize the use ofher realized strengths of organization and attention to detail in outliningthe tasks and deadlines for the project. To deal with her weakness intechnical skills, she will need to minimize her involvement in the technicaldevelopment of the website, relying on other team members’ technicalskills. By employing her learned behavior of asking her team members alot of questions about what they are doing and why, Tamaria will slowdown the team’s progress and frustrate team members who may feel she’smicromanaging them. In this case, she will need to moderate herinquisitiveness, identifying the questions that she really needs answered orfinding a way to research the questions on her own. Finally, workingwithin a team can result in disparate opinions and ideas, and Tamaria willneed to marshal her unrealized strength in the mediation and problemsolving so the team works smoothly together and meets deadlines whilecreating a dynamic website.

To summarize, researchers have developed three unique assessment tools

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to identify strengths: (1) StrengthsFinder, (2) Values in Action Inventoryof Strengths, and (3) R2 Strengths Profiler (see Table 3.4). Each of theseassessments provides a unique approach to strengths, and together theyhelp to define and clarify the meaning of strengths. All of thequestionnaires are accessible online, and they are worthwhile self-assessment tools for identifying and exploring your personal strengths.

Strengths-Based Leadership in PracticeHow are strengths used in leadership? Although there are no establishedleadership theories on how to practice leadership from a strengthsperspective, many useful applications can be made from strengths researchin everyday leadership situations. In this section, we discuss severalspecific ways to incorporate strengths in your personal and work settings.The steps include (1) discovering your strengths, (2) developing yourstrengths, (3) recognizing and engaging the strengths of others, and (4)fostering a positive strengths-based environment around you. Followingthese steps will not be a panacea for becoming a perfect strengths-basedleader, but they will most certainly help you, as a leader, to maximize theuse of your strengths as well as those of others.

Using Strengths in a Pharmacy

Discovering Your StrengthsAs we discussed earlier in this chapter, strengths emerge from our basicpersonality traits. We all have unique personality traits, and therefore weall have unique strengths. No one is without strengths. As suggested bypsychologist Howard Gardner (1997), extraordinary individuals are“distinguished less by their impressive ‘raw power’ than by their ability toidentify their strengths and then exploit them” (p. 15). MacKie (2016)suggests that our leadership capability is enhanced when we are able todiscover our fully utilized strengths, underutilized strengths, andweaknesses. The challenge we face is identifying our strengths and thenemploying them effectively in our leadership and personal lives.

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Table 3.4 Approaches to Identifying StrengthsTable 3.4 Approaches to Identifying Strengths

Approach Purpose Number ofStrengths

Strengths ofCompetence

Gallup

To identify traits/strengths of peakperformers 24

Strengths ofCharacter

Values inAction (VIA-IS)

To identify virtuous/moralcharacter strengths 36

Strengths FullyRealized

CAPP R2StrengthsProfiler

To identify strengths andweaknesses to improveperformance

60+

Discovering your strengths requires you to concentrate on your positiveattributes and those times when you feel inspirited. To do so, you need topay attention to your successes rather than focusing on your weaknesses orfailures. For example, when are you at the top of your game? What is itabout you or your interactions with others that contributes to that feeling?What accounts for your best performance? When things are going reallywell for you, what attributes are behind this success? Answering thesequestions will help you discover your strengths. They are the first andmost important step in practicing strengths-based leadership.

Discovering Strengths

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There are several ways you can discover your strengths. First, you cancomplete one or more of the strengths questionnaires (e.g., StrengthsFinder2.0, VIA-IS, and R2 Strengths Profiler) that are available online. Eachquestionnaire gives a unique snapshot of your greatest strengths. Second,you can fill out the Leadership Strengths Questionnaire that appears in thischapter. This questionnaire will provide you with specific feedbackregarding your relative strengths in the areas of implementation,innovation, encouragement, analysis, and mediation. Third, you cancomplete the Reflected Best Self Exercise (RBSE) (Quinn, Dutton, &Spreitzer, 2003), which can be found athttp://positiveorgs.bus.umich.edu/cpo-tools/reflected-best-self-exercise-2nd-edition/. The RBSE can assist you in identifying unrecognized andunexplored area of strengths (Roberts et al., 2005). Fourth, you cancomplete the “discovering your strengths” exercise that appears at the endof this chapter in Reflection and Action Worksheet 3.4. This exerciseallows people you know to tell you what they see as your strengths whenyou are performing at your best. It is a powerful exercise you can use tobecome more aware of your strengths, and it may help you learn aboutsome you have not recognized. Fifth, you can engage in a self-assessmentof what you believe to be your strongest attributes. Intuitively, we all havea sense of what we do well, but taking the time to intentionallycontemplate and consider our own strengths leads us to become more fullyaware of our strengths.

This myriad of methods for discovering strengths will allow you topainlessly develop a definitive list of your major strengths. This process isnot only enlightening but is also a vital first step in developing strengths-based leadership.

Developing Your StrengthsOnce you have discovered your strengths, what do you do with thatknowledge? How do you make use of this information to be a strongerleader? Developing one’s strengths is a multifaceted process that involvesseveral steps. First, you must acknowledge your strengths and be preparedto reveal them to others. As we discussed at the beginning of this chapter,it is often difficult to share our strengths with others because we may feelinhibited about openly and verbally acknowledging positive aspects ofourselves. But expressing our strengths is essential to making others awareof our leadership.

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Telling others about our strengths is important because it lets them knowhow we can be most useful when working or collaborating together,clarifying the unique contributions we can make to others and their work.In essence, disclosing strengths declares “this is what I bring to the table,this is what I am best at, this is what I can do for you,” and that allowsothers to know what they can expect from us. For example, when Tanyalets others know that her strongest quality is that she is an achiever, otherslearn that Tanya is not likely to allow mediocrity in their work. She isgoing to be demanding and push others toward excellence. Similarly, whenJason tells his staff that his strength is listening, his staff learns that Jasonwill have an open door and be willing to hear their problems or concerns.Putting our strengths out in the open makes us more transparent to others,and this helps others predict how we are going to act and how they mightwant to act toward us.

Developing Strengths

People use a variety of ways to reveal their strengths. Some people posttheir top five strengths on Facebook or LinkedIn, add them to their emailsignature, or list them on their résumé as a way of making their strengthsmore visible to others. Several unique examples of how some people sharetheir strengths are illustrated in Figure 3.3. Disclosing our strengths toothers does not need to be a daunting or embarrassing task, but can bedone in a fairly simple, straightforward manner.

Expressing strengths has a cultural element to it as well. What one culturemay see as a strength that should be revealed, another may see assomething to be kept hidden. For example, many Western culturesencourage women to recognize and celebrate their intelligence. In somecultures, such as those in religiously conservative, patriarchal societies ofthe Middle East, women expressing intelligence is not seen as a strength.Many girls are prohibited from attending school.

In addition to revealing your strengths, practice working consistently withothers based on your strengths. For example, if your strength is being aninnovator, find ways to be creative in your leadership. For example, do nothesitate to engage in activities like brainstorming or creating a vision for

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your group or organization. Similarly, if your strength is that you aredeliberative, place yourself in a position where your strength in providingstructure and order to a project can be put to use. Add your well-thought-out perspective by being vigilant and practical when people around you arecoming up with ideas that have never been tested. The point is that youshould lead from your strengths; your strengths represent the best you haveto offer in influencing others. As Anderson (2004) from the GallupOrganization has suggested, “The best of the best invent ways ofdeveloping and applying strengths in areas where they want to improve,achieve, and become more effective” (p. 7).

Figure 3.3 Examples of Ways to Express Strengths

A good example of practicing strengths is Warren Buffett, one of thewealthiest people in the world. Buffett is known for his patience,practicality, and trustfulness, and he used these strengths to makeBerkshire Hathaway, a multinational conglomerate, successful(Buckingham & Clifton, 2001). His patience led him to adopt the nowfamous “20-year perspective” on investing only in companies that hebelieved would be successful for the long term. His practicality explainshow he selected specific companies whose services and products heunderstood (e.g., American Express). Finally, Buffett’s trustfulnessallowed him to select senior managers who were reputable and dependableto run his company. Clearly, Buffett recognized his strengths and carvedout a role for himself that allowed him to practice these strengths everyday (Buckingham & Clifton, 2001).

Addressing Your WeaknessesLeaders must not only recognize and capitalize on their strengths, but alsobe able to identify their weaknesses and address them (MacKie, 2016).Harvard leadership professor John P. Kotter states, “Great leadership

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doesn’t mean running away from reality . . . sharing difficulties can inspirepeople to take action that will make the situation better” (Blagg & Young,2001).

While some of the models discussed here advocate minimizing yourweaknesses, understanding them can allow you to work to improve themand to recognize situations where your weaknesses can be a liability toyour leadership. For example, Lisa owns a small business developing e-commerce websites for companies that sell products online. Her strengthsare her structural and process-oriented thinking and technical expertise.She is adept at anticipating and managing the many small details forcreating a website that is secure and provides a good user experience.However, Lisa can’t describe what she does in normal “layperson” termsfor clients. In her proposals and presentations, she tends to lose clientswith her use of technical language and minutiae of detail. In Lisa’s case, itisn’t enough that she minimize her weakness—she can’t not talk to clientsbecause that’s how she generates new business. She must find a way tocommunicate better with her clients.

Leadership Snapshot: Steve Jobs, Founder, Apple Inc.

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© Bloomberg/Contributor/Bloomberg/Getty Images

While Steve Jobs was undoubtedly brilliant, he didn’t possess thetechnical abilities to be a computer genius. In fact, Jobs didn’t knowhow to write computer code or program a computer. But he succeeded—twice—in building one of the most successful and profitablecomputer companies in the world.

Jobs had many notable strengths, including his creativity, teambuilding, strategic vision, and influencing. He had intuitive vision,imagining products and applications of which no one else dared todream. When he created Apple in 1976 with partner Steve Wozniak, hesought to create an attractive, simple, inexpensive computer marketedas the first home computer. Jobs micromanaged every detail of thecomputer’s creation from its unique operating software to the color of

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its casing.

Jobs was an influencer, using his indomitable will and charisma toconvince himself and others of almost anything. He believed rules weremeant to be broken, and in 1984, Apple did just that, introducing a trulyrevolutionary product, the Macintosh. It used graphics, icons, a mouse,and the point-and-click technology that is still standard. It wasinnovative and influential.

But Jobs wasn’t perfect. He could be confrontational, and this qualityeventually resulted in him being booted out of his own company byApple’s board of directors.

Jobs moved on, using his visionary skills and passion for perfection tocreate NeXT Computer, recognized as a great product that never caughton with consumers.

Undaunted, Jobs branched out into movie animation by acquiring PixarAnimation Studios, bringing his vision, passion, and influencing skillsto a new industry. Under his leadership, Pixar revolutionized movieanimation and made Jobs a multibillionaire.

His old company, Apple, hadn’t done so well. A decade after Jobsexited, Apple was nearly bankrupt. It decided to buy NeXT Computerand the services of Jobs as a consultant. But he would soon take over asCEO. His first move was to employ another of his strengths—focus. Hetook the two-dozen products Apple was producing—printers,computers, and software—and winnowed them down to only laptop anddesktop computers for the professional and home consumer.

Jobs didn’t stop there. Over the next 14 years, he dreamt up the iPod,the iPad, and the iPhone. By combining creativity, technology, and featsof engineering, Apple produced new devices that consumers hadn’teven thought of or knew they needed. Jobs insisted these devices beintuitive and simple to use and oversaw every detail of design fromcreating specialized glass for the screens to the width of their metalcasings.

In the end, Jobs’s vision revolutionized seven industries: personalcomputers, animated movies, music, telephones, tablet computing,digital publishing, and retail stores. When he returned to Apple in 1997,he personally created the company’s new ad campaign—“ThinkDifferent”—which was as much a statement of his own strengths as aleader as it was a mission statement for Apple.

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After losing out on several possible projects, Lisa listened to the feedbackof the clients when they said that what she was proposing was “toocomplicated.” Lisa brought in a marketing professional, Julie, to help herdevelop and pitch proposals to clients. Julie understands enough of thetechnical parts of Lisa’s work to be able to put it in easier-to-understandterms for potential clients. Julie is very strong in communication and socialinteractions, and Lisa is finding that by observing and working with Julie,she is learning to communicate more effectively with clients.

While making the most of our strengths is important for leaders,recognizing our weaknesses is also important in effective leadership. In thecase of Lisa, she had to address her communication problems; there wasno way around it. Working to improve on your weaknesses or using themas opportunities for others to contribute their strengths will improve yourleadership.

Recognizing and Engaging the Strengths ofOthersIn addition to employing their own strengths, leaders need to recognizeand engage the strengths of their followers. They need to determine whatfollowers are good at doing and help them to do it. Educators who studygroup dynamics and the roles individuals play in effective groups often say“people do what they do best.” What they mean by this is that individualsoften become engaged and contribute positively to groups when they areallowed to do what they are good at and feel comfortable doing. Peoplefeel comfortable in groups when they can contribute to the group fromtheir strengths.

How do leaders know what people are good at? Sometimes people are veryup front and freely express their strengths. Mia, for example, often sayswhen she joins a new work project, “I’m a good note taker, so you canplan on me to be the record keeper for our meetings.” Similarly, Josh oftensays on the first day of a roofing project, “I am pretty fast with the nailgun, so you might want me on the roof nailing shingles.” Clearly,sometimes followers openly inform leaders of their strengths. When thisoccurs, it is important for leaders to acknowledge these individuals’strengths if possible and assign them to roles in the work setting thatcapitalize on these strengths.

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While recognizing strengths sounds simple, it is not uncommon for leadersto overlook followers’ strengths. Oftentimes, the strengths of followers arenot evident to leaders or even to the followers themselves. This becomes achallenging situation, because leaders need to ascertain followers’strengths from what they observe rather than what followers explicitlyexpress to them. Cordelia was a struggling graduate student who was justplodding along, uncertain about her direction and goals. When shereceived an A++ on a challenging reaction paper, she became excited andwas surprised to learn that her strength was creativity, particularly inwriting. Cordelia and her instructor both became aware of her strengths inwriting by the work she did on her assignment. Juan is good with solvingcomputer glitches in the office, suggesting his strengths lie in the area oftechnology. When he was assisting a staff member who was having aproblem downloading a file from the web, he found that he liked thechallenge of solving these problems. Or consider Ashley, who is a goodworker, always present, and never oppositional. She is a wonderful teammember whose strengths are consistency, kindness, and being fun-loving.She fosters the esprit de corps in the athletic center where she works. Ineach of these examples, an effective leader tries to identify the followers’strengths and then incorporate them into building a more productive team.

However, it is important to note that others’ strengths may not always bedirectly recognizable. Followers may have strengths that are notobservable because their situations don’t allow for many facets of theiroverall abilities to emerge. Therefore, it is important to find opportunitiesoutside followers’ normal realm of duties or activities that will allow theirstrengths to emerge. For example, Jeff works on an assembly line at a golfcart manufacturer attaching seats to the chassis of golf carts. The positionis very repetitive and structured, and Jeff, like the other assembly lineemployees, spends most of his workday at his station with limitedinteraction with other workers. However, with the blessing of hissupervisor, Jeff recently organized a softball team made up of other plantworkers to play in a local league. Jeff has recruited team members,arranged all the practices, communicated practice and game schedules tothe team, organized the purchase of team uniforms, and promoted theteam’s games in the plant through flyers and the company newsletter. As aresult, many individuals who work with Jeff have observed his strengths inorganization, inclusion, and communication, which would not beobservable through his day-to-day work on the assembly line.

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As we discussed earlier in this chapter, high-performing teams and workgroups possess strengths in four domains: executing, influencing,relationship building, and strategic thinking (see Table 3.2). When leadersbecome aware of their followers’ strengths as well as their own, they canuse this information to design work groups that have individuals withstrengths representing each of the domains. Knowing followers’ uniquestrengths allows leaders to make work assignments that maximize eachindividual’s contribution to the collective goals of the group (Rath &Conchie, 2008). If a leader is strong on executing and knows how to makenew ideas come to fruition, but is not as strong in building relationships,the leader should identify followers with strengths in that area. Or if aleader has strengths in connecting with people and taking command, theleader can identify others who are strong in executing and strategicthinking. Knowledge of followers’ strengths is a valuable tool to helpleaders to build effective groups.

Leadership and Followership

Fostering a Positive Strengths-BasedEnvironmentA final way to practice strengths-based leadership is to create and promotea positive work environment in which people’s strengths play an integralrole. Multiple studies by researchers in positive organizational scholarshipindicate that companies and organizations that create positive workenvironments have a positive physiological impact on employees and, inturn, this has an advantageous impact on their performance (Cameron,2012; Dutton & Ragins, 2007). Similarly, research suggests that whenemployees have the opportunity to engage their strengths, they are moreproductive and more loyal, and their companies experience less turnover(Clifton & Harter, 2003). In short, people feel better and work better whenthe climate in which they work is positive.

In his book Positive Leadership, Cameron (2012) argues that leaders whowant to create a positive work environment should attend to four areas:

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climate, relationships, communication, and meaning. To create a positiveclimate, leaders should foster among their employees virtues such ascompassion, forgiveness, and gratitude. When these qualities are present,people feel encouraged and are more productive. Leaders can also promotecelebrating people’s strengths. Doing so helps people feel valued asindividuals and respected for their contribution to the organization. Tobuild positive relationships, leaders need to highlight individuals’ positiveimages and strengths rather than their negative images and weaknesses.Acknowledging and building on people’s strengths encourages others todo the same, and this results in the development of an environment wherepositive relationships flourish. To develop positive communication, leadersmust be supportive, make more positive than negative statements, and beless negatively evaluative of others. Positive communication helps peoplefeel connected and encourages them to capitalize on their strengths.Finally, leaders can foster positive meaning in their organizations byemphasizing the connection between employees’ values and the long-termimpact of their work. Employees who find meaning in their work and see itas valuable are more engaged and productive.

A Positive Climate

Fostering a positive strengths-based organizational environment isembraced by a multitude of organizations. For example, more than 500colleges and universities have integrated dimensions of a strengths-basedperspective into their student learning, faculty, and culture, includingBaylor University, Texas A&M University, Azusa Pacific University,University of Arkansas, Texas Tech University, San Jose State University,and University of Minnesota. Among the many companies that haveadopted strengths as a systematic program are Fortune 500 companiesPfizer, Hilton, Facebook, Chick-fil-A, Coca-Cola, Cisco, Microsoft, andBest Buy.

SummaryStrengths-based leadership has been given much attention in recent yearsbecause researchers believe it can have a significant impact on the way

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leaders choose to lead and on the performance of followers. In this chapter,we explored people’s strengths and how leaders can make use of thesestrengths to become more effective leaders. Although we all havestrengths, they often go unrecognized and unused. Understanding strengthscan make one a better leader.

A strength is defined as an attribute or quality of an individual thataccounts for successful performance. In simple terms, a strength is whatwe do when we are performing at our best. Strengths often begin with ourinborn talents and can be further developed through knowledge, skills, andpractice. The equation for developing a strength is talent times investment(Rath, 2007).

Strengths-based leadership has come to the forefront in recent years as aresult of two research developments. First, spearheaded by Donald O.Clifton, the Gallup Organization interviewed millions of people about theirstrengths and what made them good at what they did. From interviews,Gallup extracted 34 themes that best explained excellent performance.Second, academic scholars created a new field called positive psychologythat focused less on the disease model and more on the study of healthypeople and what accounted for their well-being. Prominent in this newfield is the study of people’s positive characteristics—their strengths.Taken together, research at Gallup and in positive psychology explains therising popularity of strengths-based leadership.

People’s strengths have been measured in different ways. The benchmarkis Gallup’s StrengthsFinder, which is a 177-item questionnaire thatidentifies an individual’s five strongest talents across four domains (i.e.,executing, influencing, relationship building, and strategic thinking).Strengths can also be measured using the Values in Action Inventory ofStrengths, which provides an individual’s top five character strengths aswell as a rank order of his or her scores on 24 virtue-derived characterstrengths. A third measure, the R2 Strengths Profiler, assesses 60 strengthsin relationship to an individual’s energy, performance, and use, andprovides feedback on an individual’s realized strengths, unrealizedstrengths, learned behaviors, and weaknesses.

Although there are no established theories about the practice of strengths-based leadership, there are several straightforward ways for individuals toincorporate strengths into their leadership. First, leaders need to discovertheir own strengths. They can do this through completing questionnaires

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and other self-assessment activities. The goal is to develop a definitive listof one’s strengths. Second, leaders need to be prepared to acknowledgetheir strengths and reveal them to others. Although we may feel inhibitedabout disclosing our strengths to others, it is essential for making othersaware of our capabilities. We need to make ourselves transparent to othersand lead from our strengths. Third, leaders must make a concerted effort torecognize and engage the strengths of others. Because “people do whatthey do best,” leaders have an obligation to help uncover others’ strengthsand then integrate these strengths into building more productive teams.Finally, leaders can practice strengths-based leadership by fostering workenvironments in which people’s strengths play an integral role. Leaderscan do this by creating for their followers a positive climate, positiverelationships, positive communication, and positive meaning (Cameron,2012). Research shows that people feel better and work better when theclimate in which they work is positive.

To summarize, strengths-based leadership is a new area of research thatoffers a unique approach to becoming a more effective leader. Not apanacea, strengths concepts provide an innovative and valuableperspective to add to our leadership toolbox.

Glossary TermsGallup Organization 49learned behaviors 56positive psychology 50realized strengths 55strengths 48themes of human talent 51unrealized strengths 55weaknesses 56

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Application

3.1 Case Study: Ready to Be CEO?Christine Jorgens was shocked when the board of Begin the FutureFoundation, the nonprofit organization she worked for, asked her toapply for the position of CEO of the organization. For 40 years, Beginthe Future Foundation had provided programs in a nine-county regionto help children living in poverty in urban and rural areas succeed inschool and life, and the CEO’s job was a big one.

Christine had never aspired to be a CEO. She had grown up on a smallfarm in a rural area, one of seven children in a family that struggledfinancially. In high school, she worked at a local restaurant, first as adishwasher and then as a waitress, continuing to work there while sheattended college studying social work.

In her senior year of college, she landed an internship at Begin theFuture Foundation overseeing an after-school program for middleschool students. Christine ended up working for Begin the FutureFoundation for 12 more years, with many of her colleagues joking thatshe was “the intern who never left.” Friendly and approachable, sheeagerly took on whatever work the organization had for her to do. Sheworked as a receptionist, became a grant writer, helped out in publicrelations and marketing, and then was given a position developing andinitiating new programs and working with donors to fund thoseprograms.

She thrived at program development, finding ways to implementcommunity resources that were often overlooked. Her program, StudyBuddies, paired up volunteer tutors from a local college with children tomeet three times a week for a half-hour of tutoring followed by a half-hour of recreation and games. Christine also initiated Girl Power, aprogram allowing middle school girls to spend an afternoon each weekshadowing a local female professional or businesswoman who workedin a career that they were interested in pursuing.

Christine’s enthusiasm was contagious, especially with donors. Herprograms were all successfully funded, and potential donors oftenapproached Christine with ideas they had for new initiatives that theywere willing to fund.

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But despite all her successes, Christine wasn’t sure she was CEOmaterial. She saw herself as a local girl who had lucked into some greatopportunities. The board had been clear about what credentials a newCEO must have: strategic thinking, experience running a nonprofitorganization, ability to work with people on all levels of society fromthe poorest to the richest, ability to manage people, and a commitmentto the organization’s mission of helping kids escape poverty. Christinedidn’t have direct experience overseeing a nonprofit and felt she neededmore experience in the day-to-day management of the organization.

At the suggestion of the board members, she took a strengthsassessment and learned her strengths were in strategic planning,relationship building, creativity, compassion, and influencing. Inaddition, the board members pointed out that she had a deep knowledgeand commitment to the organization and the children they served.Despite Christine’s hesitancy, the board was convinced Christine wasthe right candidate.

Questions

1. Strengths are considered inborn traits that can be enhanced withexperience. What experiences in Christine’s background helpedher develop her strengths?

2. Of the strengths identified by the assessment, which were directlyobservable in Christine’s work? Were there any that were not?

3. Christine admitted having some weaknesses, especially in day-to-day management of the organization. Which of her strengths couldshe put into use to help her deal with that, and how?

4. What strengths should Christine seek from others that wouldcomplement her own and fill some gaps?

3.2 Leadership Strengths Questionnaire

Purpose

1. To develop an understanding of your leadership strengths2. To rank your strengths in selected areas of performance

Directions

1. Please answer the statements below in terms of whether thestatement describes what you are like.

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2. For each of the statements, circle the number that indicates thedegree to which you feel the statement is like you.

Statements

VeryMuchUnlikeMe

UnlikeMe Neutral LikeMe

VeryMuchLikeMe

1. I am anenergeticparticipant whenworking withothers.

1 2 3 4 5

2. Brainstormingis one of mystrengths.

1 2 3 4 5

3. I am good atencouragingcoworkers whenthey feelfrustrated abouttheir work.

1 2 3 4 5

4. I want to know“why” we aredoing what weare doing.

1 2 3 4 5

5. I look forcommon groundin opposingopinions ofothers.

1 2 3 4 5

6. I enjoyimplementing thedetails ofprojects.

1 2 3 4 5

7. I like to

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explore creativeapproaches toproblems.

1 2 3 4 5

8. I go out of myway to helpothers feel goodabout theiraccomplishments.

1 2 3 4 5

9. Examiningcomplexproblems orissues is one ofmy strengths.

1 2 3 4 5

10. I am amediator inconflictsituations.

1 2 3 4 5

11. I stick withthe task until thework iscompleted.

1 2 3 4 5

12. I can initiatechange, if it isneeded, whenworking withothers.

1 2 3 4 5

13. I showconcern for thepersonal well-being of others.

1 2 3 4 5

14. I like toconsider variousoptions for doingthings.

1 2 3 4 5

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15. I am effectivecommunicatingwith people whoare inflexible.

1 2 3 4 5

16. I try to followthrough withideas so that thework gets done.

1 2 3 4 5

17. I enjoycreating a visionfor a work-relatedproject.

1 2 3 4 5

18. I am the“glue” that helpshold the grouptogether.

1 2 3 4 5

19. I likeexploring thedetails of aproblem beforetrying to solve it.

1 2 3 4 5

20. I can draw thebest out of peoplewith diverseopinions.

1 2 3 4 5

21. I like makingto-do lists so thatthe work getscompleted.

1 2 3 4 5

22. I can “thinkoutside of thebox.”

1 2 3 4 5

23. Encouragingothers comeseasily for me.

1 2 3 4 5

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24. I like thinkingthings throughbefore engagingin work projects.

1 2 3 4 5

25. I am good atfinding commonground when aconflict ispresent.

1 2 3 4 5

26. I enjoyscheduling andcoordinatingactivities so thework iscompleted.

1 2 3 4 5

27. I am good atdeveloping newideas for others toconsider.

1 2 3 4 5

28. I am good atencouragingothers toparticipate onprojects.

1 2 3 4 5

29. I like toexplore problemsfrom manydifferentperspectives.

1 2 3 4 5

30. I am effectiveat helpingcoworkers reachconsensus.

1 2 3 4 5

Scoring

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1. Sum the responses on items 1, 6, 11, 16, 21, and 26 (implementerscore).

2. Sum the responses on items 2, 7, 12, 17, 22, and 27 (innovatorscore).

3. Sum the responses on items 3, 8, 13, 18, 23, and 28 (encouragerscore).

4. Sum the responses on items 4, 9, 14, 19, 24, and 29 (analyticscore).

5. Sum the responses on items 5, 10, 15, 20, 25, and 30 (mediatorscore).

Total Scores:

_________ _________ _________ _________ ___________

Implementer Innovator Encourager Analytic Mediator

Scoring Interpretation

The Leadership Strengths Questionnaire is designed to measure yourstrengths in the areas of implementation, innovation, encouragement,analysis, and mediation. By assessing the rank order of your scores, youcan determine the areas in which you have the greatest strengths and theareas in which you are weaker. A high score in a certain area indicateswhere you are strong; a low score shows where you are weak. Asdiscussed in this chapter, every person has multiple strengths. Inaddition to the strengths revealed by the Leadership StrengthsQuestionnaire, you may wish to complete other strengths assessments toobtain a more complete picture of all of your strengths.

If your score is 26–30, you are in the very high range.If your score is 21–25, you are in the high range.If your score is 16–20, you are in the moderate range.If your score is 11–15, you are in the low range.If your score is 6–10, you are in the very low range.

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If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

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3.3 Observational Exercise

Strengths

Purpose

1. To learn to recognize people’s strengths2. To gain an understanding of the role of strengths in the leadership

process

Directions

1. In this exercise, your task is to observe a leader in action. Theleader can be a teacher, a supervisor, a coach, a manager, oranyone who has a position that involves leadership.

2. Based on your observations of the leader in action, identify areasin which the leader has strengths and areas in which the followershave strengths.

Questions

1. Based on the virtue-based strengths listed in Table 3.3, identifytwo strengths you observed the leader exhibit. How did thesestrengths affect his or her followers?

2. Discuss what strengths group members appeared to exhibit andhow these strengths may complement or distract from the leader’sleadership.

3. Do you think the followers in this situation would feelcomfortable expressing their own strengths to others? Discuss.

4. If you were coaching the leader in this situation, what specificthings could she or he do to create a positive environment wherethe expression of people’s strengths was welcomed?

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3.4 Reflection and Action Worksheet

Strengths

Reflection

1. For this exercise, you are being asked to interview several peopleyou know about your strengths. Instructions:

First, identify three people (e.g., friends, coworkers,colleagues, family members) from whom you feelcomfortable asking for feedback about yourself.

Second, ask each of these individuals to do the following:a. Think of a time or situation when they saw you at your

bestb. Tell a brief story about what you were doingc. Describe why they thought you were performing well

in this situationd. Based on this story, describe what unique benefits you

offered others in this situationThird, from the answers the individuals gave, identify two orthree recurring themes. These themes represent yourstrengths.

2. What is your reaction to what others (in Step 1) have identified asyour strengths? Are the strengths others identified about youconsistent with your own perceptions of your strengths? In whatway are they consistent with your scores on the LeadershipStrengths Questionnaire?

3. This chapter suggests that it is important for leaders to reveal theirstrengths to others. As a leader, how do you feel about disclosingyour strengths to others? How do you react when others expresstheir strengths to you?

Action

1. Based on the questionnaire in this chapter and your own insights,create a business card for yourself that lists your five signaturestrengths.

2. Of the four domains of leadership strengths (see Table 3.2), which

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are your strongest? Describe how you could solicit support fromfollowers to complement these areas of strength.

3. Imagine you are the leader of a classroom group required to do asemester-long service learning project. Identify and discussspecific things you could do to create a positive climate, positiverelationships, positive communication, and positive meaning.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesAnderson, E. C. (2004). StrengthsQuest: Curriculum outline and learning

activities. Princeton, NJ: Gallup Organization.

Biswas-Diener, R. (2010). Practicing positive psychology coaching:Assessment, activities, and strategies for success. Hoboken, NJ: JohnWiley & Sons.

Blagg, D., & Young, S. (2001, February 1). What makes a good leader.Harvard Business School Alumni Stories. Retrieved fromhttps://www.alumni.hbs.edu/stories/Pages/story-bulletin.aspx?num=3059

Buckingham, M., & Clifton, D. (2001). Now, discover your strengths.New York, NY: Free Press.

Cameron, K. S. (2012). Positive leadership: Strategies for extraordinaryperformance (2nd ed.). San Francisco, CA: Berrett-Koehler.

Cameron, K. S., Dutton, J. E., & Quinn, R. E. (2003). Foundations ofpositive organizational scholarship. In K. S. Cameron, J. E. Dutton, &R. E. Quinn (Eds.), Positive organizational scholarship (pp. 3–14). San

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Francisco, CA: Berrett-Koehler.

Clifton, D. O., & Harter, J. K. (2003). Investing in strengths. In K. S.Cameron, J. E. Dutton, & R. E. Quinn (Eds.), Positive organizationalscholarship (pp. 111–121). San Francisco, CA: Berrett-Koehler.

Dutton, J. E., & Ragins, B. R. (2007). Exploring positive relationships atwork. Mahwah, NJ: Erlbaum.

Fowler, R. D., Seligman, M. E. P., & Kocher, G. P. (1999). The APA 1998annual report. American Psychologist, 54(8), 537–568.

Fredrickson, B. L. (2001). The role of positive emotions in positivepsychology: The broaden-and-build theory of positive emotions.American Psychologist, 56, 218–226.

Gardner, H. (1997). Extraordinary minds: Portraits of exceptionalindividuals and an examination of our extraordinariness. New York,NY: Basic Books.

Kaplan, R. E., & Kaiser, R. B. (2010). Toward a positive psychology forleaders. In P. A. Linley, S. A. Harrington, & N. Garcea (Eds.), Oxfordhandbook of positive psychology and work (pp. 107–117). Oxford, UK:Oxford University Press.

Lewis, S. (2011). Positive psychology at work: How positive leadershipand appreciative inquiry create inspiring organizations. Oxford, UK:Wiley-Blackwell.

Linley, A. (2008). Average to A+: Realising strengths in yourself andothers. Coventry, UK: CAPP Press.

Linley, A., & Dovey, H. (2012). Technical manual and statistical

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properties for Realise2. Coventry, UK: CAPP Press.

Luthans, F., & Avolio, B. J. (2002). Authentic leadership development. InK. S. Cameron, J. E. Dutton, & R. E. Quinn (Eds.), Positiveorganizational scholarship (pp. 241–258). San Francisco, CA: Berrett-Koehler.

MacKie, D. (2016). Strength-based leadership coaching in organizations:An evidence-based guide to positive leadership development. London,UK: Kogan Page.

Peterson, C. (2006). A primer in positive psychology. New York, NY:Oxford University Press.

Peterson, C. (2009). Foreword. In S. J. Lopez & C. R. Snyder (Eds.),Oxford handbook of positive psychology (p. xxiii). New York, NY:Oxford University Press.

Peterson, C., & Park, N. (2009). Classifying and measuring strengths ofcharacter. In S. J. Lopez & C. R. Snyder (Eds.), Oxford handbook ofpositive psychology (pp. 25–34). New York, NY: Oxford UniversityPress.

Peterson, C., & Seligman, M. E. P. (2003). Positive organizational studies:Lessons from positive psychology. In K. S. Cameron, J. E. Dutton, & R.E. Quinn (Eds.), Positive organizational scholarship (pp. 14–28). SanFrancisco, CA: Berrett-Koehler.

Peterson, C., & Seligman, M. E. P. (2004). Character strengths and virtues:A handbook and classification. New York, NY: Oxford UniversityPress; Washington, DC: American Psychological Association.

Quinn, R. E., Dutton, J., & Spreitzer, G. (2003). Reflected Best SelfExercise: Assignment and instructions to participants (Product number

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001B). Ann Arbor: University of Michigan Regents, PositiveOrganizational Scholarship Research Group.

Rath, T. (2007). Strengths Finder 2.0. New York, NY: Gallup Press.

Rath, T., & Conchie, B. (2008). Strengths based leadership: Great leaders,teams, and why people follow. New York, NY: Gallup Press.

Roberts, L. M., Spreitzer, G., Dutton, J., Quinn, R., Heaphy, E., & Barker,B. (2005, January). How to play to your strengths. Harvard BusinessReview, pp. 75–80.

Seligman, M. E. P. (2002). Authentic happiness: Using the new positivepsychology to realize your potential for lasting fulfillment. New York,NY: Free Press.

Seligman, M. E. P., & Csikszentmihalyi, M. (2000). Positive psychology.American Psychologist, 55(1), 5–14.

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4 Understanding Philosophy and Styles

IntroductionWhat is your philosophy of leadership? Are you an in-charge type ofleader who closely monitors followers? Or are you a laid-back type ofleader who gives followers a lot of rein? Whether you are one or the otheror somewhere in between, it is important to recognize your personalphilosophy of leadership. This philosophy affects how others respond toyou, how they respond to their work, and, in the end, how effective you areas a leader.

What Does “Philosophy of Leadership” Mean?

In this chapter, we will discuss how a person’s view of people, work, andhuman nature forms a personal philosophy of leadership. In addition, thischapter will examine how that philosophy is demonstrated in three of themost commonly observed styles of personal leadership: the authoritarian,democratic, and laissez-faire styles. We will discuss the nature of thesestyles and the implications each has for effective leadership performance.

Leadership Philosophy ExplainedEach of us approaches leadership with a unique set of beliefs and attitudesabout the nature of people and the nature of work. This is the basis for ourphilosophy of leadership. For example, some think people are basicallygood and will happily work if given the chance. Others think people areprone to be a bit lazy and need to be nudged to complete their work. Thesebeliefs about people and work have a significant impact on an individual’sleadership style and probably come into play in every aspect of a person’sleadership.

Understanding Leadership Philosophy

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Do you think people like work, or do you think people find workunpleasant? This was one of the central questions addressed by DouglasMcGregor in his famous book The Human Side of Enterprise (1960).McGregor believed that managers need to understand their coreassumptions about human nature and assess how these assumptions relateto their managerial practice.

In particular, McGregor was interested in how managers view themotivations of workers and their attitudes toward work. He believed thatunderstanding these motivations was central to knowing how to become aneffective manager. To explain the ways that managers approach workers,McGregor proposed two general theories—Theory X and Theory Y.McGregor believed that by exploring the major assumptions of each ofthese theories people could develop a better understanding of their ownviewpoints on human behavior and the relationship of these viewpoints totheir leadership style. Below is a description of both theories. As you read,ask yourself if the assumptions of the theory are consistent or inconsistentwith your own attitudes and philosophy of leadership.

Theory XTheory X is made up of three assumptions about human nature and humanbehavior (see Table 4.1). Taken together, these assumptions represent aphilosophy of leadership that many leaders exhibit to one degree oranother.

Assumption #1. The average person dislikes work andwill avoid it if possible.

This assumption argues that people do not like work; they view it asunpleasant, distasteful, or simply a necessary evil. According to thisassumption, if given the chance, people would choose not to work. Anexample of this assumption is the worker who says, “I only go to work tobe P-A-I-D. If I didn’t need to pay my bills, I would never work.” Peoplewith this philosophy would avoid work if they could.

Table 4.1 Assumptions of McGregor’s Theory XTable 4.1 Assumptions of McGregor’s

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Table 4.1 Assumptions of McGregor’sTheory X

McGregor’s Theory X

1. People dislike work.

2. People need to be directed and controlled.

3. People want security, not responsibility.

Theory X

Assumption #2. People need to be direct andcontrolled.

This assumption is derived directly from the first assumption. Since peoplenaturally do not like work, management needs to set up a system ofincentives and rewards regarding work that needs to be accomplishedbecause workers are often unwilling or unable to motivate themselves.This assumption says that without external direction and incentives peoplewould be unmotivated to work. An example of this is the high schoolteacher who persuades students to hand in homework assignments bythreatening them with bad grades. The teacher forces students to performbecause the teacher thinks that the students are unwilling to do it orincapable of doing it without that force being applied. From theperspective of Theory X, leaders play a significant role in encouragingothers to accomplish their work.

Assumption #3. People want security, notresponsibility.

The picture this assumption paints is of workers who want their leaders totake care of them, protect them, and make them feel safe. Because it is toodifficult to set their own goals, workers want management to do it forthem. This can only happen when managers establish the guidelines for

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workers. An example of this assumption can be observed at a fast-foodrestaurant where the employees only have to focus on completing thespecific tasks set before them (e.g., cleaning the shake machines or makingfries) and are not required to take initiative on their own. In general, manyfast-food restaurant workers are not required to accept many challengingresponsibilities. Instead, they are told what to do, and how and when to doit. Consistent with this assumption, this example highlights how someworkers are not ambitious but want job security above everything else.

So what does it mean if a person’s personal leadership style or philosophyis similar to Theory X? It means these leaders have a tendency to viewworkers as lazy and uninterested in work because they do not value work.As a result, Theory X leaders tend to be directive and controlling. Theysupervise followers closely and are quick to both praise and criticize themas they see fit. At times, these leaders remind workers of their goal (e.g., tobe P-A-I-D) or threaten them with punishment to persuade them toaccomplish tasks. As the person in charge, a Theory X leader sees his orher leadership role as instrumental in getting the job done. Theory Xleaders also believe it is their role to motivate followers because theseworkers have little self-motivation. Because of this belief, these leaderstake on the responsibility for their followers’ actions. From the Theory Xperspective, it is clear that followers have a need for leadership.

Theory YLike Theory X, Theory Y is based on several specific assumptions abouthuman nature and behavior (see Table 4.2). Taken together, theassumptions of Theory Y present a distinctly different perspective from theideas set forth in Theory X. It is a perspective that can be observed to adegree in many leaders today.

Theory X and Theory Y

Assumption #1. The average person does notinherently dislike work. Doing work is as natural as

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play.

Rather than viewing work as a burden or bad, this assumption suggestspeople see work as satisfying and not as a punishment. It is a naturalactivity for them. In fact, given the chance, people are happy to work. Anexample of this can be seen in what former president Jimmy Carter hasdone in his retirement. He has devoted much of his time and energy toconstructing homes throughout the United States and around the worldwith Habitat for Humanity. Certainly, the former president does not needto work: He does so because work is natural for him. All his life, Carterhas been used to making a contribution to the well-being of others.Working with Habitat for Humanity is another opportunity for him tocontribute. Some people view work as a natural part of their lives.

Assumption #2. People will show responsibility andself-control toward goals to which they arecommitted.

As opposed to Theory X, which suggests that people need to be supervisedand controlled, Theory Y suggests that people can and will make aconscious choice to work on their own.

Table 4.2 Assumptions of McGregor’s Theory YTable 4.2 Assumptions of McGregor’s

Theory Y

McGregor’s Theory Y

1. People like work.

2. People are self-motivated.

3. People accept and seek responsibility.

People can be committed to the objectives of their work. Consider someexamples from the sports world. Successful athletes are often highlycommitted to their goals and usually do not need to be controlled orsupervised closely. Coaches design training plans for these athletes, but theathletes do the work themselves. A successful long-distance runner does

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not need to be pushed to run 60 training miles a week in preparation for amarathon because the runner is already motivated to run long distances.Similarly, an Olympic swimmer does not need to be forced to do daily 3-mile pool workouts at 5:00 A.M. because the swimmer chooses to do thisindependently of any coach’s urging. These athletes are self-directedbecause they are committed to their goals. This is the point of Theory Y.When people can find commitment in their work, they will work withoutneeding leaders to motivate or cajole them. Put another way, when peoplehave a passion for their work, they will do it even without outsidedirection.

Assumption #3. In the proper environment, theaverage person learns to accept and seekresponsibility.

While Theory X argues that people lack ambition, prefer to be directed,and want security, Theory Y assumes that the average person is inherentlyresourceful and, if given the chance, will seek to take responsibility. Ifgiven the chance, people have the capacity to engage in a wide range ofgoal-setting and creative problem-solving activities. Theory Y argues that,given the opportunity, people will act independently and be productive.

For example, two university students working in the main stacks section ofthe library were required to complete a checklist whenever they worked tobe sure that they correctly carried out various sorting and shelvingactivities. The checklist was long, cumbersome, and repetitious, however.Frustrated by the checklist, the students took it upon themselves to designan entirely new, streamlined checklist. The new checklist for sorting andshelving was very clear and concise, and was playful in appearance. Afterreviewing the checklist and giving it a short trial period, management atthe library adopted the new checklist and required that it be implementedthroughout the entire library. In this example, library managementprovided an environment where students felt comfortable suggesting arather major change in how their work was to be completed. In addition,management was willing to accept and adopt a student-initiated workchange. It is not unrealistic to imagine that these students will be moreconfident initiating ideas or taking on new challenges in other worksettings in the future.

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So if a leader’s philosophy of leadership is similar to Theory Y, what doesit mean? It means that the leader views people as capable and interested inworking. Even though Theory Y leaders may define work requirements,they do not try to control workers. To these leaders, followers are not lazy;on the contrary, they naturally want to work. In addition, these leaders donot think they need to try to motivate followers or make them work sinceworkers are capable of motivating themselves. Using coercion or externalreinforcement schemes is not a part of their leadership repertoire. TheoryY leaders are very attuned to helping followers find their passion for whatthey want to do. These leaders know that when followers are committed totheir work, they are more motivated to do the job. Allowing followers toseek and accept responsibilities on their own comes easily for Theory Yleaders. In short, Theory Y leadership means supporting followers withoutthe need to direct or control them.

In the late 1970s and 1980s, a new leadership theory tangentially related toTheory X and Theory Y was developed by William Ouchi (1981). Ouchicontrasted the collectivistic culture of Japanese companies—which hadbegun to dominate markets, especially in automobiles and electronics—with the individualism stressed in American organizations and developedan approach that was a hybrid of the two called Theory Z. A Theory Zorganization is one that emphasizes common cultural values, beliefs, andobjectives among its members with a focus on communication,collaboration, and consensual decision making. At the same time, some ofthe individualistic values of American organizations are also incorporated.Theory Z organizations still maintain formal authority structures and anemphasis on individual contributions and recognizing individualachievements. However, the individual decision making of the leader thatis found in both Theory X and Theory Y is not a characteristic of a TheoryZ organization.

Leadership in Challenging Times

In summary, all of us maintain certain basic beliefs and assumptions abouthuman nature and work that form our leadership philosophy. The nextsection discusses how that philosophy impacts your behaviors as a leader,or your leadership style. Whether a person’s philosophy is similar to

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Theory X or similar to Theory Y, it affects his or her style of leadership.The challenge is to understand the philosophical underpinnings of yourown leadership style.

Leadership Styles ExplainedWhat behaviors do you exhibit as a leader? Do you like to be in controland keep up on the activities of your followers? Or do you believe in amore hands-off approach in leading others, letting them make decisions ontheir own?

Whatever your behaviors are as a leader, they are indicative of yourleadership style. Leadership style is defined as the behaviors of leaders,focusing on what leaders do and how they act. This includes leaders’actions toward followers in a variety of contexts. As noted in the previoussection, your leadership style is driven by your personal leadershipphilosophy. In the following section, we discuss the most commonlyobserved leadership styles associated with Theory X and Theory Y:authoritarian, democratic, and laissez-faire. While none of these stylesemerges directly from Theory X or Theory Y, the authoritarian anddemocratic styles closely mirror the ideas set forth in these theories,respectively.

Styles of Leaders and Managers

The primary work on styles of leadership was by Lewin, Lippitt, andWhite (1939), who analyzed the impact of various leadership styles onsmall group behavior. Using groups of 10-year-old boys who met afterschool to engage in hobby activities, the researchers analyzed whathappened when their adult leaders used one of three styles: authoritarian,democratic, or laissez-faire. The groups of boys experienced each of thethree styles of leadership for a six-week period.

The outcome of the study by Lewin and colleagues was a detaileddescription of the nature of the leadership behaviors used for each of thethree styles (White & Lippitt, 1968). They also described the impact eachof these three styles had on group members.

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The following sections describe and elaborate on their findings and theimplications of using each of these leadership styles. Be aware that thesestyles are not distinct entities (e.g., like personality traits). They overlapeach other. That is, a leader can demonstrate more than one style in anygiven situation. For example, a leader may be authoritarian about someissues and democratic about others, or a leader may be authoritarian atsome points during a project and democratic at others. As leaders, we maydisplay aspects of all of these styles.

Authoritarian Leadership StyleIn many ways, the authoritarian leadership style is very similar toTheory X. For example, authoritarian leaders perceive followers asneeding direction. The authoritarian leader needs to control followers andwhat they do. Authoritarian leaders emphasize that they are in charge,exerting influence and control over group members. They determine tasksand procedures for group members but may remain aloof fromparticipating in group discussions. Authoritarian leaders do not encouragecommunication among group members; instead, they prefer thatcommunication be directed to them. In evaluating others, authoritarianleaders give praise and criticism freely, but it is given based on their ownpersonal standards rather than based on objective criticism.

Some have argued that authoritarian leadership represents a ratherpessimistic, negative, and discouraging view of others. For example, anauthoritarian leader might say something like “Because my workers arelazy, I need to tell them what to do.” Others would argue that authoritarianleadership is a much-needed form of leadership—it serves a positivepurpose, particularly for people who seek security above responsibility. Inmany contexts, authoritarian leadership is used to give direction, set goals,and structure work. For example, when employees are just learning a newjob, authoritarian leadership lets them know the rules and standards forwhat they are supposed to do. Authoritarian leaders are very efficient andsuccessful in motivating others to accomplish work. In these contexts,authoritarian leadership is very useful.

The Authoritarian Leadership Style

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What are the outcomes of authoritarian leadership? Authoritarianleadership has both pluses and minuses. On the positive side, it is efficientand productive. Authoritarian leaders give direction and clarity to people’swork and accomplish more in a shorter period. Furthermore, authoritarianleadership is useful in establishing goals and work standards. On thenegative side, it fosters dependence, submissiveness, and a loss ofindividuality. The creativity and personal growth of followers may behindered. It is possible that, over time, followers will lose interest in whatthey are doing and become dissatisfied with their work. If that occurs,authoritarian leadership can create discontent, hostility, and evenaggression.

In addition, authoritarian leadership can become abusive leadership, wherethese leaders use their influence, power, and control for their personalinterests or to coerce followers to engage in unethical or immoralactivities. For example, a coach who withholds playing time from athleteswho openly disagree with his play calls or a boss who requires salariedemployees to work up to 20 hours of overtime each week or “be replacedwith someone who will” are both examples of the dark side ofauthoritarian leadership.

While the negative aspects of authoritarian leadership appear to outweighthe positive, it is not difficult to imagine contexts where authoritarianleadership would be the preferred style of leadership. For example, in abusy hospital emergency room, it may be very appropriate for the leader incharge of triaging patients to be authoritarian with various types ofemergencies. The same could be true in other contexts, such as thechaperone of a middle school canoe trip, or the coach of a high schoolteam during the state finals basketball tournament. Despite the negatives ofauthoritarian leadership, this form of leadership is common and necessaryin many situations.

Democratic Leadership StyleThe democratic leadership style strongly resembles the assumptions ofTheory Y. Democratic leaders treat followers as fully capable of doingwork on their own. Rather than controlling followers, democratic leaderswork with followers, trying hard to treat everyone fairly, without puttingthemselves above followers. In essence, they see themselves as guidesrather than as directors. They give suggestions to others, but never with

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any intention of changing them. Helping each follower reach personalgoals is important to a democratic leader. Democratic leaders do not use“top-down” communication; instead, they speak on the same level as theirfollowers. Making sure everyone is heard is a priority. They listen tofollowers in supportive ways and assist them in becoming self-directed. Inaddition, they promote communication between group members and incertain situations are careful to draw out the less-articulate members of thegroup. Democratic leaders provide information, guidance, and suggestions,but do so without giving orders and without applying pressure. In theirevaluations of followers, democratic leaders give objective praise andcriticism.

The Democratic Leadership Style

The outcomes of democratic leadership are mostly positive. First,democratic leadership results in greater group member satisfaction,commitment, and cohesiveness. Second, under democratic leadership thereis more friendliness, mutual praise, and group mindedness. Followers tendto get along with each other and willingly participate in matters of thegroup, making more “we” statements and fewer “I” statements. Third,democratic leadership results in stronger worker motivation and greatercreativity. People are motivated to pursue their own talents under thesupportive structure of democratic leadership. Finally, under a democraticleader group members participate more and are more committed to groupdecisions. The downside of democratic leadership is that it takes more timeand commitment from the leader. Work is accomplished, but not asefficiently as if the leader were authoritarian.

Laissez-Faire Leadership StyleThe laissez-faire leadership style is dissimilar to both Theory X andTheory Y. Laissez-faire leaders do not try to control followers as Theory Xleaders do, and they do not try to nurture and guide followers as Theory Yleaders do. Laissez-faire stands alone as a style of leadership; some havelabeled it nonleadership. The laissez-faire leader is a nominal leader whoengages in minimal influence. As the French phrase implies, laissez-faireleadership means the leader takes a “hands-off, let it ride” attitude toward

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followers. These leaders recognize followers but are very laid back andmake no attempt to influence their activities. Under laissez-faireleadership, followers have freedom to do pretty much what they want to dowhenever they want to do it. Laissez-faire leaders make no attempt toappraise or regulate the progress of followers.

Destructive Laissez-Faire Leadership

Given that laissez-faire leadership involves nominal influence, what arethe effects of laissez-faire leadership? Laissez-faire leadership tends toproduce primarily negative outcomes. The major effect is that very little isaccomplished under a laissez-faire leader. Because people are directionlessand at a loss to know what to do, they tend to do nothing. Giving completefreedom results in an atmosphere that most followers find chaotic.Followers prefer some direction; left completely on their own, theybecome frustrated. Without a sense of purpose and direction, groupmembers have difficulty finding meaning in their work; they becomeunmotivated and disheartened. As a result, productivity goes down.

The Laissez-Faire Leadership Style

However, there are situations where the laissez-faire style is successful.People who are self-starters, who excel at individualized tasks and don’trequire ongoing feedback, may prefer working under laissez-faire leaders.

For example, Angela is the president of a website development companywho uses independent contractors from across the globe. In certainrespects, you could describe her leadership style as laissez-faire. Theprogrammers who develop the websites’ code are in Poland, the designeris in India, the content writer is in the United Kingdom, and Angela is inthe United States. When developing a site, Angela maps out andcommunicates the basic framework for the website and then relies on all ofthe individual contractors to determine the tasks they need to do for thesite’s development. Because their tasks can be dependent upon another’s—

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for example, the designer needs the programmers to write the code tomake the page display graphics and images in a certain way—they docommunicate with one another, but because of time zone differences, thisis mostly done by email. As their leader, Angela is kept apprised of issuesand developments through an electronic project management system theyshare, but because all of the contractors are experts at what they do andtrust the other team members to do what they do best, she lets themproblem-solve issues and concerns with one another and rarely getsinvolved.

While there are a few situations where laissez-faire leadership is effective,in a majority of situations, it proves to be unsuccessful and unproductive.

Leadership Snapshot: Victoria Ransom, Chief Executive, Wildfire

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© Bloomberg/Contributor/Bloomberg/Getty Images

“I don’t believe in hierarchy or creating hierarchy. I believe in earningrespect.”

That comes from Victoria Ransom, cofounder of social media softwarecompany Wildfire Interactive, which grew from an idea to a company

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with 400 employees and 21,000 clients. The company, which Ransomcofounded with Alain Chuard in 2008, helps companies reachcustomers over social networks, and was acquired in 2012 by Googlefor $350 million.

Wildfire’s success is largely due to the leadership style and philosophyof Ransom, who serves as the company’s chief executive. Ransom grewup in Scotts Ferry, a rural village in New Zealand where her father wasan asparagus farmer and her mother was an office manager for afarming equipment company. Ransom worked in the fields, and it wasthere that she learned the values of hard work, leading by example, andhumility that she brings to Wildfire.

Wildfire was actually an afterthought, created to solve a problem thatRansom and Chuard had encountered in running the first company theyhad formed, Access Trips. Access Trips was an adventure travelcompany that took small groups of travelers, ages 20–45, to remotedestinations, and Ransom and Chuard were looking for a way topromote Access Trips online by giving away a trip on Facebook. Theydiscovered, however, that no software existed to do what they wanted,so they developed their own software to design sweepstakes, contests,or other promotions that could run on Facebook.

The software, and Wildfire, was profitable within a year. Clients soonranged from two-person catering businesses to Sony and Unilever(Coster, 2012).

The company grew very quickly, which put Ransom’s values-basedculture to the test.

“I’ve learned as the company grows, you’re only as good as the leadersyou have underneath you,” she says. “You might think that becauseyou’re projecting our values, then the rest of the company isexperiencing the values. . . . [D]irect supervisors become the mostimportant influence on people in the company. Therefore, a big part ofleading becomes your ability to pick and guide the right people”(Bryant, 2013).

In order to find those right people, it was critical that Wildfire spell outits values and company culture to employees from the outset. To do so,Ransom and Chuard identified what they valued in the people atWildfire and then met with all the employees in small groups to gettheir feedback on these values. What resulted was a list of values thatthe company instilled and demonstrated: passion, team player, humility,and integrity. Also on the list were having the courage to speak up and

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curiosity.

“We really encourage people to constantly question, to stay on top ofwhat’s happening in our industry, to learn what other people in thecompany are doing. The hope was to break down these walls of ‘themversus us,’” Ransom says (Bryant, 2013).

Ransom says a final value they identified was to “do good, and do rightby each other” (Bryant, 2013).

The values a company purports to have, however, are not so readilymaintained. Values and culture have to be universally embraced, or theywill crumble.

“I think the best way to undermine a company’s values is to put peoplein leadership positions who are not adhering to the values,” Ransomsays, noting that others begin to lose faith in the values. “Until you takeaction and move those people out, and then everyone gets faith in thevalues again” (Bryant, 2013).

Ransom says one way the company showed its values was when itwould let employees go who didn’t live up to the values. Making thesehard decisions about people, even if they were good performers,showed employees that “yeah, this company actually puts its moneywhere its mouth is” (Bryant, 2013).

Leadership Styles in PracticeEach leader has a unique style of leadership. Some are very demandingand assertive while others are more open and participative. Similarly, someleaders could be called micromanagers, while others could be labelednondirective leaders. Whatever the case, it is useful and instructive tocharacterize your leadership regarding the degree to which you areauthoritarian, democratic, or laissez-faire.

Leadership and Collaboration

It is important to note that these styles of leadership are not distinctentities; it is best to think of them as occurring along a continuum, from

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high leader influence to low leader influence (see Figure 4.1). Leaders whoexhibit higher amounts of influence are more authoritarian. Leaders whoshow a moderate amount of influence are democratic. Those who exhibitlittle to no influence are laissez-faire. Although we tend to exhibitprimarily one style over the others, our personal leadership styles are notfixed and may vary depending on the circumstances.

Figure 4.1 Styles of Leadership

Consider what your results of the Leadership Styles Questionnaire on page95 tell you about your leadership style. What is your main style? Are youmost comfortable with authoritarian, democratic, or laissez-faireleadership? If you are the kind of leader who likes to structure work, likesto lay out the ground rules for others, likes to closely supervise yourfollowers, thinks it is your responsibility to make sure followers do theirwork, wants to be “in charge” or to know what others are doing, andbelieves strongly that rewarding and punishing followers is necessary, thenyou are authoritarian. If you are the kind of leader who seldom givesorders or ultimatums to followers, instead trying to work with followersand help them figure out how they want to approach a task or completetheir work, then you are primarily democratic. Helping each followerreach his or her own personal goals is important to a democratic leader.

In some rare circumstances, you may find you are showing laissez-faireleadership. Although not a preferred style, it is important to be awarewhen one is being laissez-faire. Laissez-faire leaders take a very lowprofile to leadership. What followers accomplish is up to them. If youbelieve that your followers will thrive on complete freedom, then thelaissez-faire style may be the right style for you. However, in mostsituations, laissez-faire leadership hinders success and productivity.

Summary

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All of us have a philosophy of leadership that is based on our beliefs abouthuman nature and work. Some leaders have a philosophy that resemblesTheory X: They view workers as unmotivated and needing direction andcontrol. Others have a philosophy similar to Theory Y: They approachworkers as self-motivated and capable of working independently withoutstrong direct influence from a leader.

Our philosophy of leadership is played out in our style of leadership. Thereare three commonly observed styles of leadership: authoritarian,democratic, and laissez-faire. Similar to Theory X, authoritarian leadersperceive followers as needing direction, so they exert strong influence andcontrol. Resembling Theory Y, democratic leaders view followers ascapable of self-direction, so they provide counsel and support. Laissez-faire leaders leave followers to function on their own, providing nominalinfluence and direction.

Effective leadership demands that we understand our philosophy ofleadership and how it forms the foundations for our style of leadership.This understanding is the first step to becoming a more informed andcompetent leader.

Glossary Termsauthoritarian leadership style 83democratic leadership style 85laissez-faire leadership style 85leadership style 82philosophy of leadership 78Theory X 78Theory Y 80Theory Z 82

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Application

4.1 Case Study: Many Managers, DifferentStylesVanessa Mills was recently hired to work at a branch of LakeshoreBank as a personal banker. The branch is very busy and has a largestaff, including three on-site managers. As a new employee, Vanessa istrying to figure out how to succeed as a personal banker while meetingthe expectations of her three very different managers.

Vanessa is paid a salary, but also receives a commission for activitiesincluding opening new accounts and selling new services to customerssuch as credit cards, lines of credit, loans, and stock accounts. Personalbankers are expected to open a certain number of accounts each monthand build relationships with customers by exploring their variousbanking needs and offering services to meet those needs.

Marion Woods is one of the managers at Vanessa’s branch. She hasworked for Lakeshore Bank for 10 years and prides herself on thesuccess of the branch. Marion openly talks about employees’ progressin terms of the number of accounts opened or relationships established,and then commends or scolds people depending on their productivity.Marion stresses to Vanessa the importance of following procedures andusing the scripts that Marion provides to successfully convincecustomers to open new accounts or accept new services with the bank.

As a new banker, Vanessa has not opened many accounts and feels veryuncertain about her competence. She is intimidated by Marion,believing that this manager is continually watching and evaluating her.Several times Marion has publically criticized Vanessa, commenting onher shortcomings as a personal banker. Vanessa tries hard to get hersales numbers up so she can keep Marion off her back.

Bruce Dexter, another manager at Vanessa’s branch, has been withLakeshore Bank for 14 years. Bruce started out as a teller and workedhis way up to branch manager. As a manager, Bruce is responsible forholding the bank staff’s Monday morning meetings. At these staffmeetings, Bruce relays the current numbers for new accounts as well asthe target number for new accounts. He also lists the number of newrelationships the personal bankers have established. After the meetings,

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Bruce retreats back into his office where he sits hidden behind hiscomputer monitor. He rarely interacts with others. Vanessa likes whenBruce retreats into his office because she does not have to worry abouthaving her performance scrutinized. However, sometimes whenVanessa is trying to help customers with a problem that falls outside ofher banking knowledge, she is stressed because Bruce does not provideher with any managerial support.

The third manager at the branch is Heather Atwood. Heather just startedat Lakeshore Bank within the last year, but worked for nine years atanother bank. Vanessa finds Heather to be very helpful. She often popsin when Vanessa is with a customer to introduce herself and make sureeverything is going well. Heather also allows Vanessa to listen in whenshe calls disgruntled customers or customers with complicated requests,so Vanessa can learn how to manage these types of interactions.Heather trusts her staff and enjoys seeing them grow, encouraging themby organizing games to see who can open the most accounts andoffering helpful feedback when customer interactions do not go asplanned. Vanessa is grateful for the advice and support she receivesfrom Heather, and looks up to her because she is competent and kind.

Vanessa is coming up on her three-month review and is very nervousthat she might get fired based on her low sales record and the negativefeedback she has received from Bruce and Marion regarding herperformance. Vanessa decides to talk to Heather about her upcomingreview and what to expect. Heather assures Vanessa that she is doingfine and shows promise even if her numbers have not reached that of aseasoned banker. Still, Vanessa is concerned about Bruce and Marion.She has hardly had more than two conversations with Bruce and feelsintimidated by Marion who, she perceives, manages by running aroundbarking numbers at people.

Questions1. Based on the assumptions of Theory X and Theory Y, how would

you describe each manager’s philosophy and style of leadership?In what way do their attitudes about Vanessa affect theirleadership?

2. In this type of customer service setting, which leadership stylewould be most effective for the bank to meet its goals? From thebank’s perspective, which (if any) manager exhibits the mostappropriate leadership? Discuss.

3. What advice would you give to each of the managers to enhancetheir leadership skills within the bank?

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4. What do you think Vanessa can do to prepare herself for her three-month review?

4.2 Leadership Styles Questionnaire

Purpose

1. To identify your style of leadership2. To examine how your leadership style relates to other styles of

leadership

Directions

1. For each of the statements below, circle the number that indicatesthe degree to which you agree or disagree.

2. Give your immediate impressions. There are no right or wronganswers.

Statements Stronglydisagree

Disagree Neutral Agree Stronglyagree

1. Employeesneed to besupervisedclosely, or theyare not likelyto do theirwork.

1 2 3 4 5

2. Employeeswant to be apart of thedecision-makingprocess.

1 2 3 4 5

3. In complexsituations,leaders shouldlet followerswork problems

1 2 3 4 5

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out on theirown.

4. It is fair tosay that mostemployees inthe generalpopulation arelazy.

1 2 3 4 5

5. Providingguidancewithoutpressure is thekey to being agood leader.

1 2 3 4 5

6. Leadershiprequiresstaying out ofthe way offollowers asthey do theirwork.

1 2 3 4 5

7. As a rule,employeesmust be givenrewards orpunishments inorder tomotivate themto achieveorganizationalobjectives.

1 2 3 4 5

8. Mostworkers prefersupportivecommunicationfrom theirleaders.

1 2 3 4 5

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9. As a rule,leaders shouldallowfollowers toappraise theirown work.

1 2 3 4 5

10. Mostemployees feelinsecure abouttheir work andneed direction.

1 2 3 4 5

11. Leadersneed to helpfollowersacceptresponsibilityfor completingtheir work.

1 2 3 4 5

12. Leadersshould givefollowerscompletefreedom tosolve problemson their own.

1 2 3 4 5

13. The leaderis the chiefjudge of theachievementsof the membersof the group.

1 2 3 4 5

14. It is theleader’s job tohelp followersfind their“passion.”

1 2 3 4 5

15. In most

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situations,workers preferlittle inputfrom theleader.

1 2 3 4 5

16. Effectiveleaders giveorders andclarifyprocedures.

1 2 3 4 5

17. People arebasicallycompetent andif given a taskwill do a goodjob.

1 2 3 4 5

18. In general,it is best toleave followersalone.

1 2 3 4 5

Scoring

1. Sum the responses on items 1, 4, 7, 10, 13, and 16 (authoritarianleadership).

2. Sum the responses on items 2, 5, 8, 11, 14, and 17 (democraticleadership).

3. Sum the responses on items 3, 6, 9, 12, 15, and 18 (laissez-faireleadership).

Total Scores

Authoritarian Leadership ________Democratic Leadership _________Laissez-Faire Leadership ________

Scoring Interpretation

This questionnaire is designed to measure three common styles ofleadership: authoritarian, democratic, and laissez-faire. By comparing

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your scores, you can determine which styles are most dominant andleast dominant in your own style of leadership.

If your score is 26–30, you are in the very high range.If your score is 21–25, you are in the high range.If your score is 16–20, you are in the moderate range.If your score is 11–15, you are in the low range.If your score is 6–10, you are in the very low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

4.3 Observational Exercise

Leadership Styles

Purpose

1. To become aware of authoritarian, democratic, and laissez-fairestyles of leadership

2. To compare and contrast these three styles

Directions

1. From all of the coaches, teachers, music directors, or managersyou have had in the past 10 years, select one who wasauthoritarian, one who was democratic, and one who was laissez-faire.

Authoritarian leader (name)__________________________________________________Democratic leader (name)

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__________________________________________________Laissez-faire leader (name)__________________________________________________

2. On another sheet of paper, briefly describe the uniquecharacteristics of each of these leaders.

Questions

1. What differences did you observe in how each leader tried toinfluence you?

2. How did the leaders differ in their use of rewards andpunishment?

3. What did you observe about how others reacted to each leader?4. Under which leader were you most productive? Why?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

4.4 Reflection and Action Worksheet

Leadership Styles

Reflection

1. As you reflect on the assumptions of Theory X and Theory Y,how would you describe your own philosophy of leadership?

2. Of the three styles of leadership (authoritarian, democratic, andlaissez-faire), what style comes easiest for you? Describe howpeople respond to you when you use this style.

3. One of the aspects of democratic leadership is to help followerstake responsibility for themselves. How do you assess your ownability to help others help themselves?

Action

1. If you were to try to strengthen your philosophy of leadership,what kinds of changes would you have to make in yourassumptions about human nature and work?

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2. As you look at your results on the Leadership StylesQuestionnaire, what scores would you like to change? Whatwould you have to do to make those changes?

3. List three specific activities you could use to improve yourleadership style.

4. If you make these changes, what impact will this have on others?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesBryant, A. (2013, January 26). If supervisors respect the values, so will

everyone else. The New York Times. Retrieved fromhttp://www.nytimes.com/2013/01/27/business/victoria-ransom-of-wildfire-on-instilling-a-companys-values.html?_r=0

Coster, H. (2012, October 19). Victoria Ransom’s wild ride. Fortune.Retrieved from http://tech.fortune.cnn.com/2012/10/19/victoria-ransom-wildfire/

Lewin, K., Lippitt, R., & White, R. K. (1939). Patterns of aggressivebehavior in experimentally created “social climates.” Journal of SocialPsychology, 10, 271–299.

McGregor, D. (1960). The human side of enterprise. New York, NY:McGraw-Hill.

Ouchi, W. G. (1981). Theory Z: How American business can meet theJapanese challenge. Reading, MA: Addison-Wesley.

White, R., & Lippitt, R. (1968). Leader behavior and member reaction inthree “social climates.” In D. Cartwright & A. Zander (Eds.), Group

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dynamics (pp. 318–335). New York, NY: Harper & Row.

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5 Attending to Tasks and Relationships

IntroductionMost people would agree that good doctors are experts at treating diseaseand, at the same time, care about their patients. Similarly, good teachersare informed about the subject matter and, at the same time, are sensitiveto the personal lives of their students. In leadership, the same is true. Goodleaders understand the work that needs to be done and, at the same time,can relate to the people who help them do the job.

When we look at what leaders do—that is, at their behaviors—we see thatthey do two major things: (1) They attend to tasks, and (2) they attend totheir relationships with people. The degree to which leaders are successfulis determined by how these two behaviors are exhibited. Situations maydiffer, but every leadership situation needs a degree of both task andrelationship behaviors.

Which Behaviors Are Central to Leadership?

Through the years, many articles and books have been written on howleaders behave (Blake & McCanse, 1991; Kahn, 1956; Misumi, 1985;Stogdill, 1974). A review of these writings underscores the topic of thischapter: The essence of leadership behavior has two dimensions—taskbehaviors and relationship behaviors. Certain circumstances may call forstrong task behavior, and other situations may demand strong relationshipbehavior, but some degree of each is required in every situation. Becausethese dimensions are inextricably tied together, it is the leader’s challengeto integrate and optimize the task and relationship dimensions in his or herleadership role.

Task and Relationship Theories

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One way to explore our own task and relationship perspectives onleadership is to explore our personal styles in these two areas. All of ushave developed unique habits regarding work and play, which have beeningrained over many years, probably beginning as far back as elementaryschool. Rooted in the past, these habits regarding work and play form avery real part of who we are as people and of how we function. Many ofthese early habits stay with us over the years and influence our currentstyles.

Analyzing Leadership Styles

In considering your personal style, it is helpful to describe in more detailyour task-oriented and relationship-oriented behaviors. What is yourinclination toward tasks and relationships? Are you more work oriented orpeople oriented in your personal life? Do you find more rewards in theprocess of “getting things done” or in the process of relating to people?We all have personal styles that incorporate some combination of workand play. Completing the Task and Relationship Questionnaire on page113 can help you identify your personal style. Although these descriptionsimply that individuals have either one style or the other, it is important toremember that each of us exhibits both behaviors to some degree.

Task and Relationship Styles Explained

Task StyleTask-oriented people are goal oriented. They want to achieve. Their workis meaningful, and they like things such as to-do lists, calendars, and dailyplanners. Accomplishing things and doing things is the raison d’être forthis type of person. That is, these individuals’ reason for being comes fromdoing. Their “in-box” is never empty. On vacations, they try to see and doas much as they possibly can. In all avenues of their lives, they findmeaning in doing.

In his book titled Work and Love: The Crucial Balance (1980), psychiatristJay Rohrlich showed how work can help people organize, routinize, and

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structure their lives. Doing tasks gives people a sense of control and self-mastery. Achievement sharpens our self-image and helps us defineourselves. Reaching a goal, like running a race or completing a project,makes people feel good because it is a positive expression of who they are.

Some clear examples of task-oriented people include those who use colorcodes in their daily planners, who have sticky notes in every room of theirhouse, or who, by 10:00 on Saturday morning, have washed the car, donethe laundry, and cleaned the apartment. Task-oriented people also arelikely to make a list for everything, from grocery shopping to the series ofrepetitions in their weight-lifting workouts. Common to all of these peopleis their interest in achieving the goal and accomplishing the work.

Relationship StyleRelationship-oriented people differ from task-oriented people because theyare not as goal directed. The relationship-oriented person finds meaning inbeing rather than in doing. Instead of seeking out tasks, relationship-oriented people want to connect with people. They like to celebraterelationships and the pleasures relationships bring.

Relationship Style

Furthermore, relationship-oriented people often have a strong orientationin the present. They find meaning in the moment rather than in some futureobjective to be accomplished. In a group situation, sensing and feeling thecompany of others is appealing to these people. They have been describedby some as “relationship junkies.” They are the people who are the last toturn off their cell phones as the airplane takes off and the first to turn thephones back on when the airplane lands. Basically, they are intoconnectedness.

In a work setting, the relationship-oriented person wants to connect orattach with others. For example, the relationship-oriented person wouldnot be afraid to interrupt someone who was working hard on a task to talkabout the weather, sports, or just about anything. When working out aproblem, relationship-oriented people like to talk to and be associated with

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others in addressing the problem. They receive satisfaction from beingconnected to other people. A task-oriented friend described a relationship-oriented person perfectly when he said, “He is the kind of person whostands and talks to you, coffee mug in hand, when you’re trying to dosomething like mow the lawn or cover the boat.” The meaning in “doing”is just not paramount in the relationship-oriented person’s style.

Leadership Snapshot: Mick Wilz, Director of Enterprise Excellence,Sur-Seal

© Terry Duffy

Innovation is key to survival in manufacturing, and Mick Wilz has theaccolades to prove it. As the director of enterprise excellence at Sur-Seal in Cincinnati, Ohio, Wilz made changes to the manufacturingprocess that led to the company receiving the Excellence Award fromthe Association for Manufacturing Excellence in 2012. Working withinan industry where task and routine are absolutely critical, it was actuallyWilz’s unique relationship-oriented approach to those tasks that madethe most difference.

Wilz is dyslexic and finds reading, writing, and spelling to be verydifficult. Not a lot was known about this condition when he wasgrowing up during the late 1950s and 1960s, and Wilz says his

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childhood was lonely and hard. But his mother was very supportive,advocating for him with teachers and shifting him to five differentgrammar schools in order to find the best help.

After high school, Wilz began working in building maintenance at thefamily business, Sur-Seal, a manufacturer of rubber and plastic gaskets.In the 1990s he became the company’s head of operations, and in 2006he took on the position of director of enterprise excellence charged withreaching peak efficiencies in the manufacturing process. One of hisefforts was to initiate a redesign of the factory’s layout, moving workgroups to new locations on the manufacturing floor to improveproduction (www.sur-seal.com).

Because of his difficulties, Wilz relies heavily on visualcommunication, which was one reason he decided to inform employeesabout the redesign by showing, rather than telling, them. He usedchildren’s Lego blocks to set up a mock version of the current factoryarrangement, right down to using Lego figurines to represent eachindividual worker. With the employees watching, he changed the Legolayout to show the new design. As the employees stood in front of thisdemonstration, they were able to see for themselves the plan, makesuggestions, and become involved in the redesign.

Wilz took his visual communication efforts elsewhere in the factory,making Sur-Seal a visual workplace. Large posters and signs providingsafety directions, instructions on operating the equipment, and diagramsof the products are posted at every machine.

Wilz’s struggles and achievements have made him a morecompassionate boss. “Because I had a difficult time when I was young,I believe in treating others as I would like to have been treated. I giveemployees second chances because I know what it’s like to struggle,”Wilz says. As an example, he talks about the time when one of thecompany’s maintenance workers was given several chances to improvehis work habits and succeeded, becoming the head of his departmentand a leader in Sur-Seal’s manufacturing initiatives.

“We hire a lot of high school graduates who aren’t inclined to trycollege because they feel it would be too difficult,” Wilz says. “Youhave to find a seat on the bus for everyone. I’m a perfect example”(Wilz, 2012).

Task and Relationship Styles in Practice

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In the previous section, you were asked to consider your personal styleregarding tasks and relationships. In this section, we are going to considerthe task and relationship dimensions of your leadership style.

Focusing on Tasks and People

Figure 5.1 illustrates dimensions of leadership along a task–relationshipcontinuum. Task-oriented leadership, which appears on the left end ofthe continuum, represents leadership that is focused predominantly onprocedures, activities, and goal accomplishments. Relationship-orientedleadership, which appears on the right end of the continuum, representsleadership that is focused primarily on the well-being of followers, howthey relate to each other, and the atmosphere in which they work. Mostleadership falls midway between the two extremes of task- andrelationship-oriented leadership. This style of leadership is represented bythe midrange area, a blend of the two types of leadership.

As discussed at the beginning of this chapter, good leaders understand thework that needs to be done, as well as the need to understand the peoplewho will do it. The process of “doing” leadership requires that leadersattend to both tasks and relationships. The specific challenge for the leaderis to decide how much task and how much relationship is required in agiven context or situation.

Task LeadershipTask leadership behaviors facilitate goal accomplishment—they arebehaviors that help group members to achieve their objectives.Researchers have found that task leadership includes many behaviors.These behaviors are frequently labeled in different ways, but are alwaysabout task accomplishment. For example, some have labeled taskleadership as initiating structure, which means the leader organizes work,defines role responsibilities, and schedules work activities (Stogdill, 1974).Others have labeled task leadership as production orientation, whichmeans the leader stresses the production and technical aspects of the job(Bowers & Seashore, 1966). From this perspective, the leader paysattention to new product development, workload matters, and sales

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volume, to name a few aspects. A third label for task leadership is concernfor production (Blake & Mouton, 1964). It includes policy decisions, newproduct development, workload, sales volume, or whatever theorganization is seeking to accomplish.

Figure 5.1 Task–Relationship Leadership Continuum

Task Leadership

In short, task leadership occurs anytime the leader is doing something thatassists the group in reaching its goals. This can be something as simple ashanding out an agenda for an upcoming meeting or as complex asdescribing the multiple quality control standards of a product developmentprocess. Task leadership includes many behaviors: Common to each isinfluencing people toward goal achievement.

As you would expect, people vary in their ability to show task-orientedleadership. There are those who are very task oriented and those who areless task oriented. This is where a person’s personal style comes into play.Those who are task oriented in their personal lives are naturally more taskoriented in their leadership. Conversely, those who are seldom taskoriented in their personal lives will find it difficult to be task oriented as aleader.

Whether a person is very task oriented or less task oriented, the importantpoint to remember is that, as a leader, he or she will always be required toexhibit some degree of task behavior. For certain individuals this will beeasy and for others it will present a challenge, but some task-orientedbehavior is essential to each person’s effective leadership performance.

Relationship Leadership

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Relationship leadership behaviors help followers feel comfortable withthemselves, with each other, and with the situation in which they findthemselves. For example, in the classroom, when a teacher requires eachstudent to know every other student’s name, the teacher is demonstratingrelationship leadership. The teacher is helping the students to feelcomfortable with themselves, with other students, and with theirenvironment.

Relationship Leadership

Researchers have described relationship leadership in several ways thathelp to clarify its meaning. It has been labeled by some researchers asconsideration behavior (Stogdill, 1974), which includes buildingcamaraderie, respect, trust, and regard between leaders and followers.Other researchers describe relationship leadership as having an employeeorientation (Bowers & Seashore, 1966), which involves taking an interestin workers as human beings, valuing their uniqueness, and giving specialattention to their personal needs. Another line of research has simplydefined relationship leadership as concern for people (Blake & Mouton,1964). Within an organization, concern for people includes building trust,providing good working conditions, maintaining a fair salary structure, andpromoting good social relations.

Essentially, relationship leadership behavior is about three things: (1)treating followers with dignity and respect, (2) building relationships andhelping people get along, and (3) making the work setting a pleasant placeto be. Relationship leadership behavior is an integral part of effectiveleadership performance.

Ethical Leadership and Relationships

In our fast-paced and very diverse society, the challenge for a leader isfinding the time and energy to listen to all followers and do what isrequired to build effective relationships with each of them. For those who

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are highly relationship oriented in their personal lives, being relationshiporiented in leadership will come easily; for those who are highly taskoriented, being relationship oriented in leadership will present a greaterchallenge. Regardless of your personal style, every leadership situationdemands a degree of relationship leadership behavior.

As discussed earlier in this chapter, task and relationship leadershipbehaviors are inextricably tied together, and a leader’s challenge is tointegrate the two in an optimal way while effectively adapting tofollowers’ needs. For example, task leadership is critically important in acompany or an organization with a large number of newly hired employeesor at a charter school with a cadre of new faculty members. It is also calledfor in an adult fitness class when the instructor is introducing a newexercise. Or, consider the family members of a patient going home after amajor heart surgery who have to learn how to change dressings and givemedications; they want the health professionals to tell them exactly whatto do and how to do it. In situations like these, the followers feel uncertainabout their roles and responsibilities, and they want a leader who clarifiestheir tasks and tells them what is expected of them. In fact, in nearly everygroup or situation there are some individuals who want and need taskdirection from their leader, and in these circumstances it is paramount thatthe leader exhibit strong task-oriented leadership.

Box 5.1 Student Perspectives on Task and Relationship Styles

The following examples are personal observations written by collegestudents. These papers illuminate the distinct differences task andrelationship orientations can have in real-life experiences.

Taken to TaskI am definitely a task-oriented person. My mother has given me herlove of lists, and my father has instilled in me the value of finishingthings once you start them. As a result, I am highly organized in allaspects of my life. I have a color-coded planner with all of the activitiesI need to do, and I enjoy crossing things off my lists. Some of myfriends call me a workaholic, but I don’t think that is accurate. Thereare just a lot of things I have to do.

My roommate Steph, however, is completely different from me. Shewill make verbal lists for her day, but usually will not accomplish any

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of them [the items listed]. This drives me crazy when it involves mylife. For example, there were boxes all over the place until about amonth after we moved into our house. Steph would say every day thatshe was going to focus and get her room organized that day, but she’dfail miserably most of the time. She is easily distracted and would passup the opportunity to get unpacked to go out with friends, get onFacebook, or look at YouTube videos.

No matter how much Steph’s life stresses me out, I have learned fromit. I’m all about having a good time in the right setting, but I am comingto realize that I don’t need to be so planned and scheduled. No matterhow carefully you do plan, something will always go awry. I don’tknow that Steph is the one who has taught me that or if I’m just gettingolder, but I’m glad I’m learning that regardless.

  —Jessica Lembke

Being Rather Than DoingI am an extremely relationship-oriented person. While I know thataccomplishing tasks is important, I believe the quality of work peopleproduce is directly related to how they feel about themselves and theirleader.

I had the privilege of working with fifth graders in an after-schoolprogram last year. There was a range of issues we dealt with includingacademic, behavioral, and emotional problems, as well as kids who didnot have safe homes (i.e., no running water or electricity, physical andemotional abuse, and drug addictions within the home). The “goal” ofour program was to help these kids become “proficient” students in theclassroom.

The task-oriented leaders in administration emphasized improvingstudents’ grades through repetition of school work, flash cards, andquizzes. It was important for our students to improve their gradesbecause it was the only way statistically to gauge if our program wassuccessful. Given some of the personal trials these young people weredealing with, the last thing in my “relationship-oriented” mind wasworking on their academics. These young people had so much potentialand wisdom that was stifled when they were asked to blindly followacademic assignments. In addition, they did not know how to self-motivate, self-encourage, or get the work done with so many of life’sobstacles in their way.

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Instead of doing school work, which the majority of my studentsstruggled with and hated, I focused on building relationships with andbetween the students. We used discussion, role play, dance parties, andleadership projects to build their self-confidence and emotionalintelligence. The students put together service projects to improve theirschool and community including initiating a trash pickup and recyclinginitiative at the school and making cards for a nearby nursing home. Bythe end of the year almost every one of my students had improved his orher grades significantly. More important, at our daily “cheer-for-each-other” meetings, the students would beam with pride for their own andothers’ successes.

I guess my point in telling this story is that relationship-orientedleadership is more important to me than task. I much prefer “being”than “doing.” I am not an organized, goal-oriented person. I rarely makeit out of my house without going back two or three times to grabsomething I forgot, and my attention span is shorter than that of a fruitfly. However, I feel that my passion for relationships and humanconnection is what motivates me.

  —Elizabeth Mathews

A Blend of BothThe Style Approach categorizes leaders as being either task oriented orrelationship oriented. While I agree that there are these styles ofleadership, I disagree that everyone can be placed concretely into one orthe other. The Ohio State study says it well by stating that there are“two different continua.” When it comes to determining where I standon each continuum, I’d have to say I’m about even. Not surprisingly,my results of the Task and Relationship Questionnaire reflect thesethoughts: I scored a solid 41 in both task- and relationship-orientedstyles; I’m equally task and relationship oriented, with each of thesestyles becoming more prevalent in certain situations.

While I truly enjoy being around other people, making sure everyone ishappy and that we all enjoy our time, I’m very focused and goaloriented. If I’m at the movies with my friends, I’m not worrying about ato-do list; alternatively, if I’m working on a group project for school,I’m not as concerned about making friends with the group members.

Completing tasks is very important to me. I have an agenda that I keepwith me at all times, partly because without it I would never rememberanything, and partly because it provides satisfaction and peace of mind.

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I make to-do lists for myself: groceries, household chores, homework,and goals. I thrive when I’m busy, but not if I’m disorganized. Forexample, this semester I’m taking 20 credits, applying to graduateschools, taking the GRE, and working at the bookstore. For me it iscomforting to have so many responsibilities. If I have downtime, Iusually waste it, and I hate that feeling.

I also feel, however, that I’m very relationship oriented. My task-oriented nature doesn’t really affect how I interact with people. I like tomake sure people are comfortable and confident in all situations. WhileI pressure myself to get things done and adhere to a schedule, I’d neverthink of pushing those pressures onto someone else. If I were the leaderof a group that wasn’t getting things done, I’d set an example, ratherthan tell someone what he or she should be doing.

For me, the idea of “two continua” really makes sense. Whether I amtask or relationship focused depends on the situation. While I certainlywant to have fun with people, I’m a proponent of the “time and place”attitude, in which people remember when it is appropriate to socializeand when it is appropriate to get a job done.

  —Sally Johnson

On the other hand, it is also true that many groups or situations will haveindividuals who want to be affiliated with or connected to others more thanthey want direction. For example, in a factory, in a classroom, or even at aworkplace like McDonald’s, there are individuals who want the leader tobefriend them and relate to them on a human level. The followers arewilling to work, but they are primarily interested in being recognized andfeeling related to others. An example would be individuals who attend acancer support group. They like to receive information from the leader, buteven more importantly, they want the leader to relate to them. It is similarwith individuals who attend a community-sponsored reading club. Theywant to talk about the book, but they also want the leader to relate to themin a more familiar way. Clearly, in these situations, the leader needs toconnect with these followers by utilizing relationship-oriented behaviors.

Team Experiences

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In addition to task and relationship behaviors, Yukl, Gordon, and Taber(2002) identified a third category of leader behaviors relevant to effectiveleadership, which they labeled change behaviors. Based on an analysis ofa large number of earlier leadership measures, the researchers found thatchange behaviors included visioning, intellectual stimulation, risk taking,and external monitoring. This category of behaviors has been lessprominent in the leadership literature but still is a valuable way tocharacterize what leaders do. Change behaviors are closely related toleadership skills and creating a vision, which we discuss in the next twochapters of the book.

In society, the most effective leaders recognize and adapt to followers’needs. Whether they are team leaders, teachers, or managers, theyappropriately demonstrate the right degrees of task and relationshipleadership. This is no small challenge because different followers andsituations demand different amounts of task and relationship leadership.When followers are unclear, confused, or lost, the leader needs to showdirection and exhibit task-oriented leadership. At the same time, a leaderneeds to be able to see the need for affiliation and attachment in followersand be able to meet those needs, without sacrificing task accomplishment.

In the end, the best leader is the leader who helps followers achieve thegoal by attending to the task and by attending to each follower as a person.We all know leaders who do this: They are the coaches who force us to dodrills until we are blue in the face to improve our physical performance,but who then caringly listen to our personal problems. They are themanagers who never let us slack off for even a second but who make worka fun place to be. The list goes on, but the bottom line is that the bestleaders get the job done and care about others in the process.

Leaders’ Value Systems

SummaryGood leaders are both task oriented and relationship oriented.Understanding your personal styles of work and play can provide a better

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recognition of your leadership. Task-oriented people find meaning indoing, while relationship-oriented people find meaning in being connectedto others. Effective leadership requires that leaders be both task orientedand relationship oriented.

Glossary Termsconcern for people 105concern for production 104consideration behavior 105employee orientation 105initiating structure 103personal styles 100production orientation 104relationship-oriented leadership 103task-oriented leadership 103

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Application

5.1 Case Study: From Two to OneMark Schmidt runs Co-Ed Cleaners, a business that employs collegestudents to clean offices and schools during the night hours. Due to aneconomic downturn, Co-Ed Cleaners has lost customers, and althoughMark has trimmed everywhere he can think of, he has come to theconclusion that he has to cut back further. This will require letting oneof his two managers go and consolidating responsibilities under theother manager’s leadership.

Dan Cali manages groups of students who clean school buildings. Dan

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is always on the go, visiting cleaning teams at each school while theyare working. His employees describe him as an efficient taskmasterwith checklists they are all required to follow and sign off on as theycomplete each job. Dan initiates most ideas for changing processesbased on efficiency. When something goes wrong on a job, Dan insistshe be alerted and brought in to solve it. “Dan is a very task-orientedguy,” says one of his team members. “There is no one who worksharder than he does or knows more about our jobs. This guy gets moredone in an hour than most guys do in a day. In the two years I’ve beenhere, I don’t think I’ve ever seen him stop and take a break or even havea cup of coffee.” Dan’s efforts have helped Co-Ed Cleaners berecognized as “The Best Professional Cleaning Service” for three yearsrunning.

Asher Roland is the manager of groups of students who clean smalloffices and businesses. Asher has up to 10 teams working a night andrelies on his employees to do their jobs and keep him apprised ofproblems. He takes turns working alongside his teams to understand thechallenges they may face, getting to know each of his employees in theprocess. Once a month, he takes the teams to a restaurant for a “GreatJob Breakfast” where they talk about sports, the weather, politics, theirrelationships and families, and, when they have time, work issues. Oneof his employees describes him this way: “Asher is a really good guy.Never had a better boss. If I am having problems, I would go to Asherfirst. He always advocates for us and listens when we have ideas orproblems, but allows us to manage our own jobs the way we think best.He trusts us to do the right things, and we trust him to be fair and honestwith us.”

Mark likes both Dan and Asher, and in their own way they are bothgood managers. Mark worries, however, about how each manager’sindividual style will affect his ability to take on the responsibilities ofthe manager he replaces. He must let one go, but he doesn’t knowwhich one.

Questions1. Using ideas from the chapter, describe Dan’s and Asher’s styles of

leadership.2. How will Asher’s employees, who are used to being able to

manage themselves in their own way, respond to Dan’s task-oriented style?

3. How will Dan’s employees, who are used to being given cleardirection and procedures, respond to Asher’s more relationship-

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oriented style?4. If you were an employee at Co-Ed Cleaners, would you want

Mark to let Dan or Asher go? Explain your choice.

5.2 Task and Relationship Questionnaire

Purpose

1. To identify how much you emphasize task and relationshipbehaviors in your life

2. To explore how your task behavior is related to your relationshipbehavior

Directions

For each item below, indicate on the scale the extent to which youengage in the described behavior. Move through the items quickly. Donot try to categorize yourself in one area or another.

Statements Never Rarely Sometimes Often Always

1. Make a to-dolist of the thingsthat need to bedone.

1 2 3 4 5

2. Try to makethe work fun forothers.

1 2 3 4 5

3. Urge others toconcentrate onthe work at hand.

1 2 3 4 5

4. Show concernfor the personalwell-being ofothers.

1 2 3 4 5

5. Set timelinesfor when the job 1 2 3 4 5

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needs to be done.

6. Help groupmembers getalong.

1 2 3 4 5

7. Keep achecklist of whathas beenaccomplished.

1 2 3 4 5

8. Listen to thespecial needs ofeach groupmember.

1 2 3 4 5

9. Stress toothers the rulesand requirementsfor the project.

1 2 3 4 5

10. Spend timeexploring otherpeople’s ideasfor the project.

1 2 3 4 5

11. Pay closeattention toprojectdeadlines.

1 2 3 4 5

12. Act friendlytoward othergroup members.

1 2 3 4 5

13. Clarify eachgroup member’sjobresponsibilities.

1 2 3 4 5

14. Expresssupport for othergroup members’

1 2 3 4 5

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ideas.

15. Emphasizeperformancestandards for thegroup.

1 2 3 4 5

16. Talk withother groupmembers abouttheir personalconcerns.

1 2 3 4 5

17. Keep othergroup membersfocused on goals.

1 2 3 4 5

18. Emphasizeeveryone’suniquecontributions tothe group.

1 2 3 4 5

19. Follow rulesand regulationsclosely.

1 2 3 4 5

20. Expresspositive feelingstoward others inthe group.

1 2 3 4 5

Scoring

1. Sum scores for the odd-numbered statements (task score).2. Sum scores for the even-numbered statements (relationship score).

Total Scores

Task score: ________________________Relationship score: __________________

Scoring Interpretation

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This questionnaire is designed to measure your task-oriented andrelationship-oriented leadership behavior. By comparing your scores,you can determine which style is more dominant in your own style ofleadership. If your task score is higher than your relationship score, youtend to give more attention to goal accomplishment and somewhat lessattention to people-related matters. If your relationship score is higherthan your task score, your primary concern tends to be dealing withpeople, and your secondary concern is directed more toward tasks. Ifyour scores are very similar to each other, it suggests that yourleadership is balanced and includes an equal amount of both behaviors.

If your score is 45–50, you are in the very high range.If your score is 40–44, you are in the high range.If your score is 35–39, you are in the moderately high range.If your score is 30–34, you are in the moderately low range.If your score is 25–29, you are in the low range.If your score is 10–24, you are in the very low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

5.3 Observational Exercise

Task and Relationship

Purpose

1. To understand how leadership includes both task and relationshipbehaviors

2. To contrast different leaders’ task and relationship behaviors

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Directions

1. Over the next couple of days, observe the leadership styles of twodifferent leaders (e.g., teacher, athletic coach, choir director,restaurant manager, work supervisor).

2. Record your observations of the styles of each person.

Leader #1 (name)_____________________________________________________________________

Task behaviors Relationship behaviors

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

Leader #2 (name)________________________________________________________________________

Task behaviors Relationship behaviors

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

•_________________________________________

Questions

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1. What differences did you observe between the two leaders?2. What did you observe about the leader who was most task

oriented?3. What did you observe about the leader who was most relationship

oriented?4. How effective do you think you would be in each of these

leadership positions?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

5.4 Reflection and Action Worksheet

Task and Relationship

Reflection

1. As you reflect on what has been discussed in this chapter and onyour own leadership style, how would you describe your ownstyle in relation to task and relationship orientations? What areyour strengths and weaknesses?

2. What biases do you maintain regarding task style and relationshipstyle? How do your biases affect your leadership?

3. One of the most difficult challenges leaders face is to integratetheir task and relationship behaviors. Do you see this as achallenge in your own leadership? How do you integrate task andrelationship behaviors?

Action

1. If you were to change in an effort to improve your leadership,what aspect of your style would you change? Would you try to bemore task oriented or more relationship oriented?

2. Identify three specific task or relationship changes you could carryout.

3. What barriers will you face as you try to make these changes?4. Given that you believe this change will improve your overall

leadership, what can you do (i.e., what strategies can you use) toovercome the barriers you cite in Action Item #3 above?

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Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesBlake, R. R., & McCanse, A. A. (1991). Leadership dilemmas: Grid

solutions. Houston, TX: Gulf.

Blake, R. R., & Mouton, J. S. (1964). The managerial grid. Houston, TX:Gulf.

Bowers, D. G., & Seashore, S. E. (1966). Predicting organizationaleffectiveness with a four-factor theory of leadership. AdministrativeScience Quarterly, 11(2), 238–263.

Kahn, R. L. (1956). The prediction of productivity. Journal of SocialIssues, 12(2), 41–49.

Misumi, J. (1985). The behavioral science of leadership: Aninterdisciplinary Japanese research program. Ann Arbor: University ofMichigan Press.

Rohrlich, J. B. (1980). Work and love: The crucial balance. New York,NY: Summit Books.

Stogdill, R. M. (1974). Handbook of leadership: A survey of theory andresearch. New York, NY: Free Press.

Wilz, M. (2012, December 29). Don’t just talk about change. Show it [astold to P. R. Olsen]. The New York Times. Retrieved fromhttp://www.nytimes.com/2012/12/30/jobs/the-visual-workplace-and-

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how-to-build-it.html

Yukl, G., Gordon, A., & Taber, T. (2002). A hierarchical taxonomy ofleadership behavior: Integrating a half century of behavior research.Journal of Leadership & Organizational Studies, 9(1), 15–32.

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6 Developing Leadership Skills

IntroductionWhether it is playing the guitar, a video game, or the stock market, most oflife’s activities require us to have skills if we are to be successful. Thesame is true of leadership—skills are required. As discussed in the firstchapter, leadership skills refer to learned competencies that leaders areable to demonstrate in performance (Katz, 1955). Leadership skills givepeople the capacity to influence others. They are a critical component insuccessful leadership.

What Types of Skills Should Leaders Seek to Develop?

Even though skills play an essential role in the leadership process, theyhave received little attention by researchers (Lord & Hall, 2005; T.Mumford, Campion, & Morgeson, 2007). Leadership traits rather thanleadership skills have been the focus of research for more than 100 years.However, in the past 10 years a shift has occurred, and leadership skills arenow receiving far more attention by researchers and practitioners alike (M.Mumford, Zaccaro, Connelly, & Marks, 2000; Yammarino, 2000).

Figure 6.1 Model of Primary Leadership Skills

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Developing Skills

Although there are many different leadership skills, they are oftenconsidered as groups of skills. In this chapter, leadership skills are groupedinto three categories: administrative skills, interpersonal skills, andconceptual skills (see Figure 6.1). The next section describes each group ofskills and explores the unique ways they affect the leadership process.

Administrative Skills ExplainedWhile often devalued because they are not glamorous or exciting,administrative skills play a primary role in effective leadership.Administrative skills help a leader to accomplish the mundane but

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critically important aspects of showing leadership. Some would even arguethat administrative skills are the most fundamental of all the skills requiredof a leader.

Administrative Skills

What are administrative skills? Administrative skills refer to thosecompetencies a leader needs to run an organization in order to carry outthe organization’s purposes and goals. These involve planning, organizingwork, assigning the right tasks to the right people, and coordinating workactivities (Mann, 1965).

Administrative Skills in PracticeFor purposes of our discussion, administrative skills are divided into threespecific sets of skills: (1) managing people, (2) managing resources, and(3) showing technical competence.

Managing People

Any leader of a for-profit or nonprofit organization, if asked what occupiesthe most time, will reply, “Managing people.” Few leaders can do withoutthe skill of being able to manage people. The phrase management bywalking around captures the essence of managing people. An effectiveleader connects with people and understands the tasks to be done, thoseskills required to perform them, and the environment in which peoplework. The best way to know this is to be involved rather than to be aspectator. For a leader to deal effectively with people requires a host ofabilities such as helping employees to work as a team, motivating them todo their best, promoting satisfying relationships among employees, andresponding to their requests. The leader also needs to find time to deal withurgent staff matters. Staff issues are a daily fact of life for any leader. Staffmembers come to the leader for advice on what to do about a problem, andthe leader needs to respond appropriately.

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Working in Teams

A leader must also pay attention to recruiting and retaining employees. Inaddition, leaders need to communicate effectively with their own board ofdirectors, as well as with any external constituencies such as the public,stockholders, or other outside groups that have a stake in the organization.

Consider the leadership of Nate Parker, the director of an after-schoolrecreation program serving 600 kids in a large metropolitan community.Nate’s program is funded by an $800,000 government grant. It providesacademic, fitness, and enrichment activities for underserved children andtheir families. Nate has managers who assist him in running the after-school program in five different public schools. Nate’s ownresponsibilities include setting up and running staff meetings, recruitingnew staff, updating contracts, writing press releases, working with staff,and establishing relationships with external constituencies. Nate takesgreat pride in having created a new and strong relationship between thecity government and the school district in which he works. Until he cameon board, the relationship between the schools and city government wastense. By communicating effectively across groups, Nate was able to bringthe entire community together to serve the children. He is now researchingthe possibility of a citywide system to support after-school programming.

Managing Resources

Although it is not obvious to others, a leader is often required to spend asignificant amount of time addressing resource issues. Resources, thelifeblood of an organization, can include people, money, supplies,equipment, space, or anything else needed to operate an organization.Managing resources requires a leader to be competent in both obtainingand allocating resources. Obtaining resources can include a wide range ofactivities such as ordering equipment, finding work space, or locatingfunds for special projects. For example, a middle school cross-countrycoach wanted to replace her team’s outdated uniforms, but had no funds todo so. In order to buy new uniforms, the coach negotiated with the athleticdirector for additional funds. The coach also encouraged several parents inthe booster club to sponsor a few successful fund-raisers.

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Decision Making

In addition to obtaining resources, a leader may be required to allocateresources for new staff or new incentive programs, or to replace oldequipment. While a leader may often engage staff members to assist inmanaging resources, the ultimate responsibility of resource managementrests on the leader. As the sign on President Harry S. Truman’s desk read,“The buck stops here.”

Showing Technical Competence

Technical competence involves having specialized knowledge about thework we do or ask others to do. In the case of an organization, it includesunderstanding the intricacies of how an organization functions. A leaderwith technical competence has organizational know-how—he or sheunderstands the complex aspects of how the organization works. Forexample, a university president should be knowledgeable about teaching,research, student recruitment, and student retention; a basketball coachshould be knowledgeable about the basics of dribbling, passing, shooting,and rebounding; and a sales manager should have a thoroughunderstanding of the product the salespeople are selling. In short, a leaderis more effective when he or she has the knowledge and technicalcompetence about the activities followers are asked to perform.

Technical competence is sometimes referred to as “functionalcompetence” because it means a person is competent in a particularfunction or area. No one is required to be competent in all avenues of life.So, too, a leader is not required to have technical competence in everysituation. Having technical skills means being competent in a particulararea of work, the area in which one is leading.

The importance of having technical competence can be seen in theexample of an orchestra conductor. The conductor’s job is to directrehearsals and performances of the orchestra. To do this, the conductorneeds technical competence pertaining to rhythm, music composition, andall the many instruments and how they are played. Technical competencegives the conductor the understanding required to direct the many differentmusicians to perform together successfully.

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Interpersonal Skills ExplainedIn addition to administrative skills, effective leadership requiresinterpersonal skills (see Figure 6.1). Interpersonal skills are people skills—those abilities that help a leader to work effectively with followers,peers, and superiors to accomplish the organization’s goals. While somepeople downplay the importance of interpersonal skills or disparage themas “touchy-feely” and inconsequential, leadership research has consistentlypointed out the importance of interpersonal skills to effective leadership(Bass, 1990; Blake & McCanse, 1991; Katz, 1955).

Interpersonal Skills

Interpersonal Skills in PracticeInterpersonal skills are divided into three parts: (1) being sociallyperceptive, (2) showing emotional intelligence, and (3) managinginterpersonal conflicts.

Being Socially Perceptive

To successfully lead an organization toward change, a leader needs to besensitive to how her or his own ideas fit in with others’ ideas. Socialperceptiveness includes having insight into and awareness of what isimportant to others, how they are motivated, the problems they face, andhow they react to change. It involves understanding the unique needs,goals, and demands of different organizational constituencies (Zaccaro,Gilbert, Thor, & Mumford, 1991). A leader with social perceptiveness hasa keen sense of how employees will respond to any proposed change in theorganization. In a sense, you could say a socially perceptive leader has afinger on the pulse of employees on any issue at any time.

Leadership is about change, and people in organizations often resistchange because they like things to stay the same. Novel ideas, differentrules, or new ways of doing things are often seen as threatening becausethey do not fit in with how people are used to things being done. A leader

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who is socially perceptive can create change more effectively if he or sheunderstands how the proposed change may affect all the people involved.

One example that demonstrates the importance of social perceptiveness isillustrated in the events surrounding the graduation ceremonies at theUniversity of Michigan in the spring of 2008. The university anticipated5,000 students would graduate, with an expected audience of 30,000. Inprior years, the university traditionally held spring graduation ceremoniesin the football stadium, which, because of its size, is commonly known as“the Big House.” However, because the stadium was undergoing majorrenovations, the university was forced to change the venue for graduationand decided to hold the graduation at the outdoor stadium of nearbyEastern Michigan University. When the university announced the changeof location, the students, their families, and the university’s alumniresponded immediately and negatively. There was upheaval as they madetheir strong opinions known.

Clearly, the leadership at the university had not perceived the significanceto seniors and their families of where graduation ceremonies were to beheld. It was tradition to graduate in the Big House, so changing the venuewas offensive to many. Phone calls came into the president’s office, andeditorials appeared in the press. Students did not want to graduate on thecampus of another university. They thought that they deserved to graduateon their own campus. Some students, parents, and alumni even threatenedto withhold future alumni support.

To correct the situation, the university again changed the venue. Instead ofholding the graduation at Eastern Michigan University, the universityspent $1.8 million to set up a temporary outdoor stage in the center ofcampus, surrounded by the University of Michigan’s classroom buildingsand libraries. The graduating students and their families were pleased thatthe ceremonies took place where their memories and traditions were sostrong. The university ultimately was successful because it adapted to thedeeply held beliefs of its students and their families. Clearly, if theuniversity had been more socially perceptive at the outset, the initialdissatisfaction and upheaval that arose could have been avoided.

Showing Emotional Intelligence

Another important skill for a leader is being able to show emotional

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intelligence. Although emotional intelligence emerged as a concept lessthan 20 years ago, it has captivated the interests of many scholars andpractitioners of leadership (Caruso & Wolfe, 2004; Goleman, 1995; Mayer& Salovey, 1995). Emotional intelligence is concerned with a person’sability to understand his or her own and others’ emotions, and then toapply this understanding to life’s tasks. Specifically, emotional intelligencecan be defined as the ability to perceive and express emotions, to useemotions to facilitate thinking, to understand and reason with emotions,and to manage emotions effectively within oneself and in relationshipswith others (Mayer, Salovey, & Caruso, 2000).

Emotional Intelligence and Performance

The underlying premise of research on emotional intelligence is thatpeople who are sensitive to their own emotions and the impact theiremotions have on others will be more effective leaders. Since showingemotional intelligence is positively related to effective leadership, whatshould a leader do to enhance his or her emotional skills?

First, leaders need to work on becoming aware of their own emotions,taking their emotional pulse, and identifying their feelings as they happen.Whether it is mad, glad, sad, or scared, a leader needs to assess constantlyhow he or she is feeling and what is causing those feelings.

Leadership Snapshot: Coquese Washington, Head Coach, Penn StateWomen’s Basketball

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© Jeff Golden/Contributor/Getty Images Sport/Getty Images

It was apparent early on that Coquese Washington had skills that wouldtake her places. She grew up in Flint, Michigan, where she played sevenmusical instruments in high school, was an All-State selection for girls’basketball two years in a row, and was awarded a scholarship to attendNotre Dame. She finished Notre Dame in three years, earning abachelor’s degree in history. After taking a year off to be a high schoolspecial education teacher in her hometown, she returned to her almamater to earn a juris doctorate from the Notre Dame Law School.

But where she ended up . . . well, not even she saw that coming.

Washington was a gifted basketball player, and although she excelled atthe sport in high school and it is what brought her to play at NotreDame, she says her dream was always to practice law.

But after law school, she took a left turn, being recruited and chosen toplay for the Portland Power of the ABL (American Basketball League),a short-lived women’s professional basketball league. A year later shejoined the WNBA (Women’s National Basketball Association), playingfirst for the New York Liberty and then moving to Houston, helping theComets win the WNBA title. She was traded to the Indiana Fever andguided that team to its first ever playoff berth, becoming the first playerin WNBA history to lead three different teams to the postseasontournament.

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Former teammate Rebecca Lobo describes Washington as “a smartteammate who liked to learn. She could fit in with any crowd and hadeveryone’s respect because she could blend without compromising whoshe was” (Haverbeck, 2007).

The WNBA season is in the summer, which allowed Washington tobegin coaching at Notre Dame as an assistant under her former coachMuffet McGraw in the off-season. “She did not have any experience,but I thought she’d be great at it,” McGraw says. “I wanted to give herthat opportunity and just see if I could try to talk her into trying it outand she was just good at it. I think she found her passion” (McKenna,2013).

It was also during this time that Washington’s legal skills were calledinto action. She had been working as an attorney for a New York lawfirm, so when the WNBA players decided to form a union, she broughther litigation skills to the effort. She became the founding president ofthe Women’s National Basketball Players’ Association and negotiatedthe players’ first collective bargaining agreement. Lobo said thatWashington was “a godsend” during the negotiations. “She waslevelheaded and bright and also had her law degree” (Haverbeck, 2007).

It was in law school that she learned to research, analyze situations, anddevelop strategies, and Washington admits she always thought shewould return to being a lawyer, but somewhere along the way thatchanged.

“I thought ‘Man, I like coaching, you know. I like the relationships thatI have with the players. I like being in the gym,’” Washington said. “Iloved basketball. I love being around basketball. I never thought Iwould enjoy coaching as much as I have, but I really do enjoy it”(McKenna, 2013).

In 2007, Washington was tapped to be the head coach of Penn State’swomen’s basketball team. Her success there has been steady; by 2013,she led the Lady Lions to three consecutive appearances at the NationalCollegiate Athletic Association Women’s Division I BasketballChampionships.

But the winning isn’t what’s keeping Washington on the court. It’s theopportunity to be a mentor and leader to her players.

“Mentoring them and helping them learn to become powerful, dynamicwomen—that’s the thing I love best of all.

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“We use basketball as a vehicle, but I’m probably most proud of ourkids’ ability to achieve. I’ve learned over the years that that is a skillthat’s developed, not something you’re born with. Perseverance,persistence, belief—there are so many skills that have to be nurtured tobecome an achiever” (Nilsen, 2009).

It’s a philosophy her players respond to. “I think the biggest thing thatcoach does is not only tell us what to do, she does it herself,” says PennState player Alex Bentley. “She has been through the WNBA, she hasbeen through coaching at the top institutions already. She knows thegame and I have been picking her brain ever since I was a freshmanstepping on the court.

“She is the epitome of a great woman. We just see that and want to belike that, she is a role model and a mentor. Us as women, we want to belike that one day” (McKenna, 2013).

Second, a leader should train to become aware of the emotions of others. Aleader who knows how to read others’ emotions is better equipped torespond appropriately to these people’s wants and needs. Stated anotherway, a leader needs to have empathy for others. He or she shouldunderstand the feelings of others as if those feelings were his or her own.Salovey and Mayer (1990) suggested that empathy is the criticalcomponent of emotional intelligence. Empathy, and how to demonstrate it,is discussed further in Chapter 10, “Listening to Out-Group Members.”

Third, a leader needs to learn how to regulate his or her emotions and putthem to good use. Whenever a leader makes a substantial decision, theleader’s emotions are involved. Therefore, emotions need to be embracedand managed for the good of the group or organization. When a leader issensitive to others and manages his or her own emotions appropriately,that leader increases the chances that the group’s decisions will beeffective. For example, a high school principal sensed that she wasbecoming extremely angry with some students who pulled a prank duringan assembly. Instead of expressing her anger—“losing it”—she maintainedher composure and helped to turn the prank into a learning experience. Thekey point here is that people with emotional intelligence understandemotions and incorporate these in what they do as leaders. To summarize,a leader with emotional intelligence listens to his or her own feelings andthe feelings of others, and is adept at regulating these emotions in serviceof the common good.

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Handling Conflict

A leader also needs to have skill in handling conflict. Conflict isinevitable. Conflict creates the need for change and occurs as the result ofchange. Conflict can be defined as a struggle between two or moreindividuals over perceived differences regarding substantive issues (e.g.,the correct procedure to follow) or over perceived differences regardingrelational issues (e.g., the amount of control each individual has within arelationship). When confronted with conflict, leaders and followers oftenfeel uncomfortable because of the strain, controversy, and stress thataccompany conflict. Although conflict is uncomfortable, it is notunhealthy, nor is it necessarily bad. If conflict is managed in effective andproductive ways, the result is a reduction of stress, an increase in creativeproblem solving, and a strengthening of leader–follower and team-memberrelationships.

Because conflicts are usually very complex, and addressing them is neversimple, Chapter 11, “Managing Conflict,” provides a more thoroughexamination of the components of conflict and offers several practicalcommunication approaches that a leader can take to constructively resolvedifferences.

Conceptual Skills ExplainedWhereas administrative skills are about organizing work, and interpersonalskills are about dealing effectively with people, conceptual skills areabout working with concepts and ideas. Conceptual skills involve thethinking or cognitive aspects of leadership and are critical to such things ascreating a vision or strategic plan for an organization. A leader withconceptual skills is able to conceive and communicate the ideas that shapean organization from its goals and mission to how to best solve problems.

Traits and Conceptual Skills

Conceptual Skills in Practice

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Conceptual skills for leaders can be divided into three parts: (1) problemsolving, (2) strategic planning, and (3) creating vision.

Problem Solving

We all know people who are especially good at problem solving. Whensomething goes wrong or needs to be fixed, they are the first ones to jumpin and address the problem. Problem solvers do not sit idly by when thereare problems. They are quick to ask, “What went wrong?” and they areready to explore possible answers to “How can it be fixed?” Problem-solving skills are essential for effective leadership.

Problem-Solving Skills

What are problem-solving skills? Problem-solving skills refer to aleader’s cognitive ability to take corrective action in a problem situation inorder to meet desired objectives. The skills include identifying theproblem, generating alternative solutions, selecting the best solution fromamong the alternatives, and implementing that solution (see Table 6.1).These skills do not function in a vacuum, but are carried out in a particularsetting or context.

Table 6.1 Steps in Problem SolvingTable 6.1 Steps in Problem

Solving

1. Identify the problem

2. Generate alternative solutions

3. Select the best solution

4. Implement the solution

Step 1: Identify the problem. The first step in the problem-solvingprocess is to identify or recognize the problem. The importance of this step

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cannot be understated. Seeing a problem and addressing it is at the core ofsuccessful problem solving. All of us are confronted with many problemsevery day, but some of us fail to see those problems or even to admit thatthey exist. Others may recognize that something is wrong but then donothing about it. People with problem-solving skills see problems andaddress them.

Some problems are simple and easy to define, while others are complexand demand a great deal of scrutiny. Problems arise when there is adifference between what is expected and what actually happens.Identifying the problem requires awareness of these differences. Thequestions we ask in this phase of problem solving are “What is theproblem?” “Are there multiple aspects to it?” and “What caused it?”Identifying the exact nature of the problem precedes everything else in theproblem-solving process.

Step 2: Generate alternative solutions. After identifying the problem andits cause or causes, the next step in problem solving is to generatealternative solutions where there is more than one possible resolution tothe problem. Because problems are often complex, there are usually manydifferent ways of trying to correct them. During this phase of problemsolving, it is important to consider as many solutions as possible and notdismiss any as unworthy. For example, consider a person with a majorhealth concern (e.g., cancer or multiple sclerosis). There are often manyways to treat the illness, but before choosing a course of treatment it isimportant to consult a health professional and explore all the treatmentoptions. Every treatment has different side effects and differentprobabilities for curing the illness. Before choosing an option, people oftenwant to be sure that they have fully considered all of the possible treatmentoptions. The same is true in problem solving. Before going forward, it isimportant to consider all the available options for dealing with a problem.

Step 3: Select the best solution. The next step in problem solving is toselect the best solution to the problem. Solutions usually differ in how wellthey address a particular problem, so the relative strengths and weaknessesof each solution need to be addressed. Some solutions are straightforwardand easy to enact, while others are complex or difficult to manage.Similarly, some solutions are inexpensive while others are costly. Manycriteria can be used to judge the value of a particular solution as it appliesto a given problem. Selecting the best solution is the key to solving a

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problem effectively.

The importance of selecting the best solution can be illustrated in ahypothetical example of a couple with marital difficulties. Havingstruggled in their marriage for more than two years, the couple decides thatthey must do something to resolve the conflict in their relationship.Included in the list of what they could do are attend marital counseling,receive individual psychiatric therapy, separate, date other people eventhough they are married, and file for divorce. Each of these solutionswould have a different impact on what happens to the couple and theirmarital relationship. While not exhaustive, the list highlights theimportance in problem solving of selecting the best solution to a givenproblem. The solutions we choose have a major impact on how we feelabout the outcome of our problem solving.

Step 4: Implement the solution. The final step in problem solving isimplementing the solution. Having defined the problem and selected asolution, it is time to put the solution into action. Implementing thesolution involves shifting from thinking about the problem to doingsomething about the problem. It is a challenging step: It is not uncommonto meet with resistance from others when trying to do something new anddifferent to solve a problem. Implementing change requirescommunicating with others about the change, and adapting the change tothe wants and needs of those being affected by the change. Of course,there is always the possibility that the chosen solution will fail to addressthe problem; it might even make the problem worse. Nevertheless, there isno turning back at this phase. There is always a risk in implementingchange, but it is a risk that must be taken to complete the problem-solvingprocess.

To clarify what is meant by problem-solving skills, consider the followingexample of John and Kristen Smith and their troublesome dishwasher. TheSmiths’ dishwasher was five years old, and the dishes were no longercoming out clean and sparkling. Analyzing the situation, the Smithsdetermined that the problem could be related to several possible causes:their use of liquid instead of powdered dish detergent, a bad seal on thedoor of the dishwasher, ineffective water softener, misloading of thedishwasher, or a defective water heater. Not knowing what the problemwas, John thought they should implement all five possible solutions atonce. Kristen disagreed, and suggested they address one possible solution

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at a time to determine the cause. The first solution they tried was to changethe dish detergent, but this did not fix the problem. Next, they changed theseal on the door of the dishwasher—and this solved the problem. Byaddressing the problem carefully and systematically, the Smiths were ableto find the cause of the dishwasher malfunction and to save themselves agreat deal of money. Their problem-solving strategy was effective.

Strategic Planning

A second major kind of conceptual skill is strategic planning. Likeproblem solving, strategic planning is mainly a cognitive activity. A leaderneeds to be able to think and consider ideas to develop effective strategiesfor a group or an organization. Being strategic requires developing carefulplans of action based on the available resources and personnel to achieve agoal. It is similar to what generals do in wartime: They make elaborateplans of how to defeat the enemy given their resources, personnel, and themission they need to accomplish. Similarly, athletic coaches take theirknowledge of their players and their abilities to create game plans for howto best compete with the opposing team. In short, strategic planning isabout designing a plan of action to achieve a desired goal.

Strategic Planning

In their analysis of research on strategic leadership, Boal and Hooijberg(2000) suggested that strategic leaders need to have the ability to learn, thecapacity to adapt, and managerial wisdom. The ability to learn includesthe capability to absorb new information and apply it toward new goals. Itis a willingness to experiment with new ideas and even to accept failures.The capacity to adapt is about being able to respond quickly to changes inthe environment. A leader needs to be open to and accepting of change.When competitive conditions change, an effective leader will have thecapacity to change. Having managerial wisdom refers to possessing a deepunderstanding of the people with whom and the environment in which aleader works. It is about having the good sense to make the right decisionsat the right time, and to do so with the best interests of everyone involved.

To illustrate the complexity of strategic planning, consider the following

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example of how NewDevices, a startup medical supply company, usedstrategic thinking to promote itself. NewDevices developed a surgicalscanner to help surgical teams reduce errors during surgery. Althoughthere were no such scanners on the market at that time, two companieswere developing a similar product. The potential market for the productwas enormous and included all the hospitals in the United States (almost8,000 hospitals). Because it was clear that all hospitals would eventuallyneed this scanner, NewDevices knew it was going to be in a race tocapture the market ahead of the other companies.

NewDevices was a small company with limited resources, so managementwas well aware of the importance of strategic planning. Any singlemistake could threaten the survival of the company. Because everyone atNewDevices, including the sales staff, owned stock in the company,everyone was strongly motivated to work to make the company succeed.Sales staff members were willing to share effective sales approaches witheach other because, rather than being in competition, they had a commongoal.

Every Monday morning the management team met for three hours todiscuss the goals and directions for the company. Much time was spent onframing the argument for why hospitals needed the NewDevices scannermore than its competitors’ scanners. To make this even more challenging,the NewDevices scanner was more expensive than the competition,although it was also safer. NewDevices chose to sell the product bystressing that it could save money in the long run for hospitals because itwas safer and would reduce the incidence of malpractice cases.

Managers also developed strategies about how to persuade hospitals tosign on to their product. They contacted hospitals to inquire as to whomthey should direct their pitch for the new product. Was it the director ofsurgical nursing or some other hospital administrator? In addition, theyanalyzed how they should allocate the company’s limited resources.Should they spend more money on enhancing their website? Did they needa director of advertising? Should they hire more sales representatives? Allof these questions were the subject of much analysis and debate.NewDevices knew the stakes were very high; if management slipped evenonce, the company would fail.

This example illustrates that strategic planning is a multifaceted process.By planning strategically, however, leaders and their employees can

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increase the likelihood of reaching their goals and achieving the aims ofthe organization.

Creating Vision

Similar to strategic planning, creating vision takes a special kind ofcognitive and conceptual ability. It requires the capacity to challengepeople with compelling visions of the future. To create vision, a leaderneeds to be able to set forth a picture of a future that is better than thepresent, and then move others toward a new set of ideals and values thatwill lead to the future. A leader must be able to articulate the vision andengage others in its pursuit. Furthermore, the leader needs to be able toimplement the vision and model the principles set forth in the vision. Aleader with a vision has to “walk the walk,” and not just “talk the talk.”Building vision is an important leadership skill and one that receivesextensive discussion in Chapter 7, “Creating a Vision.”

SummaryIn recent years, the study of leadership skills has captured the attention ofresearchers and practitioners alike. Skills are essential to being an effectiveleader. Unlike traits that are innate, leadership skills are learnedcompetencies. Everyone can learn to acquire leadership skills. In thischapter, we considered three types of leadership skills: administrativeskills, interpersonal skills, and conceptual skills.

Often thought of as unexciting, administrative skills play a primary role ineffective leadership. These are the skills a leader needs to run theorganization and carry out its purposes. These are the skills needed to planand organize work. Specifically, administrative skills include managingpeople, managing resources, and showing technical competence.

A second type of skills is interpersonal skills, or people skills. These arethe competencies that a leader needs to work effectively with followers,peers, and superiors to accomplish the organization’s goals. Research hasshown unequivocally that interpersonal skills are of fundamentalimportance to effective leadership. Interpersonal skills can be divided intobeing socially perceptive, showing emotional intelligence, and managinginterpersonal conflict.

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A leader also needs conceptual skills. Conceptual skills have to do withworking with concepts and ideas. These are cognitive skills that emphasizethe thinking ability of a leader. Although these cover a wide array ofcompetencies, conceptual skills in this chapter are divided into problemsolving, strategic planning, and creating vision.

In summary, administrative, interpersonal, and conceptual skills play amajor role in effective leadership. Through practice and hard work, we canall become better leaders by improving our skills in each of these areas.

Glossary Termsadministrative skills 118conceptual skills 125interpersonal skills 121problem-solving skills 126social perceptiveness 121strategic planning 128technical competence 120

Sharpen your skills with SAGE edge atedge.sagepub.com/northouseintro4e

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Application

6.1 Case Study: Sweet Caroline’sIt started with cupcakes. As a teacher at Oak Park Elementary, Carolinewould often make cupcakes for the school’s teachers and staff.Everyone raved about her baking expertise, and a colleague askedCaroline to make cupcakes for her son’s birthday party. The treats weresuch a hit that many of the parents at the party asked Caroline for herphone number, and she quickly found herself baking for multiple

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parties a week.

After a year of baking for private parties, an opportunity arose forCaroline to take her business to the next level. After a local coffee shopwent out of business, Caroline signed a contract for its space andopened Sweet Caroline’s, a bakery featuring her cupcakes, muffins,Danish, and other baked goods.

Starting small with birthday parties and graduations and growing towedding receptions and banquets, Sweet Caroline’s quickly became themost sought-after caterer in the city. As the demand for cateringcupcakes and cakes outside of regular business hours grew, Carolineexpanded her staff and the services they offered. In just five years,Sweet Caroline’s morphed from a small bakery into a full-servicerestaurant and catering company.

Although Caroline had no plans of ever going into business, SweetCaroline’s has been very successful. Caroline is very personable andgenuine, which has been instrumental in creating a large and loyalcustomer base. Furthermore, Caroline’s intuitive sense for how to tailorher services to fit the needs of the community has fueled the company’sgrowth. Despite her success, however, Caroline has struggled withcertain aspects of running Sweet Caroline’s.

Now five years after Sweet Caroline’s opened, it has become a highlycomplex operation to keep organized. Caroline’s staff has grown to 40employees, some who work in the bakery, some in the restaurant, andsome in both places. There are five drivers who deliver cupcakes, cakes,and other catered goods to private parties and businesses six days aweek. In addition, Caroline runs weekly ads in the local media, on theradio, and on the Web. Her 22-year-old daughter manages thecompany’s Facebook page and Twitter account, which boasts more than3,000 followers.

Caroline is a skilled baker, but she is finding that the demands of hergrowing business and client base are creating challenges that are out ofher area of expertise. Many of these fall into the administrative areawhere she hasn’t the patience or knowledge to deal with detail-orientedaspects of managing her business.

For example, Dale, Sweet Caroline’s delivery driver, is often frustratedbecause the company does not have a system for how orders are to bedelivered throughout the city. Dale worked for another company thathad a “zone system” so that each driver delivered all orders in onespecific area on a given day. In addition, Caroline has opted not to use

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computers at her company, so all delivery orders are written by handand then rewritten on clipboards for the drivers when the order is ready.There are often mistakes including duplicate deliveries or a deliverythat gets missed completely.

Caroline also struggles with scheduling. Employees’ work schedulesare developed the weekend before the start of a workweek so thatemployees often are unaware of their upcoming shifts. As a result,Sweet Caroline’s is constantly understaffed. The food and baked goodsare so good that patrons rarely complain about the wait, but staffmembers get frustrated with the lack of notice regarding theirschedules, the lack of staffing, and the stresses these issues cause.

When it comes to catering events, there is often chaos as Carolinechooses to work on food preparation, while leaving staff members, whoare not trained to do so, to plan the events, manage client concerns andissues, and execute the event. While the quality of the food isconsistently superb, clients are often surprised by the disorganized styleof the catering staff. The staff feels it, too; many have commented thatthey feel like they are “running blind” when it comes to the eventsbecause Caroline gives very little direction and is often not around tohelp when issues arise.

Caroline, however, has a good working rapport with her staff, and theyacknowledge that Sweet Caroline’s can be a fun place to work. For herpart, Caroline knows that working in a bakery can be difficult anddemanding, and she consistently praises the efforts and dedication ofher staff members. Caroline is also very good about pitching in andworking with staff on the production of cupcakes, cakes, and fooditems, working side-by-side with them on big orders, while providingthem with positive encouragement.

Caroline truly enjoys the novelty of being a business owner and handlesall the accounting and payroll duties for the company. Unfortunately,this aspect of the job is becoming more demanding, and Carolinespends an increasing amount of time on these duties, leaving more andmore of the day-to-day operations and catering to her staff.

Caroline has been approached about opening a second Sweet Caroline’sin a neighboring town, and while she would like to build on her success,she already feels overwhelmed at times by her current operation and isnot sure she can take on more. But she also knows the opportunity toexpand won’t last forever.

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Questions

1. Based on the Model of Primary Leadership Skills (Figure 6.1),how would you describe Caroline’s skills? In what skills is shestrongest, and in what skills is she weakest?

2. Sweet Caroline’s bakery and restaurant seemed to emerge out ofnowhere. What role did Caroline play in this? Do you thinkCaroline could improve her business with more strategicplanning?

3. Have you ever worked at a place that was very successful but feltquite chaotic and disorganized? How did you handle it?

4. If you were a consultant to Caroline, would you recommend sheopen a second location? If so, what three specific skills would youhave Caroline develop in order to help manage her businessbetter?

6.2 Leadership Skills Questionnaire

Purpose

1. To identify your leadership skills2. To provide a profile of your leadership skills showing your

strengths and weaknesses

Directions

1. Place yourself in the role of a leader when responding to thisquestionnaire.

2. For each of the statements below, circle the number that indicatesthe degree to which you feel the statement is true.

Statements Nottrue

Seldomtrue

Occasionallytrue

Somewhattrue

Verytrue

1. I ameffective withthe detailedaspects of mywork.

1 2 3 4 5

2. I usually

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know ahead oftime howpeople willrespond to anew idea orproposal.

1 2 3 4 5

3. I ameffective atproblemsolving.

1 2 3 4 5

4. Filling outforms andworking withdetails comeeasily for me.

1 2 3 4 5

5.Understandingthe socialfabric of theorganizationis important tome.

1 2 3 4 5

6. Whenproblemsarise, Iimmediatelyaddress them.

1 2 3 4 5

7. Managingpeople andresources isone of mystrengths.

1 2 3 4 5

8. I am able tosense theemotionalundercurrentsin my group.

1 2 3 4 5

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9. Seeing thebig picturecomes easilyfor me.

1 2 3 4 5

10. In mywork, I enjoyresponding topeople’srequests andconcerns.

1 2 3 4 5

11. I use myemotionalenergy tomotivateothers.

1 2 3 4 5

12. Makingstrategic plansfor mycompanyappeals to me.

1 2 3 4 5

13. Obtainingand allocatingresources is achallengingaspect of myjob.

1 2 3 4 5

14. The key tosuccessfulconflictresolution isrespecting myopponent.

1 2 3 4 5

15. I enjoydiscussingorganizationalvalues and

1 2 3 4 5

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philosophy.

16. I ameffective atobtainingresources tosupport ourprograms.

1 2 3 4 5

17. I workhard to findconsensus inconflictsituations.

1 2 3 4 5

18. I amflexible aboutmakingchanges in ourorganization.

1 2 3 4 5

Scoring

1. Sum the responses on items 1, 4, 7, 10, 13, and 16 (administrativeskill score).

2. Sum the responses on items 2, 5, 8, 11, 14, and 17 (interpersonalskill score).

3. Sum the responses on items 3, 6, 9, 12, 15, and 18 (conceptualskill score).

Total Scores

Administrative skill: ___________________Interpersonal skill: ____________________Conceptual skill: _____________________

Scoring Interpretation

The Leadership Skills Questionnaire is designed to measure three broadtypes of leadership skills: administrative, interpersonal, and conceptual.By comparing your scores, you can determine where you haveleadership strengths and where you have leadership weaknesses.

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If your score is 26–30, you are in the very high range.If your score is 21–25, you are in the high range.If your score is 16–20, you are in the moderate range.If your score is 11–15, you are in the low range.If your score is 6–10, you are in the very low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

6.3 Observational Exercise

Leadership Skills

Purpose

1. To develop an understanding of different types of leadership skills2. To examine how leadership skills affect a leader’s performance

Directions

1. Your task in this exercise is to observe a leader and evaluate thatperson’s leadership skills. This leader can be a supervisor, amanager, a coach, a teacher, a fraternity or sorority officer, oranyone who has a position that involves leadership.

2. For each of the groups of skills listed below, write what youobserved about this leader.

Name of leader: ________________

Administrative skills 1 2 3 4 5

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Managing people

Managing resources

Showing technicalcompetence

Poor

Poor

Poor

Weak

Weak

Weak

Average

Average

Average

Good

Good

Good

Verygood

Verygood

Verygood

Comments:

Interpersonal skills 1 2 3 4 5

Being sociallyperceptive

Showing emotionalintelligence

Managing conflict

Poor

Poor

Poor

Weak

Weak

Weak

Average

Average

Average

Good

Good

Good

Verygood

Verygood

Verygood

Comments:

Conceptual skills 1 2 3 4 5

Problem solving

Strategic planning

Creating vision

Poor

Poor

Poor

Weak

Weak

Weak

Average

Average

Average

Good

Good

Good

Very good

Very good

Very good

Comments:

Questions

1. Based on your observations, what were the leader’s strengths andweaknesses?

2. In what setting did this leadership example occur? Did the settinginfluence the kind of skills that the leader used? Discuss.

3. If you were coaching this leader, what specific things would you

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tell this leader about how he or she could improve leadershipskills? Discuss.

4. In another situation, do you think this leader would exhibit thesame strengths and weaknesses? Discuss.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

6.4 Reflection and Action Worksheet

Leadership Skills

Reflection

1. Based on what you know about yourself and the scores youreceived on the Leadership Skills Questionnaire in the three areas(administrative, interpersonal, and conceptual), how would youdescribe your leadership skills? Which specific skills are yourstrongest, and which are your weakest? What impact do you thinkyour leadership skills could have on your role as a leader?Discuss.

2. This chapter suggests that emotional intelligence is aninterpersonal leadership skill. Discuss whether you agree ordisagree with this assumption. As you think about your ownleadership, how do your emotions help or hinder your role as aleader? Discuss.

3. This chapter divides leadership into three kinds of skills(administrative, interpersonal, and conceptual). Do you thinksome of these skills are more important than others in some kindsof situations? Do you think lower levels of leadership (e.g.,supervisor) require the same skills as upper levels of leadership(e.g., CEO)? Discuss.

Action

1. One unique aspect of leadership skills is that they can bepracticed. List and briefly describe three things you could do toimprove your administrative skills.

2. Leaders need to be socially perceptive. As you assess yourself in

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this area, identify two specific actions that would help youbecome more perceptive of other people and their viewpoints.Discuss.

3. What kind of problem solver are you? Are you slow or quick toaddress problem situations? Overall, what two things could youchange about yourself to be a more effective problem solver?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

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Goleman, D. (1995). Emotional intelligence. New York, NY: BantamBooks.

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Katz, R. L. (1955). Skills of an effective administrator. Harvard BusinessReview, 33(1), 33–42.

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Mayer, J. D., & Salovey, P. (1995). Emotional intelligence and theconstruction and regulation of feelings. Applied and PreventivePsychology, 4(3), 197–208.

Mayer, J. D., Salovey, P., & Caruso, D. R. (2000). Models of emotionalintelligence. In R. J. Sternberg (Ed.), Handbook of intelligence (pp.396–420). Cambridge, MA: Cambridge University Press.

McKenna, K. (2013, March 1). Women’s basketball: Coquese Washingtontransforms program with leadership. The Daily Collegian. RetrievedJune 7, 2013, fromhttp://collegian.psu.edu/archive/2013/03/01/WE_ARE_Coquese_Washington.aspx

Miller, C. C. (2010, October 10). Why Twitter’s C.E.O. demoted himself.The New York Times, p. BU1.

Mumford, M. D., Zaccaro, S. J., Connelly, M. S., & Marks, M. A. (2000).Leadership skills: Conclusions and future directions. LeadershipQuarterly, 11(1), 155–170.

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7 Creating a Vision

IntroductionAn effective leader creates compelling visions that guide people’sbehavior. In the context of leadership, a vision is a mental model of anideal future state. It offers a picture of what could be. Visions implychange and can challenge people to reach a higher standard of excellence.At the same time, visions are like a guiding philosophy that providespeople with meaning and purpose.

Why Do I Have to Create a Vision to Become a Leader?

In developing a vision, a leader is able to visualize positive outcomes inthe future and communicate these to others. Ideally, the leader and themembers of a group or an organization share the vision. Although thispicture of a possible future may not always be crystal clear, the visionitself plays a major role in how the leader influences others and how othersreact to his or her leadership.

For the past 25 years, vision has been a major topic in writings onleadership. Vision plays a prominent role in training and developmentliterature. For example, Covey (1991) suggested that vision is one of sevenhabits of highly effective people. He argued that effective people “beginwith the end in mind” (p. 42), that they have a deep understanding of theirgoals, values, and mission in life, and that this understanding is the basisfor everything they do. Similarly, Loehr and Schwartz (2001), in their full-engagement training program, stressed that people are a mission-specificspecies, and their goal in life should be to mobilize their sources of energyto accomplish their intended mission. Kouzes and Posner (2003), whoseLeadership Practices Inventory is a widely used leadership assessmentinstrument, identified vision as one of the five practices of exemplaryleadership. Clearly, vision has been an important aspect of leadershiptraining and development in recent years.

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Positive Visionary Leadership

Vision also plays a central role in many of the common theories ofleadership (Zaccaro & Banks, 2001). For example, in transformationalleadership theory, vision is identified as one of the four major factors thataccount for extraordinary leadership performance (Bass & Avolio, 1994).In charismatic leadership theories, vision is highlighted as a key toorganizational change (Conger & Kanungo, 1998; House, 1977).Charismatic leaders create change by linking their vision and its values tothe self-concept of followers. For example, through her charisma MotherTeresa linked her vision of serving the poor and disenfranchised to herfollowers’ beliefs of personal commitment and self-sacrifice. Sometheories are actually titled visionary leadership theories (see Nanus, 1992;Sashkin, 1988, 2004) because vision is their defining characteristic ofleadership.

To better understand the role of vision in effective leadership, this chapterwill address the following questions: “What are the characteristics of avision?” “How is a vision articulated?” and “How is a visionimplemented?” In our discussion of these questions, we will focus on howyou can develop a workable vision for whatever context you find yourselfin as a leader.

Vision ExplainedGiven that it is essential for a leader to have a vision, how are visionsformed? What are the main characteristics of a vision? Research onvisionary leadership suggests that visions have five characteristics: apicture, a change, values, a map, and a challenge (Nanus, 1992; Zaccaro &Banks, 2001).

Visionary Leadership

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A PictureA vision creates a picture of a future that is better than the status quo. Itis an idea about the future that requires an act of faith by followers.Visions paint an ideal image of where a group or an organization should begoing. It may be an image of a situation that is more exciting, moreaffirming, or more inspiring. As a rule, these mental images are of a timeand place where people are working productively to achieve a commongoal. Although it is easier for followers to comprehend a detailed vision, aleader’s vision is not always fully developed. Sometimes a leader’s visionprovides only a general direction to followers or gives limited guidance tothem. At other times, a leader may have only a bare-bones notion of wherehe or she is leading others; the final picture may not emerge for a numberof years. Nevertheless, when a leader is able to paint a picture of the futurethat is attractive and inspiring, it can have significant impact on his or herability to lead others effectively.

Vision and Organization Change

A ChangeAnother characteristic of a vision is that it represents a change in the statusquo, and moves an organization or a system toward something morepositive in the future. Visions point the way to new ways of doing thingsthat are better than how things were done in the past. They take the bestfeatures of a prior system and strengthen them in the pursuit of a new goal.

Changes can occur in many forms: rules, procedures, goals, values, orrituals, to name a few. Because visions imply change, it is not uncommonfor a leader to experience resistance to the articulated vision. Some leadersare even accused of “stirring the pot” when promoting visionary changes.Usually, though, visions are compelling and inspire others to set aside oldways of doing things and to become part of the positive changes suggestedby a leader’s vision.

Values

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A third characteristic of a vision is that it is about values, or the ideas,beliefs, and modes of action that people find worthwhile or desirable. Toadvocate change within a group or an organization requires anunderstanding of one’s own values, the values of others, and the values ofthe organization. Visions are about changes in those values. For example,if a leader creates a vision that emphasizes that everyone in the company isimportant, the dominant value being expressed is human dignity.Similarly, if a leader develops a vision that suggests that everyone in thecompany is equal, the dominant value being expressed is fairness andjustice. Visions are grounded in values. They advocate a positive changeand movement toward some new set of ideals. In so doing, they mustaddress values.

Inspiring Action Through Values

Leadership Snapshot: Rosalie Giffoniello, Cofounder, Empower theChildren

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© Rosalie Giffoniello

When New Jersey schoolteacher Rosalie Giffoniello decided to travel toIndia in the summer of 1999, she had no idea that one trip would propelher into a life dedicated to educating India’s impoverished children.

In India, Giffoniello volunteered for a summer at Daya Dan, MotherTeresa’s orphanage for children with disabilities in Kolkata. Using her

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special education background, she taught some children to feedthemselves and walk for the first time. It was then that she made a life-changing decision. “When I went home, I took early retirement frommy job, gave away my possessions and returned to Kolkata for good,”Giffoniello says (O’Neil, 2004).

She returned to Daya Dan and spent two years working with theMissionaries of Charity to implement programs in language andteaching the children to feed, dress, and bathe themselves.

The next year, she and a friend, Janet Grosshandler, cofoundedEmpower the Children (ETC), a Jackson, New Jersey–based nonprofit,to raise funds for Daya Dan. At first Giffoniello’s work and ETC’sfunds were channeled toward a number of efforts including anorphanage for boys, a school for the disadvantaged, a home for youngadults with mental disabilities, and a tutorial center for teenage girls.

However, when Giffoniello observed that the children with disabilitiesin the Kolkata orphanages were fed each day and clothed while thehomeless “street” children often went without food and the most basicnecessities, she decided to broaden ETC’s and her own efforts toaddress the city’s poorest and most vulnerable citizens (Empower theChildren, 2004).

She began working with Reena Das, a local woman who was educatinghomeless street urchins during her lunch hour on the steps of a nearbyoffice building. Das provided her students with a healthy snack andintroduction to the Bengali and English alphabets (Weir, 2012).

In January 2006, under the auspices of ETC, Giffoniello and Dasopened their first school in a single-room slum building, which theynamed Preyrona, the Bengali word for inspiration. Four years later, theymoved the school to a two-story building and incorporated vocationaleducation including sewing instruction for teenage girls andneighborhood women.

Two years after Preyrona 1 opened, they opened a second school,Preyrona 2 School, in a one-room building with a leaky roof and nowindows. For the 90 students who attended it, however, it was betterthan no school at all (Weir, 2012).

Within three years, they opened a third school, this time in a cleanthree-story building they were able to buy. Housed in this multistoriedbuilding, Preyrona 3 opened its doors in January 2009 and providesthree separate educational programs for 60 children while also

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providing vocational programs for older students and their mothers.

Giffoniello teaches at the Preyrona schools, where she has instilled herteaching methodology of self-empowerment and love. In a nation whereeducators still discipline with a switch, her philosophy was a challengefor some teachers.

“I tell them ‘If you love the children, then they’ll work for you. They’llwant to please you and make you proud. It’s our responsibility to givethem the right kind of attention,’” Giffoniello explains. “Happy childrenbecome smart children. That’s why we give the children only love”(Weir, 2012).

ETC’s work has attracted many volunteers from different countries andwalks of life, who do everything from working on-site in Kolkata, tohelping develop curriculum, to raising money in their home countries.

Giffoniello returns to the United States for six months each year,speaking around the country and raising money for ETC. Now morethan a decade old, the organization donates funds for teachers’ salaries,clothing and hot meals for children, and supplies, and sponsors culturaldrama, dance, and art programs in more than a dozen differentinstitutions, including some in the United States, Mexico, and Kenya.

The following example illustrates the centrality of values in visionaryleadership. Chris Jones was a new football coach at a high school in asmall rural community in the Midwest. When Jones started coaching, therewere barely enough players to fill the roster. His vision was to have astrong football program that students liked and that instilled pride in theparents and school community. He valued good physical conditioning,self-discipline, skills in all aspects of the game, esprit de corps, and anelement of fun throughout the process. In essence, he wanted a top-notch,high-quality football program.

Over a period of five years, the number of players coming out for footballgrew from 15 to 95. Parents wanted their kids to go out for footballbecause Jones was such a good coach. Players said they liked the teambecause Coach Jones treated them as individuals. He was very fair witheveryone. He was tough about discipline but also liked to have fun.Practices were always a challenge but seldom dull or monotonous.Because of his program, parents formed their own booster club to supportteam dinners and other special team activities.

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Although Coach Jones’s teams did not always win, his players learnedlessons in football that were meaningful and long lasting. Coach Jones wasan effective coach whose vision promoted individual growth, competence,camaraderie, and community. He had a vision about developing a programaround these strong values, and he was able to bring his vision to fruition.

A MapA vision provides a map—a laid-out path to follow—that gives directionso followers know when they are on track and when they have slipped offcourse. People often feel a sense of certainty and calmness in knowingthey are on the right course, and a vision provides this assurance. It is alsocomforting for people to know they have a map to direct them toward theirshort- and long-term goals.

Vision as a Map

At the same time, visions provide a guiding philosophy for people thatgives them meaning and purpose. When people know the overarchinggoals, principles, and values of an organization, it is easier for them toestablish an identity and know where they fit within the organization.Furthermore, seeing the larger purpose allows people to appreciate thevalue of their contributions to the organization and to something largerthan their own interests. The value of a vision is that it shows others themeaningfulness of their work.

A ChallengeA final characteristic of a vision is that it challenges people to transcendthe status quo to do something to benefit others. Visions challenge peopleto commit themselves to worthwhile causes. In his inaugural address in1961, President John F. Kennedy challenged the American people bysaying, “Ask not what your country can do for you—ask what you can dofor your country.” This challenge was inspiring because it asked people tomove beyond self-interest to work for the greater good of the country.Kennedy’s vision for America had a huge impact on the country.

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Vision and Conflict

An example of an organization that has a vision with a clear challengecomponent is the Leukemia and Lymphoma Society’s Team In Trainingprogram. The primary goal of this program is to raise funds for cancerresearch, public education, and patient aid programs. As a part of Team InTraining, participants who sign up to run or walk a marathon (26.2 miles)are asked to raise money for cancer research in return for the personalizedcoaching and fitness training they receive from Team In Training staff.Since its inception in the late 1980s, the program has raised more than$600 million for cancer research. A recent participant said of Team InTraining, “I was inspired to find something I could do both to push myselfa little harder and to accomplish something meaningful in the process.”When people are challenged to do something good for others, they oftenbecome inspired and committed to the task. Whether it is to improve theirown group, organization, or community, people like to be challenged tohelp others.

To summarize, a vision has five main characteristics. First, it is a mentalpicture or image of a future that is better than the status quo. Second, itrepresents a change and points to new ways of doing things. Third, it isgrounded in values. Fourth, it is a map that gives direction and providesmeaning and purpose. Finally, it is a challenge to change things for thebetter.

Vision in PracticeIt is one thing for a leader to have a vision for an organization. But makingthat vision a reality requires communication and action. In this section, weexplore how a leader can articulate a vision to others and what specificactions a leader can take to make the vision clear, understandable, and areality.

Articulating a Vision

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Although it is very important for a leader to have a vision, it is equallyimportant for a leader to be able to articulate—explain and describe—thevision to others. Although some are better than others at this, there arecertain ways all leaders can improve the way they communicate theirvisions.

Explaining a Vision to Followers

First, a leader must communicate the vision by adapting the vision to hisor her audience. Psychologists tell us that most people have a drive forconsistency and when confronted with the need to change will do so onlyif the required change is not too different from their present state(Festinger, 1957). A leader needs to articulate the vision to fit withinothers’ latitude of acceptance by adapting the vision to the audience(Conger & Kanungo, 1987). If the vision is too demanding and advocatestoo big a change, it will be rejected. If it is articulated in light of the statusquo and does not demand too great a change, it will be accepted.

A leader also needs to highlight the values of the vision by emphasizinghow the vision presents ideals worth pursuing. Presenting the values of thevision helps individuals and group members find their own workworthwhile. It also allows group members to identify with somethinglarger than themselves, and to become connected to a larger community(Shamir, House, & Arthur, 1993).

Articulating a vision also requires choosing the right language. A leadershould use words and symbols that are motivating and inspiring (Sashkin,2004; Zaccaro & Banks, 2001). Words that describe a vision need to beaffirming, uplifting, and hopeful, and describe the vision in a way thatunderscores its worth. The inaugural speech by President John F. Kennedy(see edge.sagepub.com/northouseintro4e) is an example of how a leaderused inspiring language to articulate his vision.

Symbols are often adopted by leaders in an effort to articulate a vision andbring group cohesion. A good illustration of this is how, in 1997, theUniversity of Michigan football team and coaching staff chose to use JonKrakauer’s book Into Thin Air and “conquering Mount Everest” as ametaphor for what they wanted to accomplish. Krakauer provided a

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firsthand account of a team’s challenging journey up Mount Everest thatwas successful, although five climbers lost their lives in the process. Oneof the Michigan coaches said, “It’s amazing how many similarities thereare between playing football and climbing a mountain. . . . The higher youget on a mountain, the tougher it gets. The longer you play during theseason, the harder it gets to keep playing the way you want to play.”Throughout the season, the coaches frequently emphasized that achievinggreat feats required tremendous discipline, perseverance, strength, andteamwork. In the locker room, real climbing hooks and pitons were hungabove the door to remind everyone who exited that the mission was to“conquer the mountain”—that is, to win the title. The imagery of mountainclimbing in this example was a brilliant way to articulate the vision thecoaches had for that season. This imagery proved to be well chosen: Theteam won the 1997 National Collegiate Athletic Associationchampionship.

Visions also need to be described to others using inclusive language thatlinks people to the vision and makes them part of the process. Words suchas we and our are inclusive and better to use than words such as they orthem. The goal of this type of language is to enlist participation of othersand build community around a common goal. Inclusive language helpsbring this about.

In general, to articulate a vision clearly requires that a leader adapt thecontent to the audience, emphasize the vision’s intrinsic value, selectwords and symbols that are uplifting, and use language that is inclusive. Ifa leader is able to do these things, he or she will increase the chances thatthe vision will be embraced and the goal achieved.

Implementing a VisionIn addition to creating and articulating a vision, a leader needs toimplement the vision. Perhaps the real test of a leader’s abilities occurs inthe implementation phase of a vision. Implementing a vision requires agreat deal of effort by a leader over an extended period. Although someleaders can “talk the talk,” leaders who implement the vision “walk thewalk.” Most important, in implementing a vision the leader must model toothers the attitudes, values, and behaviors set forth in the vision. Theleader is a living example of the ideals articulated in the vision. Forexample, if the vision is to promote a deeply humanistic organization, the

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leader needs to demonstrate qualities such as empathy and caring in everyaction. Similarly, if the vision is to promote community values, the leaderneeds to show interest in others and in the common good of the broadercommunity. When a leader is seen acting out the vision, he or she buildscredibility with others. This credibility inspires people to express the samekind of values.

Maintaining High Standards

Implementing a vision also requires a leader to set high performanceexpectations for others. Setting challenging goals motivates people toaccomplish a mission. An example of setting high expectations andworthwhile goals is illustrated in the story of the Marathon of Hope (seeBox 7.1). Terry Fox was a cancer survivor and amputee who attempted torun across Canada to raise awareness and money for cancer research. Foxhad a vision and established an extremely challenging goal for himself andothers. He was courageous and determined. Unfortunately, he died beforecompleting his journey, but his vision lives on. Today, the Terry FoxFoundation continues to thrive.

Box 7.1 Marathon of Hope

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Photograph by Ian Muttoo,https://www.flickr.com/photos/20741443@N00/1416171954/ CCBY-SA 2.0 https://creativecommons.org/licenses/by-sa/2.0/

Terry Fox was born in Winnipeg, Manitoba, and raised in PortCoquitlam, British Columbia, a community near Vancouver onCanada’s west coast. An active teenager involved in many sports, Foxwas only 18 years old when he was diagnosed with osteogenic sarcoma(bone cancer). In order to stop the spread of the cancer, doctorsamputated his right leg 15 centimeters (6 inches) above the knee in1977.

While in the hospital, Fox was so overcome by the suffering of othercancer patients—many of them young children—that he decided to runacross Canada to raise money for cancer research. He called his journeythe Marathon of Hope.

After 18 months and running more than 5,000 kilometers (3,107 miles)to prepare, Fox started his run in St. John’s, Newfoundland, on April12, 1980, with little fanfare. Although it was difficult to garner attentionin the beginning, enthusiasm soon grew, and the money collected alonghis route began to mount. He ran 42 kilometers (26 miles) a day through

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Canada’s Atlantic provinces, through Quebec, and through part ofOntario. It was a journey that Canadians never forgot.

On September 1, 1980, after 143 days and 5,373 kilometers (3,339miles), Fox was forced to stop running outside Thunder Bay, Ontario,because cancer had appeared in his lungs. An entire nation wassaddened when he passed away on June 28, 1981, at the age of 22.

The heroic Canadian was gone, but his legacy was just beginning. Todate, more than $600 million has been raised worldwide for cancerresearch in his name through the annual Terry Fox Run, held in Canadaand in countries around the world.

The process of carrying out a vision does not happen rapidly but takescontinuous effort. It is a step-by-step process, and not one that occurs all atonce. For this reason, it is imperative for a leader’s eyes to stay on thegoal. By doing so, the leader encourages and supports others in the day-to-day efforts to reach the larger goal. A leader alone cannot implement avision. The leader must work with others and empower them in theimplementation process. It is essential that leaders share the work andcollaborate with others to accomplish the goal.

SummaryA competent leader will have a compelling vision that challenges people towork toward a higher standard of excellence. A vision is a mental model ofan ideal future state. It provides a picture of a future that is better than thepresent, is grounded in values, and advocates change toward some new setof ideals. Visions function as a map to give people direction. Visions alsochallenge people to commit themselves to a greater common good.

First, an effective leader clearly articulates the vision to others. Thisrequires the leader to adapt the vision to the attitudes and values of theaudience. Second, the leader highlights the intrinsic values of the vision,emphasizing how the vision presents ideals worth pursuing. Third, acompetent leader uses language that is motivating and uplifting toarticulate the vision. Finally, the leader uses inclusive language that enlistsparticipation from others and builds community.

A challenge for a leader is to carry out the difficult processes ofimplementing a vision. To implement a vision, the leader needs to be a

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living model of the ideals and values articulated in the vision. In addition,he or she must set high performance expectations for others, andencourage and empower others to reach their goals.

Glossary Termschallenge 146change 143map 146picture 142status quo 142value 143vision 141

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Application

7.1 Case Study: A Clean SlateNick Gibbons was described by his classmates at ColumbiaUniversity’s prestigious School of Journalism as a “hard-corenewshound with ink running in his blood.” After working as a beatreporter for 10 years, Nick became city editor of a newspaper in amidsized Midwest town of about 100,000, overseeing a large staff oflocal reporters and writers.

So when the president of the large media group that owned hisnewspaper asked Nick to come to its headquarters for a meeting, he wasexcited. Until he heard what was said. The company was going to stopprinting daily newspapers, instead publishing digital editions. Nick’snewspaper would only be printed three days a week; the other days thenews would be delivered in an electronic edition. As a result, 75% of

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the newspaper’s workforce would lose their jobs. As the presidentwitnessed Nick’s shock and dismay, he said, “Nick, we think you arethe only editor at your newspaper that can make this happen.”

On the three-hour drive home, Nick realized that change at thenewspaper was inevitable. Newspapers had been losing subscribers andrevenue for a decade as readers turned to the Internet to get their news.Digital versions of newspapers were cheaper to produce and deliver.Although he did not like the idea of going digital, Nick knew in hisheart that he still believed strongly in the importance of reporting thenews and informing the community, no matter the format.

To succeed in taking the newspaper to a digital format, Nick was goingto have to change an entrenched culture and belief system aboutnewspapers, not only within his staff but among the public as well. Todo this, he had to start from the ground up, creating something entirelynew. This would require bringing aboard people who were energizedabout the future and not mourning the past.

His plan employed a three-prong approach. First, he informed the entirenewspaper staff that they would lose their current jobs in three monthsand they would have to reapply for new jobs within the newspaper. Thefirst required qualification was a willingness to “forge the future forlocal journalism and make a contribution to this movement.” If youcan’t let go of the past, he told his coworkers, then you can’t moveforward. In the end, almost 80% of the new positions were filled byformer staffers whom Nick believed to be the “best and brightest”people the newspaper had.

Second, Nick moved the company’s offices out of the building it hadbeen in for 120 years to a smaller, very public space on the first floor ofa downtown building. The offices were located on a corner completelysided by windows, the inner workings of the newspaper on display topassersby. Nick wanted the newspaper’s operations to be very visible sothat it didn’t seem like it had just “disappeared.”

Nick’s third approach was what he called a “high forgiveness factor.”What they were creating was new and untried, and he knew there wouldbe plenty of missteps along the way. He stressed to his new staffers thathe didn’t expect perfection, just dedication and determination. Forexample, one of those missteps was the elimination of the newspaper’sexhaustive list of local events, which resulted in a huge communityoutcry. To correct this, staffers determined they could satisfy thecommunity’s frustrations by creating a dedicated website for a localevents calendar with event organizers submitting the information

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electronically. A staff member would oversee college interns in editingthe submissions and updating the website.

When the newspaper announced its change to a digital format, thereaction was harsh: Readers canceled subscriptions, and advertisersdropped away like flies. It’s been four years since the change, and thenewspaper is slowly gaining back readers and experiencing more visitsto its website. The sales staff is starting to be successful teachingadvertisers how to create digital ads that can reach the right audiencesby using behavioral targeting and social media.

Questions

1. What is Nick Gibbons’s vision in this case study? How is itsimilar to or different from the vision of the owners of the paper?Discuss the unique challenges a leader faces when required toimplement a vision of his or her superiors.

2. Why do you think Nick wanted to open the workings of the paperup to the public? How is this related to his vision?

3. Visions usually require changing people’s values. What desiredchanges in values are highlighted by this case study?

4. How well did Nick Gibbons articulate his vision for the paper? Ifyou were in Nick’s shoes, how would you articulate your vision inthis case?

5. Do you think the newspaper will thrive under Nick’s leadership?Why?

7.2 Leadership Vision Questionnaire

Purpose

1. To assess your ability to create a vision for a group or anorganization

2. To help you understand how visions are formed

Directions

1. Think for a moment of a work, school, social, religious, musical,or athletic organization of which you are a member. Now, thinkwhat you would do if you were the leader and you had to create avision for the group or organization. Keep this vision in mind asyou complete the exercise.

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2. Using the following scale, circle the number that indicates thedegree to which you agree or disagree with each statement.

Statements Stronglydisagree

Disagree Neutral Agree Stronglyagree

1. I have amental pictureof what wouldmake ourgroup better.

1 2 3 4 5

2. I canimagineseveralchanges thatwouldimprove ourgroup.

1 2 3 4 5

3. I have avision forwhat wouldmake ourorganizationstronger.

1 2 3 4 5

4. I know howwe couldchange thestatus quo tomake thingsbetter.

1 2 3 4 5

5. It is clear tome what stepswe need totake toimprove ourorganization.

1 2 3 4 5

6. I have a

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clear pictureof what needsto be done inourorganizationto achieve ahigherstandard ofexcellence.

1 2 3 4 5

7. I have aclear picture inmy mind ofwhat thisorganizationshould looklike in thefuture.

1 2 3 4 5

8. It is clear tome what corevalues, ifemphasized,wouldimprove ourorganization.

1 2 3 4 5

9. I canidentifychallenginggoals thatshould beemphasized inmy group.

1 2 3 4 5

10. I canimagineseveral thingsthat wouldinspire mygroup toperform better.

1 2 3 4 5

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Scoring

Sum the numbers you circled on the questionnaire (visioning abilityskill).

Total Scores

Visioning ability skill: _______

Scoring Interpretation

The Leadership Vision Questionnaire is designed to measure yourability to create a vision as a leader.

If your score is 41–50, you are in the very high range.If your score is 31–40, you are in the high range.If your score is 21–30, you are in the moderate range.If your score is 10–20, you are in the low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

7.3 Observational Exercise

Leadership Vision

Purpose

1. To understand the way visions are constructed by leaders inongoing groups and organizations

2. To identify strategies that leaders employ to articulate and

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implement their visions

Directions

1. For this exercise, select two people in leadership positions tointerview. They can be leaders in formal or informal positions atwork, at school, or in society. The only criterion is that the leaderinfluences others toward a goal.

2. Conduct a 30-minute interview with each leader, by phone or inperson. Ask the leaders to describe the visions they have for theirorganizations. In addition, ask, “How do you articulate andimplement your visions?”

Leader #1 (name)________________________________________Vision content Vision articulation Vision implementationLeader #2 (name)________________________________________Vision content Vision articulation Vision implementation

Questions

1. What differences and similarities did you observe between the twoleaders’ visions?

2. Did the leaders advocate specific values? If yes, what values?3. Did the leaders use any unique symbols to promote their visions?

If yes, what symbols?4. In what ways did the leaders’ behaviors model their visions to

others?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

7.4 Reflection and Action Worksheet

Leadership Vision

Reflection

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1. Stephen Covey (1991) contended that effective leaders “beginwith the end in mind.” These leaders have a deep understanding oftheir own goals and mission in life. How would you describe yourown values and purpose in life? In what way is your leadershipinfluenced by these values?

2. Creating a vision usually involves trying to change others bypersuading them to accept different values and different ways ofdoing things. Are you comfortable influencing people in this way?Discuss.

3. As we discussed in this chapter, effective visions can bearticulated with strong symbols. How do you view yourself asbeing able to do this? Are you effective at generating languageand symbols that can enhance a vision and help make itsuccessful?

Action

1. Based on your score on the Leadership Vision Questionnaire, howdo you assess your ability to create a vision for a group? Identifyspecific ways you could improve your abilities to create and carryout visions with others.

2. Good leaders act out the vision. Describe what ideals and valuesyou act out or could act out as a leader.

3. Take a few moments to think about and describe a group or anorganization to which you belong presently or belonged in thepast. Write a brief statement describing the vision you wouldutilize if you were the leader of this group or organization.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesBass, B. M., & Avolio, B. J. (1994). Improving organizational

effectiveness through transformational leadership. Thousand Oaks, CA:Sage.

Conger, J. A., & Kanungo, R. N. (1987). Toward a behavioral theory of

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charismatic leadership in organizational settings. Academy ofManagement Review, 12(4), 637–647.

Conger, J. A., & Kanungo, R. N. (1998). Charismatic leadership inorganizations. Thousand Oaks, CA: Sage.

Covey, S. R. (1991). Principle-centered leadership. New York, NY: Simon& Schuster.

Empower the Children. (2004). How one person made a difference.Retrieved June 8, 2013, from http://www.etc-empowerchildren.org/Organization.htm#OnePerson

Festinger, L. (1957). A theory of cognitive dissonance. Stanford, CA:Stanford University Press.

House, R. J. (1977). A 1976 theory of charismatic leadership. In J. G. Hunt& L. L. Larson (Eds.), Leadership: The cutting edge (pp. 189–207).Carbondale: Southern Illinois University Press.

Kouzes, J. M., & Posner, B. Z. (2003). The leadership challenge (3rd ed.).San Francisco, CA: Jossey-Bass.

Loehr, J., & Schwartz, T. (2001). The power of full engagement:Managing energy, not time, is the key to high performance and personalrenewal. New York, NY: Simon & Schuster.

Nanus, B. (1992). Visionary leadership: Creating a compelling sense ofdirection for your organization. San Francisco, CA: Jossey-Bass.

O’Neil, J. (2004, February 1). Going global: Want to see the world—andhelp kids read at the same time? These NEA-Retired members arecontinuing a lifetime of public service—while seeing the world with

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new eyes. NEA Today. Retrieved August 21, 2013, fromhttp://www.accessmylibrary.com/coms2/summary_0286-20297851_ITM

Sashkin, M. (1988). The visionary leader. In J. A. Conger & R. N.Kanungo (Eds.), Charismatic leadership: The elusive factor inorganizational effectiveness (pp. 122–160). San Francisco, CA: Jossey-Bass.

Sashkin, M. (2004). Transformational leadership approaches: A reviewand synthesis. In J. Antonaki, A. T. Cianciolo, & R. J. Sternberg (Eds.),The nature of leadership (pp. 171–196). Thousand Oaks, CA: Sage.

Shamir, B., House, R. J., & Arthur, M. B. (1993). The motivational effectsof charismatic leadership: A self-concept based theory. OrganizationScience, 4(4), 577–594.

Weir, R. M. (2012, February). Empowering Calcutta’s children. EncoreMagazine, pp. 35–37.

Zaccaro, S. J., & Banks, D. J. (2001). Leadership, vision, andorganizational effectiveness. In S. J. Zaccaro & R. J. Klimoski (Eds.),The nature of organizational leadership: Understanding the performanceimperatives confronting today’s leaders (pp. 181–218). San Francisco,CA: Jossey-Bass.

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8 Establishing a Constructive Climate

IntroductionAs discussed in earlier chapters, a leader needs to attend to tasks and topeople. A leader also has to have a vision that he or she can express andimplement. Equally important, a leader must be able to establish aconstructive climate for the people in a group or an organization.

What Is a Climate and What Does It Mean for Leadership?

Constructive Climate ExplainedClimate refers to the atmosphere of a team or an organization. It is definedas people’s shared perceptions of the way things are in an organization(Reichers & Schneider, 1990). Related to climate are the rituals, values,procedures, and underlying assumptions of a group (Schein, 2010). It is theshared perception individuals have about the activities, procedures, andassumptions of a group. A positive climate is shaped by the degree towhich people feel they are supported, appreciated, and encouraged fortheir roles in the organization. A constructive climate is just that: anatmosphere that promotes group members’ satisfaction and achieving theirpersonal best.

Transformational Leadership in Groups

Establishing a constructive climate demands that a leader providestructure, clarify norms, build cohesiveness, and promote standards ofexcellence. By establishing a constructive climate for the group, a leaderensures that members work more effectively together.

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When a leader creates a constructive climate, he or she helps groupmembers perform at their highest levels of excellence (Larson & LaFasto,1989).

Climate in PracticeIn order to create a constructive climate, a leader needs to consider fourfactors: providing structure, clarifying norms, building cohesiveness, andpromoting standards of excellence.

Providing StructureBecause working in groups can be chaotic and challenging, it is helpfulwhen a leader provides a sense of structure for group members. Providingstructure is much like giving group members an architectural blueprint fortheir work. The drawing gives form and meaning to the purposes of thegroup’s activities. Instilling structure into the organization provides peoplewith a sense of security, direction, and stability. It helps them tounderstand where they fit in and what goals they need to accomplish. Forexample, it would be frightening to be in a group climbing Mount Everestif team members did not know their roles and follow a clear plan for theascent. Working in a group without structure is more difficult for everyoneinvolved.

How does a leader give structure to a group? First, a leader needs tocommunicate to the group the group’s goals. When a leader gives a clearpicture of assignments and responsibilities, group members gain a bettersense of direction. For example, soldiers in the military are given orders tocarry out a specific mission. The mission is the goal toward which they areworking, and it provides organization to the rest of their activities. Anotherexample is a group meeting where the leader provides an agenda.

In most college classrooms on the first day of class, professors hand outand discuss syllabi. Going over the syllabus is important to studentsbecause it provides information about the structure of the class. Thesyllabus also gives details about the professor, the course objectives,reading and writing assignments, tests, attendance requirements, and examschedules. Some professors even include a calendar of lecture topics foreach week to help students prepare more effectively. The syllabus sets the

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tone for the class by giving a structure for what will be accomplished.Students usually leave the first class feeling confident about what the classis going to be like and what will be required of them.

Structure

A leader also provides structure by identifying the unique ways that eachindividual member can contribute to the group. The leader helps followersunderstand their roles within the group and how to be productive groupmembers. Effective groups use the talents of each individual and, as aresult, accomplish a great deal. This is known as synergy, when the groupoutcome is greater than the sum of the individual contributions. Thechallenge for a leader is to find how each individual group member cancontribute to the group’s mission, and to encourage the group to recognizethese contributions. For example, some people are good at generatingideas, while others are skilled at building consensus. Additionally, somepeople are good at setting agendas, and others are adept at making sure theproper supplies are available at meetings. Each person has a distinctivetalent and can make a unique contribution. Effective leaders know how todiscover these talents to benefit the entire group. (See Chapter 3,“Engaging Strengths,” for an extended discussion of how leaders can helpfollowers capitalize on their strengths.)

Clarifying NormsIn addition to structuring the group, a leader needs to clarify group norms.Norms are the rules of behavior that are established and shared by groupmembers. Social psychologists have argued for years that norms play amajor role in the performance and effectiveness of groups (Cartwright &Zander, 1968; Harris & Sherblom, 2007; Napier & Gershenfeld, 2004).Norms are like a road map for navigating how we are supposed to behavein a group. They tell us what is appropriate or inappropriate, what is rightor wrong, and what is allowed or not allowed (Schein, 1969). Norms donot emerge on their own—they are the outcome of people interacting witheach other and with the leader. For example, in a daylong training seminar,the participants and seminar leader might mutually decide that everyonewill turn off their cell phones and no one will leave early. Or staff

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members in an insurance agency might determine that a “business casual”dress code is appropriate during the week and jeans are OK on Fridays.Norms emerge as a result of how leaders treat followers and followers treateach other.

The reason norms are important is because they have such a strong impacton how the group functions and whether the group is successful or not. Forexample, a classroom setting with an established norm that students do notraise their hands or offer comments to the discussion can be very boring. Aweekly staff meeting where people are allowed to constantly whisper withthe person next to them will create an atmosphere that lacks cohesivenessand most likely be very unproductive. On the positive side, when a normof helping others with their work develops in a small business setting, itcan be very helpful and inspiring. Leaders need to be aware that normsalways exist, and even when they are subtle or not verbally expressed, theydo impact the productivity of the group.

Understanding Norms

A leader can have a significant impact on establishing group norms as wellas recognizing norms and working to make them constructive. When aleader brings about constructive norms, it can have a positive effect on theentire group. The following example illustrates how a leader positivelyinfluences group norms. Home from college for the summer, Matt Smithwas asked to take over as coach of his little brother’s baseball teambecause the previous coach was leaving. Before taking over coaching theteam, Matt observed several practices and became aware of the normsoperating on the team. Among other things, he observed that teammembers frequently arrived 15 to 30 minutes late for practice, they oftencame without their baseball shoes or gloves, and they goofed off a lotduring drills. Overall, Matt observed that the kids did not seem to careabout the team or have much pride in what they were doing. Matt knewthat coaching this team was going to be a real challenge.

After Matt had coached for a few weeks, the team’s norms graduallychanged. Matt continually stressed the need to start practice on time,encouraged players to “bring their stuff” to practice, and complimented

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players when they worked hard during drills. By the end of the summer,they were a different team. Players grew to enjoy the practice sessions,they worked hard, and they performed well. Most important, they thoughttheir baseball team was “the greatest.”

In this situation, the norms the players were operating under with the oldcoach interfered with the team and its goals. Under Matt’s leadership, theplayers developed new norms that enabled them to function better.

Norms are an important component of group functioning. They developearly in a group and are sometimes difficult to change. A leader should payclose attention to norm development and try to shape norms that willmaximize group effectiveness.

Building CohesivenessThe third way a leader establishes a constructive climate is to buildcohesiveness. Cohesiveness is often considered an elusive but essentialcomponent of highly functioning groups. Cohesiveness is described as asense of “we-ness,” the cement that holds a group together, or the esprit decorps that exists within a group. Cohesiveness allows group members toexpress their personal viewpoints, give and receive feedback, acceptopinions different from their own, and feel comfortable doing meaningfulwork (Corey & Corey, 2006). When a group is cohesive, the members feela special connection with each other and with the group as a whole.Members appreciate the group, and in turn are appreciated by the group.Group members identify with the group and its goals and find satisfactionin being an accepted member of the group.

Team Cohesiveness

Cohesiveness has been associated with a number of positive outcomes forgroups (see Table 8.1) (Cartwright, 1968; Shaw, 1976). First, highcohesiveness is frequently associated with increased participation andbetter interaction among members. People tend to talk more readily andlisten more carefully in cohesive groups. They also are more likely toexpress their own opinion and be open to listening to the opinions of

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others.

Second, in highly cohesive groups, membership tends to be moreconsistent. Members develop positive feelings toward one another and aremore willing to attend group meetings. For example, in an AlcoholicsAnonymous group that is cohesive, members often express strong supportfor each other, and attendance at meetings is very consistent.

Third, highly cohesive groups are able to exert a strong influence on groupmembers. Members conform more closely to group norms and engage inmore goal-directed behavior for the group. On a highly successful cross-country track team, all the members support each other and push oneanother to do their personal best.

Fourth, member satisfaction is high in cohesive groups; members tend tofeel more secure and find enjoyment participating in the group. Think ofthe best class you have ever been in as a student. It was probably verycohesive, and you probably enjoyed it so much that you were sorry whenthe semester ended.

Table 8.1 Positive Outcomes of Cohesive GroupsTable 8.1 Positive Outcomes of Cohesive Groups

• There is increased participation from members.

• There is better interaction among members.

• Group membership is more consistent.

• Members develop positive feelings toward one another.

• Members are more willing to attend group meetings.

• Members influence each other.

• Members conform more closely to group norms.

• Group behavior is more goal directed.

• Member satisfaction is high.

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• Members are more productive.Sources: Cartwright, 1968; Shaw, 1976.

Finally, members of a cohesive group usually are more productive thanmembers of a group that is less cohesive. Members of groups with greatercohesion can direct their energies toward group goals without spending alot of time working out interpersonal issues and conflicts. For example,when a project team is cohesive, there are no social loafers. Everyone istogether in pursuit of the team goals.

As described by Daniel Brown in his book, Boys in the Boat, theUniversity of Washington rowing team is a good example of how a groupof disparate individuals built a cohesive climate and experienced successbecause of it. Rowing is a sport in which every member of the nine-member team must be in perfect synergy with his teammates as they oar inand move across the water. The sons of loggers, shipyard workers, andfarmers, the UW team defeated elite rivals first from eastern and Britishuniversities and finally the German crew rowing for Adolf Hitler in the1936 Olympic Games in Berlin, Germany. Pivotal to their success was thateach member of the team had a role and adapted to those roles in sync withone another. “All were merged into one smoothly working machine; theywere, in fact, a poem of motion, a symphony of swinging blades” (Brown,2013, p. 249).

In addition, the team members shared a common goal, which led them toabandon their own self-interest in pursuit of the unified goal of winning.But ultimately it was the trust they had in each other that made them avictorious team.

Cohesiveness in Multicultural Organizations

Given the positive outcomes of cohesiveness, how can a leader helpgroups become cohesive? Group cohesiveness does not developinstantaneously, but is created gradually over time. A leader can assist agroup in building cohesiveness by incorporating the following actions inhis or her leadership:

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Help groups to create a climate of trustInvite group members to become active participantsEncourage passive or withdrawn members to become involvedBe willing to listen and accept group members for who they areHelp group members to achieve their individual goalsPromote the free expression of divergent viewpoints in a safeenvironmentAllow group members to share the leadership responsibilitiesFoster and promote member-to-member interaction instead of onlyleader-to-follower interaction (Corey & Corey, 2006)

When a leader is able to do some of the things described on this list, itincreases the chance that the group will build a sense of cohesiveness.

Consider the following example of a service-learning group of fivestudents who had a goal of raising money for Special Olympics bysponsoring a rock concert. The group included John, a student who washard of hearing, and who felt alienated and excluded from college life;Emily, an energetic student with high hopes of earning an A in the class;Bill, an older student with very definite opinions; Abby, a free spirit with astrong interest in rock bands; and Dane, a talented student who resentedhaving to work with others on a group project.

During its initial meetings, the group was very disjointed and had lowgroup cohesion. The two people in the group with musical talent (Emilyand Abby) thought they would have to do all of the work to put on theconcert to raise $200. John never spoke, and Bill and Dane had attitudesthat put them on the sidelines. During these early meetings, the groupmembers were unenthusiastic and had negative feelings about each other.However, after the professor for the class encouraged Emily to reach out toJohn and try to include him in the group, a gradual change started to takeplace, and the group began moving in a more positive direction. Emilyfound it difficult to communicate with John because he could only hear ifpeople spoke directly into a special handheld microphone. Emily spent anhour or so with John outside the group and soon established a meaningfulassociation with him. At the same time, Bill, who initially was certain thatJohn could not contribute to the group, started to change his mind when hesaw how well Emily and John were getting along. Since Emily was talkingto John through the microphone, Bill thought he should try it, too.

Because Abby knew people in three local bands, she put her energies into

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finding a good band to play for their concert. When John, who was anengineering student, came up with the idea of making posters and handingout flyers to advertise the concert, the energies in the group becamefocused. Within two weeks of John’s offer, the group had completed amassive promotion throughout the community. The rekindled energies ofJohn, Bill, and Dane were put to good use, and the group far exceeded itsprevious expectations.

By the end of the project, the group had raised $450 for Special Olympics,and walked away as friends. John claimed that this group project was oneof the most meaningful experiences in his college education. Dane wantedto take credit for knowing the most people who came to the concert. Billwas ecstatic that the group had far exceeded his expectations. Abby waspleased to have hired the band and that the concert was a great hit, andEmily was proud of her leadership and the success of the group.

The service-learning group in the above example was a group with lowcohesion when it started, but was highly cohesive by the end of the project.Cohesiveness was created because group members developed trust, andwithdrawn and passive members were encouraged to participate andbecome involved. Group members learned to listen and respect oneanother’s opinions, and to accept each other as unique people. From thisexample, the lesson for leaders is to help their group to build cohesiveness.When they do, the results can far exceed expectations.

Promoting Standards of ExcellenceFinally, a leader establishes a constructive climate by promotingstandards of excellence. In a classic study, Larson and LaFasto (1989)analyzed the characteristics of 75 highly successful teams. Included intheir study were famous teams such as the DeBakey-Cooley cardiacsurgery team, the Challenger disaster investigation team, the 1966 NotreDame championship football team, and even the McDonald’s ChickenMcNugget team. In their analysis, researchers found that standards ofexcellence were a crucial factor associated with team success.

Leading a High-Performance Team

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What are standards of excellence? These standards are the expressed andimplied expectations for performance that exist within a group or anorganization. Standards of excellence include six factors that are essentialfor members to function effectively:

1. What group members need to know and what skills they need toacquire

2. How much initiative and effort they need to demonstrate3. How group members are expected to treat one another4. The extent to which deadlines are significant5. What goals they need to achieve6. What the consequences are if they achieve or fail to achieve these

goals (Larson & LaFasto, 1989, p. 95)

In essence, standards of excellence refer to the established benchmarks ofdesired performance for a group. A good example of standards ofexcellence can be seen in the slogan (see Figure 8.1) of The UpjohnCompany, a pharmaceutical manufacturing firm in Kalamazoo, Michigan.Founded in 1885, Upjohn was known for revolutionizing the drug industrythrough its invention of the “friable pill,” which can crumble under thepressure of a person’s thumb. In addition to this innovation, over the yearsUpjohn made many other drug discoveries, and grew to become one of thelargest pharmaceutical companies in the world. For many years, theinternal slogan promoted throughout the company was “Keep the qualityup.”

Figure 8.1 Standard of Excellence Slogan

Sources: Used as Courtesy of the WMU Archives and RegionalHistory Collections

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“Keep the quality up” captures the essence of what standards of excellenceare all about. This slogan is clear, direct, and forceful. It puts responsibilityon employees to work toward maintaining quality—a standard ofexcellence. The slogan strongly suggests that employees should workconsistently toward these standards over time. In addition, “Keep thequality up” stresses a positive expectation that has value for bothemployees and the company; quality is the valued benchmark of thecompany’s desired performance for its employees.

Based on studies of more than 600 team leaders and 6,000 team members,LaFasto and Larson (2001) identified several specific ways that a leadercan influence performance and promote standards of excellence. Toinfluence performance, the authors contend that a leader must stress the“three Rs”: (1) Require results, (2) Review results, and (3) Reward results.

1. Require results. A leader needs to articulate clear, concrete expectationsfor team members. Working together, a leader and team members shouldestablish mutual goals and identify specific objectives for achieving theresults associated with those goals. Without clear expectations, teammembers flounder and are uncertain about what is required of them. Theyare unsure what results they are expected to achieve. Requiring results isthe critical first step in managing performance (LaFasto & Larson, 2001).

Requiring Results

For example, students in a research course were expected to form a groupwith four or five of their classmates and work together to complete a“utilization project” by the end of the course. Although the professor had aclear idea of what she wanted students to accomplish, students had no ideawhat a utilization project was or how to go about developing it. After anumber of students expressed frustration at the lack of clear guidelines, theprofessor explained that a utilization project involved taking findings froma research study and applying them to a real-world situation. Shedeveloped evaluation criteria for the project that outlined what studentswere supposed to do, the level of depth required for the project, and thekey elements of the project that needed to be reported in the evaluationpaper. With these explicit instructions, students’ anxiety about the

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utilization project decreased, and they were able to work more effectivelyin their groups.

Leadership Snapshot: Meg Whitman, CEO, Hewlett Packard Enterprise

© epa european pressphoto agency b.v. / Alamy Stock Photo.

When Meg Whitman took over as CEO of Hewlett-Packard (HP) in2011, she was walking into a company that could best be described as“a complete mess” (Winkler, 2012).

HP was once the undisputed ruler of Silicon Valley, rising from itshumble beginnings in a one-car garage to becoming a technology giantthat produced computers, software, printers, and other informationtechnology services and products. Even though it is the world’s largesttech company with $120 billion in annual revenue and 330,000employees, the company has spiraled downward in the past decade,creating a revolving door of CEOs that began in 1999.

Whitman was the fourth new CEO for HP in less than a decade. Agraduate of both Princeton and Harvard universities, she has animpressive track record. As eBay’s CEO, she marshaled its growth intoan online auction giant that went from sales of $86 million her first year

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to $7.7 billion a decade later, when Whitman stepped down as CEO.After an unsuccessful run for the California governor’s office in 2010,Whitman, who was serving on HP’s board of directors, was asked torun the struggling company.

Described as blunt, folksy, and persistent, Whitman’s leadership styleharkens back to that of HP’s original founders, William Hewlett andDavid Packard. During their reign, the company created a cultureknown as The HP Way, which emphasized integrity, teamwork, andinnovation and resulted in the deep employee loyalty. But after thefounders left and subsequent leadership changes, that revered cultureslipped away.

While Whitman knows in today’s competitive tech world she can’t re-create the culture that was, she is intent on reviving the integrity,innovation, and loyalty from those earlier days. Known as beinginformal, she is the antithesis of the executive. Her first move was toremove the barbed wire and locked gates that separated executiveparking from the general employee lot. “We should enter the buildingthe same way everyone else does,” she says (Anders, 2013). Inside,Whitman removed executive vice presidents from their plush offices,including herself, and placed them in cubicles. “This is not a fancypants kind of company,” she says (Vance & Ricadela, 2013).

Described as a being “decisive without being abrasive, persuasivewithout being slick,” Whitman is a team builder who is aiming to fixthe hundreds of small problems that riddle the company rather thanlooking for one miracle acquisition or cure. “Problems are good, as longas you solve them quickly,” she says (Anders, 2013).

Inside her organization, she preaches frugality and humility. When HPrival Dell was awarded a $350 million order for Microsoft Bing,Whitman was on the phone to the Microsoft CEO to ask why. “Tell mewhere we came up short,” Whitman asked. “Don’t sugarcoat it, I’d liketo know so we can do better next time.” What resulted was a multipagememo that listed nine ways HP had fallen short. Whitman didn’t takethat as an insult—she saw it as a battle plan (Anders, 2013).

“Run to the fire, don’t hide from it,” she tells employees.

Externally, Whitman has personally reached out to the company’scustomers and partners, traveling to more than 300 one-on-onemeetings and 42 roundtable chats in one year alone. At those meetingsshe heard complaints and problems, and worked quickly to solve anumber of those back in Silicon Valley. “She’s made herself more

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available than her predecessor ever did,” said one customer (Anders,2013). “There’s quite a bit of pride in being part of something thatmeans so much to the Valley and this country. It’s a nice company.Nice people,” she says (Anders, 2013).

Whitman admits that what attracted her to the job was the opportunityto revive an iconic company. And while many felt she achieved that,Whitman now sees the company’s future in innovating its services,which harkens back to the company’s early days of leading thecomputer revolution. In 2014, she split the company into twocompanies: HP Inc., which is the printer and PC side of the business,and Hewlett Packard Enterprise (HPE), an information technology unitcatering to business customers. Whitman is now the head of HPE,leading the company in a new direction.

In this example, the professor initially required results that were unclear.When she clarified her expectations, the students were able to produce theresults. Giving clear objectives and instructions is the first step to high-quality performance.

2. Review results. In addition to requiring results, a leader needs to reviewresults. According to LaFasto and Larson (2001), a leader does this bygiving constructive feedback and resolving performance issues.

Reviewing Performance

Giving constructive feedback is a must for a leader if he or she is going tohelp group members maintain standards of excellence (see Table 8.2).Constructive feedback is honest and direct communication about a groupmember’s performance. It is not mean-spirited or paternalistic, nor is itoverly nice or patronizing. Constructive feedback helps group membersknow if they are doing the right things, in the right way, at the right speed.Although it is not easy to do, giving constructive feedback is a skill thateveryone can learn. When done correctly, constructive feedback allowsgroup members to look at themselves honestly and know what they need tomaintain or improve (LaFasto & Larson, 2001).

Consider the following example of two restaurant managers (Managers Aand B) and their waitstaff. Manager A was known for being very blunt and

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sometimes even mean. Although he wanted the best for the restaurant, hisperformance reviews were always disasters. Manager A was brutallyhonest; he did not know how to be diplomatic. If a server was slow orinefficient, he let the person know it in no uncertain terms. In fact, staffmembers often thought Manager A was attacking them. Although ManagerA wanted people to perform well, he did not know how to make thatbehavior happen. As he frequently told his employees, “Around this place,I don’t sugarcoat anything. If your performance is poor, you’re going tohear about it!”

In contrast, Manager B was very careful in how she treated the waitstaff.Manager B cared about staff, and it showed in how she did performancereviews. If waitstaff did something wrong, Manager B would alwayscomment on it, but never in a mean way. When giving praise or criticism,the feedback was always objective and never extreme; the feedback neverattacked the person. Manager B consistently evaluated her staff, butalways in a way that made them feel better about themselves and thatmade them want to try harder.

Manager A and Manager B were very different in how they gave feedbackto their staff. Manager A’s feedback was destructive and debilitating,while Manager B’s feedback was constructive and helped to improveperformance. As a result, the waitstaff liked working for Manager B anddisliked working for Manager A. Staff performed better when Manager Bwas in charge and worse when Manager A was in charge.

Resolving performance issues is the second part of reviewing results.LaFasto and Larson (2001) found that, more than anything else, thedistinguishing characteristic of effective leaders was their willingness toconfront and resolve inadequate performance by team members. Clearly,individuals in groups want their leaders to keep other group members “ontrack.” If some group members are slacking off, or not doing their part, theleader needs to address the situation.

Table 8.2 Tips for Giving Constructive FeedbackTable 8.2 Tips for Giving Constructive Feedback

People benefit greatly from feedback that is delivered in anonconfrontational, constructive manner. Unfortunately, not manyof us have the innate skill for delivering feedback this way. There

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are, however, some simple communication methods that canimprove your ability to provide constructive feedback.

1. Address behaviors.

Use facts to describe the behavior that is problematic, rather thanfocusing on personal traits. For example, a leader might say, “Jane,I have noticed that you have been late for the past three mornings.Can you explain why?” rather than “Why aren’t you able to arriveon time?”

2. Describe specifically what you have observed.

Observations are what you have seen occur; an interpretation isyour analysis or opinion of what has occurred. By telling the personwhat you have seen and not what you think of what you have seen,you provide observations that are more factual and less judgmental.For example, a leader might say, “Dan, I noticed and highlightedseveral factual and grammatical errors in the report you submitted,”rather than “Dan, all these mistakes make me wonder if you weredoing this report at the last minute.”

3. Use “I” language.

Employing “I” statements rather than “you” statements will helpreduce the defensiveness of the person you are addressing. Forexample, if you say, “Joe, because our cubicles are so closetogether I have a hard time concentrating when you play music onyour computer,” rather than “It is really inconsiderate of you to playmusic when other people are trying to work,” you are more likely toelicit the change you would like.

4. Give the feedback in calm, unemotional language.

Avoid “need to” phrases (e.g., “You need to improve this . . .”) orusing a tone that implies anger, frustration, or disappointment.Rather than saying, “If you’d just learn the software, you’d do abetter job,” a leader should say, “I am sure you will be much fasternow that you understand how to use this software.”

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5. Check to ensure clear communication has occurred.

Solicit feedback from the other person to ensure he or sheunderstands what you have been trying to communicate to him orher. For example, a leader might say, “Ann, do you know theprocedure for ordering the supplies? Can you go over it to be sure Icovered everything?” rather than “Ann, you got all that, didn’tyou?”

Giving Feedback

Working in groups is a collective effort—everyone must be involved.Group members are interdependent, and all members share theresponsibility of trying to achieve group goals. When some members donot pull their own weight, it affects everyone in the group. This is why aleader must address the inadequate performance of any group members. Ifthe leader fails to do so, contributing group members will feel angry andslighted, as if their work does not really matter.

Confronting inadequate performance by group members is a challengingand emotionally charged process that requires much of leaders (LaFasto &Larson, 2001). It is not easy, but it is a necessary part of leadership. Aneffective leader is proactive and confronts problems when they occur. Inproblem situations, a leader has to communicate with low-performinggroup members and explain how their behaviors hinder the group frommeeting its goals. The leader also has to explain what needs to be donedifferently. After the changes have been clearly identified, the leader needsto monitor the behaviors of the low-performing group members. If thegroup members make satisfactory changes, they can remain in the group.If a group member refuses to change, the leader needs to counsel him orher about leaving the group. When a leader addresses behavioral problemsin a timely fashion, it is beneficial both to the person with the performanceproblem and to the entire group.

An example of a performance review can be seen in the story of SamWilson, a principal at a private, suburban high school. Sam is a highlyeffective leader who is respected by students, teachers, and parents of his

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school. As principal, he is responsible for hiring all the teachers at theschool. During one fall semester, Sam noticed that Michelle Long, ateacher he had hired to teach geometry, appeared to be slacking off in herwork. Michelle was coming to work late, was skipping faculty meetings,and did not seem very excited about teaching. Seeing that she wasunderperforming, Sam called Michelle into his office to discuss hisconcerns. During the meeting, Sam described thoroughly his concernsabout Michelle’s work and asked Michelle to give her point of view onthese concerns. After a long discussion, Sam identified several changesMichelle needed to make if she wanted to continue to teach at the highschool.

Following the meeting, Michelle temporarily changed her behavior. Shecame to school on time, attended some of the faculty meetings, andimproved her teaching plans. This positive behavior lasted for about amonth, and then she fell back into her old habits. In March, when Samgave Michelle her annual performance review, he told her that her teachingcontract would not be renewed for the following year. Although Michellewas not pleased, she understood why she was being let go.

In the ensuing months, Michelle finished the school year and then found ajob at another school. While letting Michelle go was not easy, Sam wascomfortable with what he had done. Although some teachers at the schoolwere surprised that Michelle had been let go, they also expressed somerelief because they realized that her work was not up to the standards ofthe school.

3. Reward results. Finally, an effective leader rewards group members forachieving results (LaFasto & Larson, 2001). Many of the behaviorsrequired to be an effective leader are abstract (such as establishing norms)and challenging (such as building group cohesion). However, that is notthe case when it comes to rewarding results. Rewarding results is a verypractical, straightforward process. It is something that every leader can do.

In their well-known consulting work on leadership effectiveness, Kouzesand Posner (2002) claimed that rewarding results is one of the five majorpractices of exemplary leaders. They argued that a leader needs torecognize the contributions of group members and express appreciation forindividual excellence. This includes paying attention to group members,offering them encouragement, and giving them personalized appreciation.These expressions can be dramatic, such as a dinner celebration, or simple,

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such as a short email of praise. When a leader recognizes group membersand gives encouragement, members feel valued, and there is a greatersense of group identity and community spirit.

A good example of how to effectively reward performance can be seen inhow the leader of a nonprofit organization rewarded one of its members,Christopher Wolf. Christopher was an active member of the board whowillingly shared his insights and expertise for 15 consecutive years. Toshow appreciation for his work, the board president had T-shirts made thatcharacterized Christopher’s contributions. On the front of the shirt was acaricature of a wolf in sheep’s clothing symbolizing Christopher’s manypositive contributions to the board. On the back of the shirt were the words“The Wolf Pack” and a list of the names of each of the other boardmembers. Both Christopher and each member of the board were given ashirt, which was a big hit with everyone. Although the shirts were simpleand inexpensive, they were a unique way of positively recognizingChristopher and all his fellow board members.

SummaryEstablishing a constructive climate is a subtle but essential aspect ofeffective leadership that plays a major role in whether groups ororganizations function effectively. Establishing a constructive climate issimilar to creating a positive climate for workers in a company. It requiresthat a leader provide structure, clarify norms, build cohesiveness, andpromote standards of excellence.

A leader provides structure by establishing concrete goals, giving explicitassignments, and making responsibilities clear. Helping each groupmember feel included and know that he or she contributes to the overallgoals of the group also provides structure.

Facilitative Leadership

A leader plays a significant role in helping to develop positive groupnorms. Effective groups establish positive norms that allow them to work

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productively. When norms for a group are negative or unproductive, theleader needs to help group members to change and develop new norms. Byassisting groups in establishing positive norms, a leader facilitates thegroup in maximizing its performance.

Building cohesiveness is the third facet of establishing a constructiveclimate. Cohesiveness is a special quality of high-functioning groups thatfeel a strong sense of connectedness and esprit de corps. Associated withmany positive outcomes, cohesiveness is established by a leader whoassists group members in trusting each other, listening to and respectingone another’s opinions, and accepting each other as unique people.

Finally, to establish a constructive climate a leader promotes standards ofexcellence. Highly effective teams have strong standards of excellence—they have established benchmarks for desired performance. Standards ofexcellence are best achieved when the leader requires results, reviewsresults, and rewards results.

To summarize, establishing a constructive climate is a complex processthat involves a great deal of work by a leader. A leader who sets a positivetone will find payoffs in remarkable group performance.

Glossary Termscohesiveness 163mission 160norms 161standards of excellence 166structure 160synergy 161

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Application

8.1 Case Study: A Tale of Two ClassesEbony Ellis has two communication classes back-to-back in the sameroom, but they couldn’t be more different.

The first, a class on interpersonal communication, is taught by SteveGardner, an older professor who has taught at the university for 20years. The first day of class he verbally explained the rules for classconduct, which were also distributed in a printed handout—cell phonesoff, no texting, and, unless a student needs to use one for taking notes,laptops closed. Class starts on time and ends on time, and studentsshould try not to leave early.

Ebony’s second class, an organizational communication course taughtby Marissa Morgan, a younger professor in her 40s, has different rules.There aren’t any. This professor doesn’t care if the students use theirlaptops during class. Texting and talking are unrestrained. ProfessorMorgan announced on the first day that all students are responsible fortheir own learning in the class, and she trusts them to know how theylearn best. When students walk in late or leave early, she always sayshello or goodbye to them.

Ebony likes her interpersonal communication class a lot. ProfessorGardner’s manner has succeeded in getting the class of 75 students toengage with him and listen to one another. Personal disclosures bystudents and the professor alike are frequent, and there is often muchhumor and laughter. Even though it is a large class, most people knoweach other’s names, as does Professor Gardner. Many of the students dothings with each other outside of class. In his course, students write areflection paper every other week, and they have a midterm and finalexams.

The atmosphere in the organizational communication class is strikinglydifferent to Ebony. It is spontaneous and uncontrolled. Sometimesprofessor Morgan lectures, but most of the time she just comes to classand invites students to discuss whatever they want to talk about.Students do not know each other’s names and seldom connect with eachother outside of class. Professor Morgan also assigns papers, but theyare short, personal observation papers that aren’t given grades but aremarked as turned in or not. Students’ final grades for the class aredependent on a presentation each student must give on an interpersonalcommunication topic of his or her choice.

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Ebony thinks the two differing styles of the professors would make agreat topic for her organizational communication class presentation. Toget more information, she interviews both instructors to learn why theirclassroom management styles are so different.

Professor Gardner describes his teaching philosophy this way: “I wantstudents to think that this class is unique and the subject is importantand has value. I know all students by name, and I allow them to call meby my first name or my title. I really want them to be on board with thedirection the train is going from the start. I try to build a community bygetting the students to listen to one another. The fun and spirit of theclass comes from the camaraderie they establish. In order to listen toone another, however, they have to be fully present. To be fully present,they have to be paying full attention. Texting and open laptops suggestto me that the students are disassociated and disconnected from thegroup. The attention is on self, rather than the community.”

Professor Morgan says her goal is to be sure to cover the requiredcourse content and still enjoy the teaching experience. “I give thestudents just enough freedom in class that they will either sink or swim.This freedom allows me to present my ideas, and then they are free todiscuss them as they wish. I think today’s students are so multifacetedthat they can find their own way to learn, even if it involves texting orusing their laptops during class. Many times a student will bring upsomething valuable that he or she has found while surfing the Internetduring class that really adds to our discussions. As I see it, my role as aprofessor is to present the material to be learned, while the students areresponsible for how much of it they can absorb.”

Ebony also interviewed two students, like herself, who are enrolled inboth classes. Ian said he is very pleased with Professor Gardner’s classbecause he knows what is expected of him and what the norms for classbehavior are, noting “He’s the only prof at the U who knows my name.”Professor Gardner’s grading structure is similar to that of most otherclasses Ian has had, and he likes that there are several gradedassignments that allow him to know how he is doing through the courseof the semester. As for Professor Morgan’s class, he thinks it is “OK”but finds it distracting when people are texting in class. Ian is alsostressed about his grade being dependent on one big assignment.

Professor Gardner’s class is also BreeAnn’s favorite. She says thatProfessor Morgan’s class feels “a little wild,” the discussions are notcontrolled by the professor so the class does not stay on topic, and youlearn very little. While Professor Morgan writes thoughtful comments

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on each of their papers, it is unclear how the papers are related to herlectures and more importantly the student’s final grade. BreeAnn findsthe final presentation assignment to be an interesting challenge butirrelevant to the class and her major.

“They are both good,” Ian says, “just very, very different.”

Questions

1. In establishing a constructive climate for his or her class, whatkind of structure has each professor put in place?

2. How would you describe the group norms for each class?3. What actions has each professor taken to establish cohesiveness in

his or her class?4. What standards of excellence has each professor established for

his or her course?5. Which class atmosphere would you do best in? Why?

8.2 Organizational Climate Questionnaire

Purpose

1. To develop an understanding of how your leadership affectsothers

2. To help you understand your strengths and weaknesses inestablishing the climate for a group or an organization

Directions

1. For each of the statements below, indicate the frequency withwhich you engage in the behavior listed.

2. Give your immediate impressions. There are no right or wronganswers.

When I am theleader . . .

Never Seldom Sometimes Often Always

1. I give clearassignments togroup members.

1 2 3 4 5

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2. I emphasizestarting andending groupmeetings ontime.

1 2 3 4 5

3. I encouragegroup membersto appreciate thevalue of theoverall group.

1 2 3 4 5

4. I encouragegroup membersto work to thebest of theirabilities.

1 2 3 4 5

5. I make thegoals of thegroup clear toeveryone.

1 2 3 4 5

6. I modelgroup norms forgroup members.

1 2 3 4 5

7. I encouragegroup membersto listen and torespect eachother.

1 2 3 4 5

8. I make apoint ofrecognizingpeople whenthey do a goodjob.

1 2 3 4 5

9. I emphasizethe overall

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purpose of thegroupassignment togroup members.

1 2 3 4 5

10. Idemonstrateeffectivecommunicationto groupmembers.

1 2 3 4 5

11. I encouragegroup membersto respect eachother’sdifferences.

1 2 3 4 5

12. I promotestandards ofexcellence.

1 2 3 4 5

13. I help groupmembersunderstand theirpurpose forbeing in thegroup.

1 2 3 4 5

14. I encouragegroup membersto agree on therules for thegroup.

1 2 3 4 5

15. I encouragegroup membersto accept eachother as uniqueindividuals.

1 2 3 4 5

16. I give groupmembers honest

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feedback abouttheir work.

1 2 3 4 5

17. I help groupmembersunderstand theirroles in thegroup.

1 2 3 4 5

18. I expectgroup membersto listen whenanother groupmember istalking.

1 2 3 4 5

19. I help groupmembers buildcamaraderiewith each other.

1 2 3 4 5

20. I showgroup memberswho are notperforming wellhow to improvethe quality oftheir work.

1 2 3 4 5

Scoring

1. Sum the responses on items 1, 5, 9, 13, and 17 (providingstructure).

2. Sum the responses on items 2, 6, 10, 14, and 18 (clarifyingnorms).

3. Sum the responses on items 3, 7, 11, 15, and 19 (buildingcohesiveness).

4. Sum the responses on items 4, 8, 12, 16, and 20 (promotingstandards of excellence).

Total Scores

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Clarifying norms: ____________Building cohesiveness: ____________Promoting standards of excellence: _________

Scoring Interpretation

This questionnaire is designed to measure four factors related toestablishing a constructive climate: providing structure, clarifyingnorms, building cohesiveness, and promoting standards of excellence.By comparing your scores, you can determine your strengths andweaknesses in establishing a constructive climate as a leader.

If your score is 20–25, you are in the high range.If your score is 15–19, you are in the high moderate range.If your score is 10–14, you are in the low moderate range.If your score is 5–9, you are in the low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

8.3 Observational Exercise

Establishing a Constructive Climate

Purpose

1. To develop an understanding of how leaders establish aconstructive climate for a group or an organization

2. To identify how specific factors contribute to effective groupperformance

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Directions

1. For this exercise, you will observe a leader running a meeting, apractice, a class, or some other group-related activity.

2. Attend a full session of the group and record your observationsbelow.

Name of the leader:___________________________________________________Name of the group:____________________________________________________Observations about the structure (organization) of the group:Observations about the group’s norms:Observations about the cohesiveness of the group:Observations about the group’s standards of excellence:

Questions

1. In what ways did the leader make the goals of the group clear togroup members?

2. How did the leader utilize the unique talents of different groupmembers?

3. What were some of the positive and negative norms of this group?How did the leader reinforce these norms?

4. How would you evaluate, on a scale from 1 (low) to 5 (high), thecohesiveness of this group? In what ways did the leader promoteor fail to promote the esprit de corps in the group?

5. A key factor in promoting standards of excellence is rewardingresults. How did the leader reward group members for achievingresults?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

8.4 Reflection and Action Worksheet

Establishing a Constructive Climate

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Reflection

1. Based on the scores you received on the Organizational ClimateQuestionnaire, what are your strengths and weaknesses regardingestablishing a constructive climate for a group or an organization?Discuss.

– Strengths:– Weaknesses:

2. How did you react to the example in this chapter (pp. 167–168) ofthe service-learning group that developed cohesiveness? In whatway do you think cohesiveness plays an important role in groups?Have you ever experienced cohesiveness in a group yourself?Discuss.

3. In this chapter, group rules and norms are stressed as being veryimportant to effective teams. Do you agree with this? Explainyour answer. Briefly comment on your own desire and ability toadapt to the rules of a group.

4. An important aspect of establishing a constructive climate isgiving recognition to others. Is rewarding or praising otherssomething that would come easily for you as a leader? Discuss.

Action

1. Imagine that you have been chosen to lead a group project foryour class and are preparing for the first meeting. Based on whatyou have read in this chapter, identify five important actions youcould take to help establish a constructive climate for the group.

2. This chapter argues that establishing a constructive climatedemands that the leader be a role model for how group membersshould act. What three values are important to you in a group?How would you demonstrate these values to group members?

3. High-performing teams have strong standards of excellence.Discuss your level of comfort with encouraging others to “keepthe quality up.” What leadership behaviors could you strengthento encourage others to work to the best of their ability?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

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ReferencesAnders, G. (2013, June 10). The reluctant savior of Hewlett-Packard.

Forbes, 191(8), 64–76.

Brown, D. J. (2013). The boys in the boat: Nine Americans and their epicquest for gold at the 1936 Berlin Olympics. New York, NY: Viking.

Cartwright, D. (1968). The nature of group cohesiveness. In D. Cartwright& A. Zander (Eds.), Group dynamics: Research and theory (3rd ed., pp.91–109). New York, NY: Harper & Row.

Cartwright, D., & Zander, A. (Eds.). (1968). Group dynamics: Researchand theory (3rd ed.). New York, NY: Harper & Row.

Corey, M. S., & Corey, G. (2006). Groups: Process and practice (7th ed.).Pacific Grove, CA: Brooks/Cole.

Harris, T. E., & Sherblom, J. C. (2007). Small group and teamcommunication (4th ed.). Boston, MA: Pearson.

Kouzes, J. M., & Posner, B. Z. (2002). The leadership challenge (3rd ed.).San Francisco, CA: Jossey-Bass.

LaFasto, F. M. J., & Larson, C. E. (2001). When teams work best: 6,000team members and leaders tell what it takes to succeed. Thousand Oaks,CA: Sage.

Larson, C. E., & LaFasto, F. M. J. (1989). Teamwork: What must goright/what can go wrong. Newbury Park, CA: Sage.

Napier, R. W., & Gershenfeld, M. K. (2004). Groups: Theory andexperience (7th ed.). Boston, MA: Houghton Mifflin.

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Reichers, A. E., & Schneider, B. (1990). Organizational climate andculture. San Francisco, CA: Jossey-Bass.

Schein, E. H. (1969). Process consultation: Its role in managementdevelopment. Reading, MA: Addison-Wesley.

Schein, E. H. (2010). Organizational culture and leadership (4th ed.). SanFrancisco, CA: Jossey-Bass.

Shaw, M. E. (1976). Group dynamics: The psychology of small groupbehavior (2nd ed.). New York, NY: McGraw-Hill.

Vance, A., & Ricadela, A. (2013, January 10). Can Meg Whitman reverseHewlett-Packard’s free fall? Bloomberg Businessweek. Retrieved fromhttp://www.businessweek.com/articles/2013-01-10/can-meg-whitman-reverse-hewlett-packards-free-fall#p1

Winkler, R. (2012, November 20). Another fine mess for H-P. The WallStreet Journal. Retrieved fromhttp://online.wsj.com/article/SB10001424127887324712504578131252852902768.html

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9 Embracing Diversity and Inclusion

IntroductionLeadership requires skill, a clear vision, and a strong commitment toestablishing a constructive organizational climate. It also requires thatleaders understand diversity and inclusion, and the essential role these playin organizational outcomes. While many of the leadership conceptsdiscussed in this text so far (e.g., task behavior, goal setting, and strengths)involve rather straightforward leadership efforts, addressing diversity andinclusion is a multilayered process that requires a wider range ofleadership practices. Although the terms diversity and inclusion seem torepresent distinctly different concepts, they are actually interrelatedprocesses, and while not usually discussed as core leadership concepts,diversity and inclusion play a seminal role in effective leadership.

Why Should Leaders Embrace Diversity?

Hearing the word diversity conjures up a multitude of different reactions inpeople. To some, the word diversity suggests being enriched by thedifferent perspectives, attitudes, and life experiences that people bring to asituation. For others, the word stirs up feelings of unfairness, injustice, andexclusion. Furthermore, some people embrace the positive outcomes ofdiversity, while others resent the burden of having to adapt to those whoare different from themselves. Whatever your reaction is to the worddiversity, when you are in a leadership role, you must be prepared toaddress diversity. How you approach diversity and inclusion will have animpact on your success as a leader.

In this chapter, we explore how embracing diversity and inclusion canmake you a more effective leader. First, we define diversity and inclusionand discuss common usages for these terms. Next, we provide a briefhistory of how these concepts have become more important in society overtime. Additionally, we provide a framework to conceptualize inclusion anda model of inclusive practices. Last, we discuss communication practices

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to improve inclusion and the barriers that can be encountered when tryingto embrace diversity and inclusion.

Diversity and Inclusion Explained

DefinitionsDiversity and inclusion are general terms that represent complex processes.A closer look at each of the terms will help explain why they are closelyrelated and why leaders need to be aware of both concepts whenaddressing diversity within their group or organization.

Understanding Diversity

Diversity. In the most general sense, diversity is about variety ordifference. Researchers have defined diversity in a multitude of ways (MorBarak, 2014). For example, diversity is often used to refer to the mixture ofraces, genders, or religions that make up a group of people. Harrison andSin (2006) define diversity as “the collective amount of differences amongmembers within a social unit” (p. 196). Ferdman (2014), a diversityscholar, suggests that diversity is the representation of multiple groups ofindividuals with different identities and cultures within a group ororganization. Similarly, Herring and Henderson (2015) suggest thatdiversity refers to policies and practices that are designed to include peoplewho are different in some way from the traditional group members. Fromthis perspective, diversity means creating an organizational culture thatembraces the values and skills of all of its members. Herring andHenderson contend that diversity is about more than valuing differencesbetween groups; it includes addressing issues of parity, equity, andinequality.

According to a study by Deloitte and the Billie Jean King LeadershipInitiative (Dishman, 2015), of 3,700 individuals from a variety ofbackgrounds, Millennials (born 1980–2000) define diversity differentlythan Boomers (born 1946–1964) and Gen-Xers (born 1965–1979).Millennials look at diversity as the mixing of different backgrounds and

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perspectives within a group. Boomers and Gen-Xers, on the other hand,see diversity as a process of fairness and protection for all group members,regardless of gender, race, religion, ethnicity, or sexual orientation.Millennials are more likely than non-Millennials to focus on the uniqueexperiences of individuals, teamwork, and collaboration than issues ofjustness.

In this chapter, we define diversity as the amount of difference amongmembers of a group or organization. As set forth by Loden (1996), thecore dimensions of diversity include age, ethnicity, gender,mental/physical abilities and characteristics, race, and sexual orientation(see Table 9.1). Secondary dimensions include communication style,education, family status, military experience, organizational role and level,religion, first language, geographic location, income, work experience, andwork style. The primary dimensions of diversity are more powerful andless changeable, while the secondary dimensions can change, are lessvisible, and are less influential in how they impact our lives.

Inclusion. Inclusion is the process of incorporating differing individualsinto a group or organization. It is creating an environment where peoplewho are different feel they are part of the whole. For example, inclusion isrepresented by making accommodations so that a student with disabilitiescan feel involved and accepted in regular school classes. Similarly,inclusion is about the majority incorporating the opinions of the minorityand giving voice to the people who are seldom heard. Booysen (2014)suggests that when inclusion exists in a workplace, “all people fromdiverse backgrounds will feel valued, respected, and recognized” and “noone will feel that he or she . . . does not have a place in the organization;no one will ask: ‘What about me?’” (p. 299). Furthermore, Ferdman(2014) suggests that people experience inclusion not only when they feelthey are treated well individually but also when groups of people whoshare their identity are respected and valued.

Table 9.1 Dimensions of DiversityTable 9.1 Dimensions of Diversity

Primary Dimensions Secondary Dimensions

Age Geographic Location

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Gender Military and Work Experience

Race Family Status

Mental and Physical Abilities Income

Ethnicity Religion

Sexual Orientation

Education

First Language

Organizational Role and Level

Communication and Work StyleSource: Based on Loden (1996).

The underpinnings of inclusion are described in the work of Schutz (1958),who posited that inclusion (along with control and affection) is a basichuman need that people experience in their interpersonal relationships. It isour need to belong, feel accepted, and be connected to others, but not tothe extent that we lose a sense of ourselves as unique individuals.Inclusion means feeling like you are a full member of the group but at thesame time maintaining your own identity. It requires a balance betweenbelonging and uniqueness (Shore et al., 2011).

The Importance of Inclusion

Schutz (1958) argued that we express our need to be included by how wecommunicate with others and we experience less anxiety if our need to be“in the group” matches the degree to which we want others to “includeus.” This suggests that leaders should open their arms to include others,but not so much that the individual differences of others get smothered orlost.

In short, diversity focuses on recognizing differences, and inclusion isconcerned with embracing those differences. As Myers (2012) aptly

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suggests, diversity is about “being invited to the party,” and inclusion isabout “being asked to dance” (p. 13). Leaders often recognize the value ofdiversity but struggle with creating supportive, inclusive environments. Itis one thing to have a diverse group or organization, but another to makesure each individual is included in the group or organization in a positivemanner. Later in the chapter, we provide an inclusion framework to helpleaders understand how to approach diversity in different settings.

Brief Historical Perspective

Approaches to Diversity

To better understand the complexity of diversity, it is useful to brieflydescribe how diversity has been addressed in the past, and then to discusshow these descriptions influence the meaning of diversity today.Addressing issues of diversity is not unique; it has been a central challengefor leaders of every generation.

In the United States, diversity was at the foundation of the country’sdemocratic system. The United States was originally formed by peopleseeking to escape religious persecution elsewhere. This ideal of seekingfreedom drove to the country many groups of immigrants, all of whom haddifferent values, traditions, and religions. As the country evolved, diversityalso came to mean addressing the needs of people who are marginalized inthe United States, including African Americans whose descendantsoriginally came as slaves as well as Native Americans who were alreadyliving in the country. Even today, the diversity of the country continues toshift and change as waves of newcomers enter the United States andcontinue to alter the social landscape of the nation (Healey & Stepnick,2017). Building a democratic nation is only possible by acknowledgingand addressing issues of diversity.

While there is a lot written on multiculturalism, intergroup relations, anddiversity in society, much of the information we present in this chaptercomes from diversity and inclusion research as it has occurred in the realmof the workplace. While this research may be workplace specific, it issalient to leaders of any organization. This is especially true of theresearch on the historical development of workplace diversity in theUnited States as it reflects how perspectives on diversity evolved in wider

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society. Harvey (2015) suggests that the approach to diversity in theworkplace has changed and evolved over three periods: the early years ofdiversity (1960s and 1970s), the era of valuing diversity (1980s and1990s), and diversity management and inclusion in the 21st century (2000to present) (see Table 9.2).

Moving Beyond an Exclusionary Culture

Early years—1960s and 1970s. This was the period of the civil rightsmovement in the United States. During this time, efforts were made to enddiscrimination against African Americans and to secure their legal rightsas spelled out in the U.S. Constitution. It was also a time when the federalgovernment passed a series of landmark equal employment opportunitylaws: (1) the Equal Pay Act (1963), which stated that women and menmust receive equal pay for equal work; (2) the Civil Rights Act (1964),which prohibited discrimination in employment based on race, sex,national origin, religion, and color; (3) the Executive Orders (1961–1965),which required organizations that accepted federal funds to submitaffirmative action plans that demonstrated their progress in hiring andpromoting groups of people who had been discriminated againstpreviously; and (4) the Age Discrimination Act (1975), which protectedworkers over 40 years of age from being discriminated against at workbecause of their age.

Table 9.2 Changing Perspectives on DiversityTable 9.2 Changing Perspectives on Diversity

TimePeriod

Perspective Metaphor Emphasis

1960sand1970s

GovernmentAddressesInequalities

Melting Pot Assimilation

1980sand

Advantages ofAcceptingDifferences

Salad Differentiation(Multiculturalism)

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1990s Recognized

2000 topresent

Different Opinionsand Insights Valued

Smorgasbord Inclusion(Integration)

Source: Adapted from Harvey, C. P. (2015). Understanding workplace diversity:Where have we been and where are we going? In C. P. Harvey & M. J. Allard (Eds.),Understanding and managing diversity: Readings, cases, and exercises (pp. 1–7).Boston, MA: Pearson; Thomas, D. A., & Ely, R. J. (1996, September–October).Making differences matter: A new paradigm for managing diversity. Harvard BusinessReview.

During these early years, the focus of diversity was on “righting thewrongs” experienced by people who were perceived as different becauseof their race or gender (Harvey, 2015) and who were also the targets ofdiscrimination and exclusion. It was also a time when the governmentbegan forcing organizations to confront inequities between individuals andgroups in the workplace. Thomas and Ely (1996) contend that these earlyyears were focused on discrimination and fairness. Because of prejudice,certain demographic groups were not treated the same as other groups. Tocomply with federal mandates, it was important for organizations to ensurethat all people were treated equally and that no one was given an unfairadvantage over another person.

It was common during the early years to think of diversity using the termmelting pot, a metaphor for a blending of many into one, or aheterogeneous society becoming homogeneous. Sociologically, diversitywas thought of as an assimilation process where those from differentcultures were expected to adapt to and, in many cases, adopt the customsof the majority group (Blaine, 2013). Assimilation focused on the processof making people from diverse cultures come together to create oneAmerican culture. Healey and Stepnick (2017) point out that whileassimilation is often thought of as a gradual and fair blending of diversecultures, in fact it requires different cultures to blend in with thepredominant English language and British cultural style. Althoughassimilation helps to bring diverse individuals together, it requires thatthose in the minority culture give up many, if not most, of their own valuesand traditions in order to adopt the dominant culture.

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Assimilation

Era of valuing diversity—1980s and 1990s. This period was marked by anew approach to diversity that emphasized the acceptance and celebrationof differences (Thomas & Ely, 1996). The approach to diversity at thistime broadened beyond an emphasis on race and gender to include manydimensions (sexual orientation, age, physical and mental abilities, etc. [seeTable 9.1]). In addition to stressing fairness and equality, organizationsrecognized that society was becoming more multicultural and thatsupporting diversity in the workforce could have competitive advantages.Research focused on how diversity in the workplace was related topositive outcomes for an organization, such as reduced turnover, bettercreative thinking, enhanced problem solving, and improved decisionmaking. Organizations found that diversity was not just about fairness; itmade economic sense (Thomas & Ely, 1996).

Emotional and Cultural Intelligence

Rather than a melting pot, the metaphor for diversity during this time wasmore of a salad composed of different ingredients, made by mixingdifferent individuals or cultures and their unique characteristics into one. Amulticultural approach acknowledges and accepts differences. Theemphasis was on the individual unique contributions that each person orculture brings to an organization, rather than blending (“melting”)differences into a single whole (Harvey, 2015). Furthermore, diversityduring this period emphasized pluralism, the recognition that people ofdifferent cultures did not need to sacrifice their own traditions and valuesto become a part of one society. Pluralism means that people of all races,classes, religions, and backgrounds can coexist in one society withoutgiving up their identities, customs, or traditions. A pluralistic societyappreciates and celebrates differences.

Diversity Management

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Diversity management and inclusion in the 21st century—2000 to present.Diversity during this period continues to be a major concern fororganizations and society in general. Inequities between individuals andgroups in regard to differences in race, gender, ethnicity, sexualorientation, and other dimensions remain unresolved. The laws of the1960s and 1970s still occupy an important role in trying to achievediversity in the workplace. At the same time, multiculturalism is morewidely accepted and celebrated today.

What is new in the last 20 years regarding diversity is an emphasis oncreating inclusive organizations. Harvey (2015) points out that peopletoday are recognizing that both organizations and individuals can benefitfrom diversity. Furthermore, she points out that diversity today is broaderin scope and harder to manage because of a changing composition ofworkers, the need to acknowledge multiple social identities, and thechallenge of trying to establish and maintain an inclusive organizationalculture. The new way of approaching diversity acknowledges differencesamong people and values those differences, integrating them into theorganization. People feel they are all on the same team because of theirdifferences, not despite their differences (Thomas & Ely, 1996).

As opposed to being like a melting pot that blends many into one or asalad that mixes differences together, diversity today could be thought ofas a smorgasbord that celebrates the unique qualities of a variety ofdifferent dishes. Diversity from this perspective means that people’sunique qualities are accepted and enjoyed, and that people do not need todownplay their own unique characteristics for the benefit of others. It alsomeans that people do not need to deny their own cultural identities to be apart of the larger group or organization. Diversity means that anorganization is composed of many unique elements and, when takentogether, these elements make the organization unique.

While our perspectives on diversity have changed over the last 50 years,society’s need to address matters of diversity has remained constant. Thecurrent approach to diversity places the inclusion process at center stage asthe pathway to addressing concerns about diversity. Inclusion meansallowing people with different cultural characteristics to have a voice andfeel integrated and connected with others (Ferdman, 2014). In the nextsection, we describe a framework for understanding the inclusion process.

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Inclusion FrameworkSocial psychologist Brewer (1991) argued that individuals have twoopposing needs in regard to being a part of a group. First, they have adesire to assimilate and be included; second, they have a need todifferentiate themselves from the group. Similar to Schutz’s (1958) earlywork on inclusion, people seek an optimal balance between inclusion anddifferentiation.

Inclusion, Diversity, and Leadership

To better understand how people balance these needs, Shore andcolleagues (2011) developed an inclusion framework. The framework,depicted in Table 9.3, illustrates how varying levels of belongingness (i.e.,the desire to be included) interact with uniqueness (i.e., the desire tomaintain one’s own identity) and result in the four quadrants shown below.

The Exclusion quadrant (top left) represents individuals in a group ororganization who feel left out and excluded; they do not feel a part ofthings, and they do not feel valued. Exclusion occurs when organizationsfail to see and value the unique qualities of diverse employees and fail toaccept them as organizational insiders. An example might be a female vicepresident of a bank whose ideas are discounted by her male counterpartsand who is seldom invited to corporate planning meetings. In effect,exclusion represents a complete failure to deal with matters of diversity.

The Differentiation quadrant (lower left) describes individuals who feelunique and respected but who also feel left out and not a part of the in-group. Differentiation occurs when organizations accept and value theunique qualities of members who are different but then fail to let theseindividuals become full members of the organization. For example, thismight occur when a customer service center hires several Spanish-speaking representatives because the center is working with more Spanish-speaking customers. But those representatives are not asked for their inputon organizational issues such as the scripting they use for complaint calls.In terms of diversity, differentiation goes halfway—it recognizes different

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individuals, but does not fully accept them.

Table 9.3 Inclusion FrameworkTable 9.3 Inclusion Framework

Low Belongingness High Belongingness

Low ValueinUniqueness

Exclusion

Individual is not treated asan organizational insiderwith unique value in thework group, but there areother employees or groupswho are insiders.

Assimilation

Individual is treated asan insider in the workgroup when he or sheconforms toorganizational/dominant culture normsand downplaysuniqueness.

High ValueinUniqueness

Differentiation

Individual is not treated asan organizational insider inthe work group, but his orher unique characteristicsare seen as valuable andrequired forgroup/organization success.

Inclusion

Individual is treated asan insider and alsoallowed/encouraged toretain uniquenesswithin the work group.

Source: Shore, L. M., Randel, A. E., Chung, B. G., Dean, M. A., Holcombe Ehrhard,K., & Singh, G. (2011). Inclusion and diversity in work groups: A review and modelfor future research. Journal of Management, 37(4), 1266.

The Assimilation quadrant (top right) represents people who feel they areinsiders and in the organizational in-group but whose uniquecharacteristics are not really valued by the organization. An example ofassimilation could be a Native American college student who is 100%involved and accepted in the classroom but whose unique heritage is notacknowledged by the others, who expect him to give up that heritage toblend into the dominant group. In terms of diversity, assimilationrepresents an attempt by organizations to open their arms and bringeveryone in; however, the same organizations can be faulted for failing to

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acknowledge the uniqueness of their members—they accept differentindividuals, but do not fully value them.

The Inclusion quadrant (lower right) describes individuals who feel theybelong and are valued for their unique beliefs, attitudes, values, andbackground. This quadrant represents the optimal way to address diversity.It means, in short, accepting others and at the same time valuing them forwho they are without requiring them to give up valued identities or culturalfeatures (Ferdman, 1992). For example, inclusion occurs when students ata small rural high school welcome three new students who are Arabicrefugees who have come to live with families in the area. The studentsestablish an “international club” in which they learn Syrian from the newstudents while helping the Syrian students with their English and discussone another’s culture. The social sciences teacher incorporated a researchproject on Syria for all his students based on a presentation that one of theSyrian students gave about his experiences. Another of the Syrian studentsis a gifted singer and is in the choir, and the choir teacher asked her to pickout a song from her native country that the choir is learning to sing for itswinter program. Most important of all, students at the school feel accepted,engaged, and comfortable. The camaraderie they have has produced a newsense of community.

Leadership Snapshot: Xerox Corporation

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When Xerox named Ursula Burns its CEO in 2009, it became the firstFortune 500 company to have a successive female CEO. Burns’sascendency to the top position at the $22 billion company is evidence ofthe diversity and inclusion efforts that began at Xerox more than 40years before.

In 1964, as race riots were occurring near Xerox’s Rochester, NewYork, headquarters, the company’s founder, Joe Wilson, met withBlack leaders and learned people were rioting because they didn’t haveaccess to jobs. Xerox pledged to change that, sending out a company-wide directive, condemning racial discrimination, mandating minorityrecruitment, and holding managers responsible for the success of theminorities they hired (“Xerox a Success,” 1991). In addition, Xeroxfunded and provided consulting to a minority-owned and -operatedplant in Rochester’s Black community, which made parts for Xerox, toprovide jobs for the community’s unemployed (Friedman & Deinard,

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1990).

Xerox’s program was about more than recruitment; it was about acompany-wide commitment to diversity and inclusion on all levels fromthe manufacturing floor to the executive offices. By 1974, Xerox hadincreased its minority workforce from 3% to 14.6% (Friedman &Deinard, 1990).

It wasn’t as simple as hiring more Black employees however. Despitethe company-wide mandate, Black employees at Xerox stillexperienced unequal treatment, especially when it came to promotions.In addition, Black employees weren’t part of the informal networks thatWhite employees enjoyed where they shared support, information, andmentoring, which often inhibited the Black employees’ knowledge ofjob openings and promotion opportunities. Because of this, BlackXerox workers in various company locations began meeting together atone another’s homes as informal support groups. These Black caucusesnot only advocated and fought for equal treatment for Black employeeswithin the company, but they also created what would become ahallmark of the company’s Managing for Diversity program: minoritycaucus groups.

Caucus groups engage in self-advocacy, informing management onissues that keep minorities from progressing within the company. Thecompany now has 6 caucus groups to meet the needs of employees whoare Black, Hispanic, Asian, women, Black women, and LGBT.

By 1991, the company’s efforts had succeeded in increasing theminority ranks of Xerox’s U.S. workforce to 25.7%. Among its seniorexecutives, 17% were minorities. But even though the program hadbeen effective, there was more to be done. Only 8.5% of the company’ssenior executives were women, and more minorities and women wereemployed in lower- and middle-level jobs than upper-level jobs. Burns,who is African American and was recruited by Xerox in 1980 as part ofits summer minority internship program, said that back then thediversity efforts “didn’t extend to gender.

“We looked up one day, and all the African American men were doingbetter . . . they were leaders of the company. But there were very fewwomen of any race. So we said, ‘Oh my God,’ then we have to dosomething about women,” says Burns. “What we’ve learned during thattime is this idea of inclusion can’t be inclusion of one group. Because assoon as you focus on one group only, then you actually exclude theother groups” (Solman, 2014).

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It was through a woman’s caucus group that Xerox managementlearned one obstacle in the way of women obtaining and retaining toppositions in its manufacturing divisions was the rigid hours of shiftschedules. These schedules made it difficult for women who were alsoprimary caregivers to their children to work in manufacturing.Executives learned that “women weren’t dumb in manufacturing, [but]they need more flexibility” than the company allowed them, says Burns(Solman, 2014).

Today, Xerox has 140,000 employees and does business in more than180 countries. In the United States, minorities make up 30.2% of thecompany’s workforce. Among company officials and managers, 22%are minorities, and minorities hold 18% of the company’s vice presidentpositions. Women make up nearly 30% of the company’s vicepresidents while the company’s U.S. workforce is 36% female (Xerox,2016).

Xerox rose to dominance as maker of copy machines, but watched thatmarket shrivel with competition from digital imaging. As a result,Xerox dramatically changed its business model. It is now in thebusiness of client services and has become more globally oriented. Indoing so, the company found that its suppliers, customers, and partnerscame from diverse cultures, backgrounds, and experiences. In order tobe able to connect with them, Xerox had to connect with the diversitywithin its own ranks.

Xerox officials contend that its diversity has allowed the company tosuccessfully shift to new markets because it is able to approach issuesand challenges from different perspectives. “Xerox found out a whileago that including more of the resources of the world to attack problemsor address opportunities is better than including fewer,” says Burns.

“The entire approach here is not to have diversity just because we thinkit’s a nice thing to do. It’s a good business result. The way to stay infront, if you are a tech company, is to engage as much difference and asmuch breadth as you can in thinking and approach and background andlanguage and culture” (Solman, 2014)

The inclusion framework presented in Table 9.3 is useful forunderstanding ways to address diversity because it illustrates inclusion asan integration of two factors: (1) an individual’s connectedness (i.e.,belonging) to others and (2) a person’s individuality (i.e., uniqueness). Inaddition, the inclusion framework is helpful because it underscores thatdifferentiation focuses primarily on people’s differences and assimilation

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focuses primarily on people’s connectedness to the whole.

Diversity and Inclusion in Practice

Model of Inclusive PracticesSince inclusion is essential for integrating everyone into a group ororganization, the next question is, how does the inclusion process work inpractice?

Benefits of Diverse Leadership

To understand this process, Ferdman (2014) suggests treating inclusion asa multilevel process centered on each individual’s experience of inclusion.Simply put, inclusion exists when individuals experience it. This occurs asa result of inclusion practices on many levels, including interpersonal,group, leader, organizational, and societal (see Figure 9.1). Ferdman’sframework illustrates how inclusion at one level is related to the wayinclusion is practiced at other levels.

As shown at the top of the model in Figure 9.1, the way a society orcommunity thinks about and addresses inclusion affects the way anindividual experiences it. For example, if the city commission in acommunity such as Dearborn, Michigan, which has a large percentage ofArab Americans, were to promote the recognition of the Muslim holymonth of Ramadan, then Dearborn residents of Middle Eastern descentmight feel that their Muslim heritage is being valued and recognized.

Moving down the model, organizational policies and practices alsoinfluence the inclusion experience. For instance, if a new employeetraining program at a retail store fosters acceptance of customers who arelesbian, gay, bisexual, or transgender, it may help these customers feelwelcome shopping at the store.

At the leadership level, which is indispensable to promoting inclusion atall levels, leaders need to set the tone for inclusion and hold followers

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accountable for inclusion practices. For example, if, during a staff meetingof a department that is predominantly male, the department head gives adisgruntled female staff member time to voice her opinions to the others,that staff member will feel that her opinions matter. It will also model tothe group’s members how to listen to others and value their opinions, evenif those opinions are different from their own.

Figure 9.1 Systems of Inclusion: A Multilevel Analytic Framework

Source: Adapted from Ferdman, B. M. (2014). The practice ofinclusion in diverse organizations. In B. M. Ferdman, & B. R. Deane(Eds.), Diversity at work: The practice of inclusion (pp. 3–54). SanFrancisco, CA: Wiley.

Challenges for Women in Leadership

Another form of inclusion occurs at the group level. Groups promoteinclusion when they establish enabling norms that give everyone in the

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group an equal chance to voice his or her opinion, acknowledge andrespect individuals’ differences, promote collaborative work on tasks, andaddress conflicts productively. There is an old axiom regarding people ingroups: “By the group are you sickened, by the group are you healed.”When a group is functioning inclusively, it is positive to group members,not toxic. The members feel accepted, comfortable, unique, valued, andinspirited. This is the strength of inclusive group practices.

The interpersonal level is perhaps the most common place where inclusivepractices are played out. Through our interpersonal communication withothers, we let them know our need to be included, our willingness toinclude others, and our willingness to have others include us. For example,a first-year foreign student living on campus may want her roommate toinvite her to parties, but when the roommate does invite her, the studentmakes an excuse for not being able to attend. The student expresses a needto be included, but when she is included, the student becomesuncomfortable and wants to pull back. Interpersonal inclusion happenswhen we ask others for their opinions and are interested in who they are,but still enable them to maintain their personal space as individuals.

The individual inclusion experience is the foundation of the frameworkillustrated in Figure 9.1. Ferdman, Barrera, Allen, and Vuong (2009)describe this experience “as the degree to which individuals feel safe,trusted, accepted, respected, supported, valued, fulfilled, engaged, andauthentic in their working environment, both as individuals and asmembers of particular identity groups” (p. 6). The experience of individualinclusion is affected by the inclusion practices at other levels, andindividual inclusion can also impact these other levels (see Figure 9.1).

To understand how the different levels of inclusion in the framework caninfluence the other levels, consider, for example, in the United States,same-sex marriage has been legalized, giving same-sex couples the samelegal rights as those in heterosexual marriages. This can influence otherinclusive practices down the line. At the organizational level, this newlegal status allows same-sex couples the same benefits as heterosexualcouples, such as health insurance and family leave. If the leader of anorganization engages in inclusive practices of same-sex couples, such asencouraging same-sex couples to openly attend organizational eventstogether and inviting them to dinner with other staff members and theirspouses, that leader is modeling inclusive behavior for his followers. At

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the group level, the coworkers of same-sex spouses host a baby showerwhen the same-sex couple welcomes a child into their family. On theinterpersonal level, coworkers will talk with the same-sex spouse about herpartner, and establish bonds the same as they would with anothercoworker. Finally, you can see how this inclusion would lead to the same-sex spouse feeling that her sexual orientation and her marriage areaccepted and respected by those with whom she works every day. As aresult, she feels her opinions and input are valued because she is notregarded in a negative way or as different by others because of her sexualorientation. Inclusion comes from the top down—starting with society andcommunity and ending with the individual.

As shown in Figure 9.1, Ferdman’s framework also identifies that theinfluence of inclusion travels back up the levels from individual tosocietal. The same-sex couple example from above also works to show thisupward influence of inclusion. Because the individual described abovefeels accepted and respected, she is more likely to engage in inclusivebehaviors with others who are different from her. Through their example,same-sex couples inclusive behaviors can help foster acceptance andrespect for others among the members of groups to which the individualsbelong. If a group’s majority is engaged in inclusive behaviors, it caninfluence its leaders to adopt those same inclusive practices. To illustratethis, we will again use an example of an individual in a same-sexrelationship who wants to have the same health and leave benefits as hermarried coworkers. This coworker talks about her desires with othermembers of her department, who are accepting of her relationship. As aresult, at a department meeting, the employees approach their leader aboutchanging the company’s benefit policy to include same-sex couples. Theboss takes the matter to his superiors, and ultimately the issue is put beforethe company’s owners, who adopt the policy. As a result of the company’sacceptance of same-sex couples, the community in which the companyoperates is influenced by the company’s inclusive practices. Because ofthe company’s inclusive practices, more gay and lesbian employees maychoose to join the company, which will bring more same-sex couples intothe community. As same-sex couples become engaged in the communityas neighbors, friends, and community members, the society around themwill become more accepting and respecting of same-sex relationships.

While this example shows that inclusion can and should happen at manylevels, as a leader, the challenge is to foster that sense of inclusion among

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one’s followers as well as influence the organization’s approach todiversity and inclusion. In the next section, we discuss some practicesleaders can engage in that help to do just that.

Leader Practices That Advance Diversity andInclusionA questionnaire to measure inclusion in work groups developed byFerdman and his colleagues (Ferdman, 2014; Ferdman et al., 2009;Hirshberg & Ferdman, 2011) identified six key components of theexperience of inclusion (see Table 9.4). Components are like theingredients of inclusion. When followers experience these components,they feel included. These components provide a good blueprint for actionsand behaviors and communication that leaders should engage in to provideinclusion for others.

1. Feeling Safe

To help individuals feel safe, it is important for leaders to treat followers innonthreatening ways. In situations where one person feels different fromothers, the leader plays a fundamental role in letting that person know thathe or she will not be hurt physically or psychologically if his or her ideasdiffer from others and that he or she will not be ridiculed or criticized forexpressing these ideas. Even if a person’s opinions go directly against themajority opinion, that individual can feel safe that he or she will notexperience negative repercussions. Leaders need to communicate witheach of their followers in such a way that all of them feel they are a part ofthe whole. It is a safe feeling for individuals to know they will not berejected by the group for their uniqueness.

Feeling Safe

Table 9.4 Components of the Inclusion ExperienceTable 9.4 Components of the Inclusion Experience

Components Examples

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1

Feeling Safe

• Do I help others feel physically andpsychologically safe?

• Do I help others feel like they are afull member of the group?

• Do I help others express opposingopinions without fear of negativerepercussion?

2

Feeling Involved andEngaged

• Do I treat others as full participants—as insiders?

• Do I give others access to informationand resources to do their work?

• Do I help others feel like they are partof our team?

3

Feeling Respected andValued

• Do I treat others as I would like to betreated myself?

• Do I let others know I trust and careabout them?

• Do I treat others like they are a valuedgroup member?

4

Feeling Influential

• Do I let others’ ideas and perspectivesinfluence the group?

• Do I let others participate in decisionmaking?

• Do I listen to others’ perspectives onsubstantive issues?

• Do I allow others to be trulythemselves in the group?

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Feeling Authentic andWhole

• Do I let others know they can becompletely open with the group?

• Do I encourage others to be honestand transparent?

6

Recognizing, Attendingto, and HonoringDiversity

• Do I treat everyone fairly withoutdiscrimination?

• Do I let others know I trust and careabout them?

• Do I encourage others to be honestand transparent?

Source: Adapted from Ferdman, B. M. (2014). The practice of inclusion in diverseorganizations. In B. M. Ferdman & B. R. Deane (Eds.), Diversity at work: The practiceof inclusion (pp. 3–54). San Francisco, CA: Wiley.

2. Feeling Involved and Engaged

In addition to a feeling of safety, inclusion comes from feeling involvedand engaged. Helping followers find this feeling is a challenge for leaders,but worthwhile because engaged and involved followers are moreproductive and satisfied. It is inspiriting to be around them. Leaders mustfind ways to help individuals become involved and immersed in the largergroup’s efforts. When an individual likes her work, participates freely in it,and enjoys being a part of the team, she is more likely to feel involved andengaged. As discussed in Chapter 3, “Engaging Strengths,” recognizingpeople’s strengths is a wonderful way for leaders to help followers feelengaged. In addition, leaders should treat followers as if they are insiders,as people who are important and deserve to know what is going on withinthe organization. Leaders need to share information freely so thatfollowers feel like full participants in the workings of the group ororganization. People feel involved and engaged when they know they arefull-fledged group members and that their participation matters.

3. Feeling Respected and Valued

Practicing the Golden Rule—“Treat others as you would like to betreated”—is at the core of how leaders can help followers feel respected

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treated”—is at the core of how leaders can help followers feel respectedand valued. When leaders put themselves in the shoes of their followers,they can get in touch with what it means to be well thought of, worthy, andwanted. None of us like to be judged, stereotyped, ridiculed, singled out,disconfirmed, ignored, or belittled. Followers want to feel that they belongand are connected to the group, that the leader trusts and cares about them,and that they are intrinsic to the group.

Women in Leadership

4. Feeling Influential

Another component contributing to the inclusion experience is a feeling ofhaving influence. All of us have unique ideas and positions on issues.When people express their ideas and are heard, they feel like they exist andthat they are meaningful. When an individual is in a staff meeting andothers listen to his or her ideas, it makes that individual feel significant. Ifthat person’s comments influence the direction of the group, it reallymakes the person feel significant. We all want to be influential, to put ourstamp on things, to touch the world and have our efforts mean something.

It is critically important for leaders to recognize that followers have a needto have an impact—to express themselves in a way that affects others.Effective leaders help followers feel influential when they recognize thatfollowers want to be heard and have an impact. Letting followersparticipate in important organizational discussions and acknowledgingtheir comments and suggestions as substantive and valuable makes thosefollowers feel influential. Another way of allowing followers to feelinfluential is by including them in the decision making of a group. Whenfollowers are able to participate in decisions, they feel a sense ofsignificance; they feel agency. To have agency is to affect the process, tofeel alive, to feel influential. It is having agency that helps followers to feelincluded.

5. Feeling Authentic and Whole

In any group or organization, there is always a certain amount of pressure

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This pressure creates tension within individuals because in order to beaccepted with the larger group, they often find it necessary to hide ordownplay unique characteristics of themselves or the group with whomthey identify. For example, to be accepted as an autoworker at a Ford plantin Detroit, an individual might try to hide the fact that he or she drives aforeign-made car. Or, if your partner’s parents are quite liberal and againstthe National Rifle Association’s stance on gun rights, you might not wantto disclose to them that you are an avid hunter and longtime NRA member.

This tension between wanting to be yourself while also wanting to be apart of the group can be counterproductive to one’s feeling authentic andwhole. Leaders can address this tension for followers by creating anatmosphere where individuals feel free to be as honest and transparent asthey are comfortable being. To be transparent and authentic, followersneed to feel trust from the leader. Leaders need to establish environmentswhere being fully transparent with one another is rewarded and notpunished. When you are in this kind of group or organization, you feelunique and connected at the same time. It is a situation where assimilatingto the larger entity does not require losing one’s own sense of self.

For example, Angie is a multiracial college student at a small privateuniversity who, because of her very light skin color, knows that most ofher fellow students assume she is White. Even though she is very involvedin campus activities, the topic of her race rarely comes up, and Angiedoesn’t feel a need to discuss it with other students. However, she oftenwants to speak up when she hears students making biased or stereotypicalcomments based on ethnicity, but doesn’t do so. The college’s presidentrecently asked Angie to join the school’s antiracism committeerepresenting students of color on the campus. Angie is hesitant to do sobecause it would mean being open about her race, which could changehow some of the other students treat her. However, she also knows that shewould be more true to herself if she did participate on the committee,because she could effect change in some of the racist attitudes on campus.The president has talked with her at length about the importance of beingacknowledged by others for her unique multiracial perspective,encouraging her to be authentic and transparent with others. He hasexpressed that he believes because she is already a very respected andactive member of the campus community, she would be influential inhelping the other students to embrace change regarding racism.

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6. Recognizing, Attending to, and Honoring Diversity

The last component of the inclusion experience is directly related toleaders and diversity. In any group or organization, people want to betreated fairly; they do not want to be discriminated against because of theirsocial identity or the identity of their social groups. As a leader, each of ushas the responsibility to be fair-minded and open-minded toward all of ourfollowers. But dealing with diversity is not just about fairness. It is alsoabout acknowledging differences and fully embracing them even if itproduces conflict. Leaders need to work through conflicts related todifferences in mutually beneficial ways. Last, leaders need to be attentiveto recognizing the ways people differ and honoring the individuality ofeach of them.

Barriers to Embracing Diversity and InclusionUnfortunately, in the effort to successfully embrace diversity andinclusion, a leader can run into four common barriers—both on anindividual level and on an organizational level—that can hinder this:ethnocentrism, prejudice, stereotypes, and privilege. Leaders mustconfront these barriers head-on in order to effectively address diversity anddevelop inclusion in their organization.

Ethnocentrism

As the word suggests, ethnocentrism is the tendency for individuals toplace their own group (ethnic, racial, or cultural) at the center of theirobservations of others and the world. Ethnocentrism is the perception thatone’s own culture is better or more natural than the culture of others.Because people tend to give priority and value to their own beliefs,attitudes, and values over and above those of other groups, they often failto recognize the unique perspectives of others. Ethnocentrism is auniversal tendency, and each of us is ethnocentric to some degree.

Ethnocentrism is a perceptual window through which people makesubjective or critical evaluations of people from cultures other than theirown (Porter & Samovar, 1997). For example, some Americans think thatthe democratic principles of the United States are superior to the politicalbeliefs of other countries; they often fail to understand the complexities of

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other cultures. Ethnocentrism accounts for our tendency to think our owncultural values and ways of doing things are right and natural (Gudykunst& Kim, 1997).

Ethnocentrism can be a major obstacle to effective leadership because itprevents people from fully understanding or respecting the viewpoints ofothers. For example, if a person’s culture values individual achievement, itmay be difficult for that person to understand someone from a culture thatemphasizes collectivity (i.e., people working together as a whole).Similarly, if a person believes strongly in respecting authority, that personmay find it difficult to understand someone who challenges authority ordoes not easily defer to authority figures. The more ethnocentric we are,the less open or tolerant we are of other people’s cultural traditions orpractices.

A skilled leader cannot avoid issues related to ethnocentrism. A leadermust recognize his or her own ethnocentrism, as well as understand—andto a degree tolerate—the ethnocentrism of others. In reality, it is abalancing act for leaders. On the one hand, leaders need to promote and beconfident in their own ways of doing things; on the other, they need to besensitive to the legitimacy of the ways of other cultures. Skilled leaders areable to negotiate the fine line between trying to overcome ethnocentrismand knowing when to remain grounded in their own cultural values.

Prejudice

Closely related to ethnocentrism is prejudice. Prejudice is a largely fixedattitude, belief, or emotion held by an individual about another individualor group that is based on faulty or unsubstantiated data. Prejudice refers tojudgments we make about others based on previous decisions orexperiences and involves inflexible generalizations that are resistant tochange or evidence to the contrary (Ponterotto & Pedersen, 1993).

Prejudice

Prejudice often is thought of in the context of race or ethnicity (e.g.,European American vs. African American), but it also applies in areas

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such as gender, age, sexual orientation, and other independent contexts.Although prejudice can be positive (e.g., thinking highly of another culturewithout sufficient evidence such as “the Swiss are the best skiers”), it isusually negative (e.g., “women are too emotional”).

As with ethnocentrism, we all hold prejudices to some degree. Sometimesour prejudices allow us to keep our partially fixed attitudes undisturbedand constant. Sometimes prejudice can reduce people’s anxiety because itgives them a familiar way to structure their observations of others. One ofthe main problems with prejudice is that it is self-oriented rather thanother-oriented. It helps us to achieve balance for ourselves at the expenseof others. Moreover, attitudes of prejudice inhibit understanding bycreating a screen that limits one’s ability to see multiple aspects andqualities of other people. Prejudice is often expressed in crude ordemeaning comments that people make about others. Both ethnocentrismand prejudice interfere with our ability to understand and appreciate thehuman experience of others.

In addition to fighting their own prejudices, leaders face the challenge ofdealing with the prejudice of their followers. These prejudices can betoward the leader or the leader’s culture. Furthermore, it is not uncommonfor a leader to have followers who represent several culturally differentgroups that have their own prejudices toward each other. Prejudice canresult in advantages for some groups over others and in systemicdiscrimination, which occurs when patterns of discriminatory behavior,policies, or practices become a part of an organization and continue toperpetuate disadvantage to those being discriminated against. Systemicdiscrimination can have a broad impact on an industry, profession, orgeographic area.

A skilled leader needs to think about, recognize, and address whensystemic discrimination exists within his or her organization and find waysto create inclusion with followers and groups who exhibit a multitude ofdifferences.

Stereotypes

A stereotype is a fixed belief held by an individual that classifies a groupof people with a similar characteristic as alike. Stereotypes allow people torespond to complex information and make meaning from it by either

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generalizing it or putting a blanket category around it. It is a way ofprocessing information quickly.

Stereotypes label a group of individuals as the same at the expense ofrecognizing the uniqueness of each individual. Labeling everyone the sameresults in assuming things about some individuals that are not true.Stereotypes provide a way to generalize information, but during theprocess, “overgeneralizing” can occur, and individuals may get labeledwith characteristics or qualities that do not apply to them. For example, ifyou say, “Nightshift workers are lazy,” you are characterizing everyworker who works that shift as lazy, when in fact it may be only one ortwo workers. If you stereotype the members of a certain ethnic or culturalgroup as terrorists, you may be correct for some individuals in that group,but not all of them.

In a small way, stereotypes can be useful. Stereotypes can reduceuncertainty in some situations because they provide partial information tous about others. For example, if you see some people wearing jerseys forthe New England Patriots and you are also a Patriots fan, you will feelcomfortable sitting next to them at a Patriots football game. You alreadyassume, based on their clothing, that they have beliefs similar to yours.Similarly, if you tell your parents, who are of Dutch heritage, that they’lllike your new partner because she is a “good Dutch woman,” you are usinga positive stereotype that will give your parents some information aboutyour partner. This kind of stereotype provides limited information andbegs to be challenged with phrases such as “What else can you tell meabout this person?” Each individual is much more than a stereotype, so wemust constantly challenge our mental assessments to look for the uniquequalities of every person.

For leaders, stereotypes are a barrier to diversity and inclusion becausestereotypes categorize individual followers into a single classification,which prevents the leader from seeing each individual’s unique merits andqualifications. Because stereotypes are a mental shortcut, leaders can avoidthinking more deeply about individual followers. For example, if a collegeprofessor who teaches three classes labels one class as “a good class” andthe other two as “bad classes” based on experiences he has had with somestudents in those classes, the stereotype will prevent him from seeing themany good qualities of individuals in the “bad” classes and also thenegative qualities of the students in the “good” class.

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Stereotypes have a significant impact on how leaders treat followers. Toinclude followers and embrace them fully, leaders need to be attentive andopen to the individual nuances of each of their followers. For Jane Doe tobe included requires more than recognition of her gender. It requiresunderstanding that she is a single mom with four kids, a part-time collegestudent, a wife who lost her husband in the Iraq War, and a woman who isstruggling with breast cancer. Calling Jane Doe a woman classifies her, butfails completely in accurately describing the uniqueness of her situation.When leaders stereotype followers, they box them in and trap them undersimplistic and empty labels.

Privilege

A final barrier to inclusion is privilege. Privilege is an advantage held by aperson or group that is based on age, race, ethnicity, gender, class, or someother cultural dimension, which gives those who have it power over thosewho don’t. Privilege has been described as an unfair advantage that somepeople have in comparison to others. In situations where it exists, privilegeexcludes others and puts them at a disadvantage. For example, in manycountries around the world, privileged people in the ruling class havepolitical, economic, and social power over the poor, who are exploited andlack opportunities to transcend their circumstances. Or, to consider anotherexample, during the Jim Crow period in the United States, privilegedWhite citizens had power over Black citizens, and as a result, Blackcitizens suffered tremendously on all levels from employment andeconomics to education. Privilege is something that often goesunrecognized by those who have it, but usually is very apparent to thosewho do not have it.

Because privilege is a barrier to inclusion, leaders need to be introspectiveand determine if they are privileged in some way in comparison to others,including their followers. Because leadership involves a power differentialbetween the leader and followers, leaders can often be blinded to theprivilege they have. In addition, privilege can be very difficult for thosewithout it to address because leaders may deny they have privilege or notacknowledge it because they do not want to weaken their power.

Those with privilege sometimes argue that the status and power they haveis not privilege. Rather, they believe it is the result of their hard work,competence, and experience. For example, individuals who are born to

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affluent parents and go to good schools are likely to land good jobs whenthey graduate from college (Rivera, 2015). If one were to challengeprivileged individuals about their privilege, they might say they obtained agood job because they worked hard and put in long hours. Rivera (2015)points out that it is often the connections that privileged individuals havewith others of influence that lead them to find better jobs.

Unfortunately, those with privilege are many times unaware of how thatprivilege makes their lives different from the lives of those withoutprivilege. Some people may believe that those in poverty are lazy andundeserving because they have not worked hard enough to pull themselvesout of their circumstances. They may not be aware that poverty is adifficult condition to transcend. For example, imagine being the mother oftwo children, and as the result of a car accident, your spouse has developeda chronic health condition that keeps him from working and requires hehave constant care. His medical bills wipe out any extra money you have.Even with welfare and disability income, it’s a struggle to make rent andutility payments and buy enough food to feed your family. You want towork, but you can only work during school hours on weekdays when yourchildren are in school. You do not have a car, so you must walk or takepublic transportation, which limits how far away your job can be fromyour home. Any small thing can upset the fragile balance you haveestablished: a trip to the doctor, an unexpected bill, an increase inexpenses. The road out of poverty for this mother and her family seemsnearly impossible. Her situation seems so intractable that no amount ofmotivation or hard work could resolve it.

Privilege

Having privilege blinds individuals to the experience of theunderprivileged. Without the ability to understand, without judgment,individuals and their unique situations, leaders end up excluding ratherthan including them.

Collectively, the barriers to embracing diversity and inclusion (i.e.,ethnocentrism, prejudice, stereotypes, and privilege) underscore thedifficulty in accepting and confirming those who are different from

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ourselves. Leaders must not only address these barriers as they occur withtheir followers, but must also take a critical look at their own biasesregarding diversity and work to eliminate these barriers in their own lives.As we have learned from Ferdman’s framework, inclusion is a fluidprocess and must occur at the individual as well as societal level.

SummaryThis chapter discusses how leaders can embrace diversity and inclusion intheir organizations. Diversity plays a seminal role in effective leadership; itis defined as the differing individuals in a group or organization. Inclusionis defined as the process of incorporating others who are different into agroup or organization in a way that allows them to feel they are part of thewhole. Diversity focuses on recognizing differences, and inclusion isconcerned with embracing those differences.

The historical development of workplace diversity in the United States hasemerged over three periods. The early years (1960s and 1970s), whichincluded the creation of landmark equal employment laws, focused ondiscrimination and fairness. Second, the era of valuing diversity (1980sand 1990s) emphasized pluralism and the competitive advantages ofdiversity in the workplace. Third, the era of diversity management andinclusion in the 21st century (2000 to present) emphasizes acknowledging,valuing, and integrating people’s differences into the organization andplaces inclusion at center stage in addressing concerns about diversity.

An inclusion framework was developed by researchers to describe how theprocess of inclusion works. This framework illustrates inclusion as aninteraction of an individual’s levels of belongingness (i.e., the desire to beconnected) and uniqueness (i.e., the desire to maintain one’s own identity).For leaders, managing diversity is about managing the tension followersexperience between connectedness and individuality. The individualexperience of inclusion occurs as a result of inclusion practices on manylevels, including interpersonal, group, leader, organizational, and societal.Inclusion travels from the societal level down to the individual and backup the levels from the individual to societal.

Researchers have identified six components of the inclusion experiencethat provide a blueprint of how leaders should behave and communicate toprovide inclusion for followers. To help followers feel safe, leaders need to

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treat them in nonthreatening ways. To help followers feel involved andengaged, leaders should recognize followers’ strengths and let them knowthey are full-fledged members of the organization. To help followers feelrespected and valued, leaders should practice the Golden Rule and showtrust and care for followers. To help followers feel influential, leadersshould recognize followers’ need to have an impact on others and enablethem to participate in decision making. To help followers feel authenticand whole, leaders should create an atmosphere where followers can feelfree to be as honest and transparent as they are comfortable being. Finally,to help followers feel recognized, attended to, and honored, leaders shouldexhibit open-mindedness toward all followers, honoring the individualityof each of them.

Barriers that can inhibit leaders and followers from embracing diversityare ethnocentrism, prejudice, stereotypes, and privilege. The challenge forleaders is to remove or mitigate these barriers. Although addressingdiversity is an interactive process between leaders and followers, theburden of effectively addressing diversity and building inclusion restssquarely on the shoulders of the leader. Effective leaders recognize theimportance of diversity and make it a focal point of their leadership.

Glossary Termsassimilation 188differentiation 190diversity 184ethnocentrism 201inclusion 185melting pot 188multiculturalism 187pluralism 189prejudice 202privilege 204stereotypes 203systemic discrimination 202

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Application

9.1 Case Study: What’s in a Name?Springfield High School’s athletic teams have been called the Redskinssince the school opened in 1944. The small town of 7,000, which isroughly 95% White, is located in an area of the Midwest that once hadthriving Native American tribes, a fact the community is proud topromote in its tourism brochures. So when the members of a localfamily with Native American ancestry came before the school board toask that the name of Springfield High School’s athletic teams bechanged because they found the use of the word Redskins to beoffensive, it created a firestorm in the town.

The school’s athletic teams had competed as Redskins for 70 years, andmany felt the name was an integral part of the community. Peoplepersonally identified with the Redskins, and the team and the team’sname were ingrained in the small town’s culture. Flags with theRedskins logo flew outside homes and businesses, and decals with theimage of the smiling Redskins mascot adorned many car windows.

“Locals would come before the board and say, ‘I was born a Redskinand I’ll die a Redskin,’” recalls one board member. “They argued thatthe name was never intended to be offensive, that it was chosen for theteams before ‘political correctness’ was a thing, and that it honored thearea’s relatively strong Native American presence.”

But several other local Native American families and individuals alsocame forward in support of changing the name. One pointed out that“the use of the word Redskin is essentially a racial slur, and as a racialslur, it needs to be changed.” The issue drew national attention, andspeakers came in from outside the state to discuss the negativeramifications of Native American mascots.

However, the opposition to change was fierce. T-shirts and bumperstickers started appearing around town sporting the slogans “I’m aRedskin and Proud” and “Don’t tell me I’m not a Redskin.” At board

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meetings, those in favor of keeping the name would boo and talk overthose speaking in favor of changing it, and argue that speakers whoweren’t from Springfield shouldn’t even be allowed to be at the boardmeetings.

The board ultimately approved a motion, 5-2, to have the students atSpringfield High School choose a new name for their athletic teams.The students immediately embraced the opportunity to choose a newname, developing designs and logos for their proposed choices. In theend, the student body voted to become the Redhawks.

There was still an angry community contingent, however, that wasfestering over the change. They began a petition to recall the schoolboard members and received enough signatures for the recall to be putup for an election.

“While the kids are going about the business of changing the name andthe emblem, the community holds an election and proceeds to recall thefive members of the board who voted in favor of it,” one of the recalledboard members said.

The remaining two board members, both of whom were ardentmembers of the athletic booster organization, held a special meeting ofthe board (all two of them) and voted to change the name back to theRedskins.

That’s when the state Department of Civil Rights and the state’sCommission for High School Athletics stepped in. They told theSpringfield School Board there could not be a reversal of the namechange and that the high school’s teams would have to go for four yearswithout one, competing only as Springfield.

Over the course of those four years, new school board members wereelected, and the issue quieted down. At the end of that period, thestudents again voted to become the Springfield Redhawks. “You know,the kids were fine with it,” says one community member. “It’s been tenyears, and there’s an entire generation of kids who don’t have a cluethat it was ever different. They are Redhawks and have always beenRedhawks.

“It was the adults who had the problem. There’s still a small contingenttoday that can’t get over it. A local hardware store still sells SpringfieldRedskins T-shirts and other gear. There is just this group of folks whobelieve there was nothing disrespectful in the Redskins name.”

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Questions

1. Do you agree with the assertion the athletic team name should bechanged?

2. Describe how Ferdman’s model of inclusion practices (Table 9.4)worked in this case. Did the influence for inclusive practicestravel both up and down the model?

3. What barriers to embracing diversity and inclusion did the schoolboard and community experience in this case?

4. Using the inclusion framework in Table 9.3, where would youplace the Native American residents in the town of Springfield?What about Native American students at Springfield High School?

5. By changing the name of the athletic teams, do you believe theschool board was showing inclusive practices? If so, which ones?

6. What role does privilege play in the resistance of communitymembers to change the athletic teams’ name?

9.2 Cultural Diversity AwarenessQuestionnaire

Purpose

1. To identify your attitudes and perspectives regarding culturaldiversity

2. To help you become aware of and understand your prejudices andbiases

3. To help you understand the potential consequences of yourapproach to diversity in the workplace

Directions

1. Read each statement and circle the number that best describesyour belief or behavior.

2. Be as candid as possible with your responses; there are no right orwrong answers.

AlmostNever

Never Sometimes AlmostAlways

Always

1. I am aware of myown biases and how

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they affect mythinking.

1 2 3 4 5

2. I can honestlyassess my strengthsand weaknesses inthe area of diversityand try to improvemyself.

1 2 3 4 5

3. I assume goodintent and ask forclarification when Idon’t understandwhat was said orimplied.

1 2 3 4 5

4. I challenge otherswhen they makeracial/ethnic/sexuallyoffensive commentsor jokes.

1 2 3 4 5

5. I speak up if Iwitness anotherperson beinghumiliated ordiscriminatedagainst.

1 2 3 4 5

6. I do notparticipate in jokesthat are derogatoryto any individualgroup.

1 2 3 4 5

7. I don’t believethat my having afriend of colormeans that I’mculturally competent.

1 2 3 4 5

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8. I understand whya lack of diversity inmy social circle maybe perceived asexcluding others.

1 2 3 4 5

9. I realize thatpeople of othercultures have a needto support oneanother and connectas a group.

1 2 3 4 5

10. I do not makeassumptions about aperson or individualgroup until I haveverified the facts onmy own.

1 2 3 4 5

11. I have multiplefriends from avariety of ethnicitiesand abilities.

1 2 3 4 5

12. I connect easilywith people wholook different thanme and am able tocommunicate easilywith them.

1 2 3 4 5

13. I’m interested inthe ideas and beliefsof people who don’tthink and believe as Ido, and I respecttheir opinions evenwhen I disagree.

1 2 3 4 5

14. I work to makesure people who aredifferent from me

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are heard andaccepted.

15. I recognize andavoid language thatreinforcesstereotypes.

1 2 3 4 5

16. I know others’stereotypesassociated with myethnicity.

1 2 3 4 5

17. I encouragePeople culturallydifferent frommyself to speak outon their issues andconcerns and Ivalidate their issuesand concerns.

1 2 3 4 5

18. I avoid assumingthat others will havethe same reaction asme when discussingor viewing an issue.

1 2 3 4 5

19. I understand thatI’m a product of myupbringing andbelieve there arevalid beliefs otherthan my own.

1 2 3 4 5

20. I do not takephysicalcharacteristics intoaccount wheninteracting withothers or whenmaking decisionsabout others’

1 2 3 4 5

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about others’competence orability.

21. I recognize thatothers stereotype meand I try toovercome theirperceptions.

1 2 3 4 5

22. I include peopleculturally differentfrom myself in teamdecision-makingprocesses that impactthem.

1 2 3 4 5

23. I actively seekopportunities toconnect with peopledifferent than meand seek to buildrapport with them.

1 2 3 4 5

24. I believe “colorblindness” iscounterproductiveand devalues aperson’s culture orhistory.

1 2 3 4 5

25. I avoidgeneralizingbehaviors orattitudes of oneindividual in a groupto others.

1 2 3 4 5

26. I actively conveythat employees orstudents of varyingbackgrounds are as

1 2 3 4 5

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27. I do not try tojustify acts ofdiscrimination tomake the victim feelbetter. I validatehis/her assessment ofwhat occurred.

1 2 3 4 5

28. I try to learnabout and appreciatethe richness of othercultures and honortheir holidays andevents.

1 2 3 4 5

29. I believe thereare policies andpractices in placethat negativelyimpact peopleoutside the majorityculture.

1 2 3 4 5

30. I understand thedefinition ofinternalized racismand how it impactspeople of color.

1 2 3 4 5

31. I believe thatrace is a socialconstruct, not ascientific fact.

1 2 3 4 5

32. I know andaccept that[people’s]experiences andbackground impacthow they interactand trust me.

1 2 3 4 5

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and trust me.Source: Adapted from Special Populations and CTE Illinois Leadership Project.(2016). Cultural Diversity Self-Assessment. Retrieved fromhttp://illinoiscte.org/index.php/resources/cultural-competency-module

Scoring

Sum the numbers you circled on the questionnaire. This number is yourcultural diversity awareness score.

Total Score

Cultural diversity awareness score: ________

Scoring Interpretation

This self-assessment is designed to measure your beliefs and behaviorregarding cultural diversity and inclusion. A higher score on theassessment indicates that you are acutely aware of prejudice and bias,and that you are very aware of the impact of your behavior on others.Individuals who score high relate to others in ways that value diversity.A lower score on the assessment suggests that you are unaware ofprejudice and bias, and that you are not fully aware of the impact ofyour biased behavior on others. Individuals who score lowcommunicate with others in ways that do not value diversity.

If your score is 130–160, you are in the very high range.If your score is 100–129, you are in the high range.If your score is 70–99, you are in the moderate range.If your score is 40–69, you are in the low range.If your score is 0–39, you are in the very low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

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9.3 Observational Exercise

Diversity and Inclusion

Purpose

1. To become aware of the dimensions of diversity and inclusion2. To develop an understanding of how leaders address diversity and

inclusion in the workplace

Directions

1. Your task in this exercise is to interview a leader about her or hisviews on diversity and inclusion. The individual you interviewshould have a formal position of authority in a company (e.g.,supervisor, manager), a school (e.g., teacher, principal), or thecommunity (e.g., director of social work, bank vice president,small business owner).

2. Conduct a 30-minute semistructured interview with this individualby phone or in person.

3. Develop your own interview questions. If necessary, you mayincorporate ideas from the following questions:

Tell me about your job. How long have you held this position, andhow did you get it?What comes to your mind when you hear the word diversity? Howis diversity addressed within your organization? How importantdo you think diversity is in your place of work? Why?Are there areas within your organization that have less diversitythan other areas? Do you think the organization should addressthis?What challenges do you face regarding diversity among thosewhom you supervise?How do you treat employees/followers who are different fromothers? Do you allow everyone to participate in decision making?What is the best way to make an employee/follower who is aminority feel genuinely included with others?

Questions

1. Based on your observations, how important is diversity andinclusion to the leader you interviewed?

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inclusion to the leader you interviewed?2. Which metaphor in Table 9.2 (i.e., melting pot, salad, or

smorgasbord) would you use to describe the way the leaderapproaches his or her followers? Give examples to illustrate thismetaphor.

3. Do you think the leader holds any stereotypes about others? Inwhat way do these affect his or her leadership?

4. In what way does the leader try to make individuals who aredifferent feel a part of the organization? Give specific exampleswhere relevant.

5. Do you think privilege is in any way related to how this personleads? Defend your answer.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

9.4 Reflection and Action Worksheet

Diversity and Inclusion

Reflection

1. What is your response to the word diversity? Do you think it is asignificant problem in our society, or do you think it isoveremphasized? Explain your thoughts on diversity.

2. Reflect on the six primary dimensions of cultural diversity shownin Table 9.1 (i.e., age, gender, race, mental and physical abilities,ethnicity, and sexual orientation). Which type of diversity iseasiest for you to embrace, and which is hardest for you toembrace? Why? Explain your answers.

3. One way to explore the concept of inclusion is to reflect on yourown personal feelings about inclusion. In a group situation, howmuch do you want to be included by others? Using a personalexample, discuss a time when you were in a group or on a teamwhen you felt included by others and a time when you feltexcluded. Why did you feel included in one situation and not theother? Elaborate and discuss.

4. Think about what circumstances got you to where you are today.Do you have a past that some would describe as privileged? Or,

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or coworkers as having privilege? Discuss your thoughts onprivilege.

Action

1. Explore your answers on the Cultural Diversity AwarenessQuestionnaire. Select three items on which you chose almostnever or never. Based on your responses to these items, discusswhat you could do in your own leadership to be more inclusivetoward others.

2. Imagine for a moment that you have been selected to lead a groupservice-learning project. What will you say to make others in yourgroup feel psychologically safe? In what way will you let themparticipate in decision making? How will you encourage thoseindividuals who are most different from the group to feel likeinsiders yet still unique? Discuss.

3. As discussed in the chapter, stereotypes often get in the way ofincluding others who differ from us. What common stereotypes doyou sometimes attribute to others (e.g., a White male policeofficer, a Muslim woman wearing a hijab, or a transgender man)?How can you change these stereotypes? What messages will yougive yourself to eliminate these stereotypes? Discuss.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesBlaine, B. E. (2013). Understanding the psychology of diversity (2nd ed.).

Thousand Oaks, CA: Sage.

Booysen, L. (2014). The development of inclusive leadership practice andprocesses. In B. M. Ferdman & B. R. Deane (Eds.), Diversity at work:The practice of inclusion (pp. 296–329). San Francisco, CA: Wiley.

Brewer, M. B. (1991). The social self: On being the same and different atthe same time. Personality and Social Psychology Bulletin, 17(5),

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the same time. Personality and Social Psychology Bulletin, 17(5),475–482.

Dishman, L. (2015, May 18). Millennials have a different definition ofdiversity and inclusion. Fast Company. Retrieved fromhttp://www.fastcompany.com/3046358/the-new-rules-of-work/millennials-have-a-different-definition-of-diversity-and-inclusion

Ferdman, B. M. (1992). The dynamics of ethnic diversity in organizations:Toward integrative models. In K. Kelly (Ed.), Issues, Theory, andResearch in Industrial/Organizational Psychology (pp. 339-384).Amsterdam, The Netherlands: Elsevier Science Publishers.

Ferdman, B. M. (2014). The practice of inclusion in diverse organizations.In B. M. Ferdman & B. R. Deane (Eds.), Diversity at work: The practiceof inclusion (pp. 3–54). San Francisco, CA: Wiley.

Ferdman, B. M., Barrera, V., Allen, A., & Vuong, V. (2009, August).Inclusive behaviors and the experience of inclusion. In B. G. Chung(Chair), Inclusion in organizations: Measures, HR practices, andclimate. Symposium presented at the 69th Annual Meeting of theAcademy of Management, Chicago.

Ferdman, B. M., & Deane, B. R. (Eds.). (2014). Diversity at work: Thepractice of inclusion. San Francisco, CA: Wiley.

Friedman, R. A. & Deinard, C. (1990). Black Caucus Groups at XeroxCorporation (A). HBS No. 9-491-047. Boston, MA: Harvard BusinessSchool Publishing.

Gudykunst, W. B., & Kim, Y. Y. (1997). Communicating with strangers:An approach to intercultural communication (3rd ed.). New York, NY:McGraw-Hill.

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measured? In A. M. Konrad, P. Prasad, & J. K. Pringle (Eds.),Handbook of workplace diversity (pp. 191–216). Thousand Oaks, CA:Sage.

Harvey, C. P. (2015). Understanding workplace diversity: Where have webeen and where are we going? In C. P. Harvey & M. J. Allard (Eds.),Understanding and managing diversity: Readings, cases, and exercises(pp. 1–7). Boston, MA: Pearson.

Harvey, C. P., & Allard, M. J. (2015). Understanding and managingdiversity: Readings, cases, and exercises. Boston, MA: Pearson.

Healey, J. P., & Stepnick, A. (2017). Diversity and society: Race,ethnicity, and gender (5th ed.). Thousand Oaks, CA: Sage.

Herring, C., & Henderson, L. (2015). Diversity in organizations: A criticalexamination. New York, NY: Routledge.

Hirshberg, J. J., & Ferdman, B. M. (2011, August 16). Leader-memberexchange, cooperative group norms, and workplace inclusion inworkgroups. In M. Shuffler, S. Burke, & D. Diaz-Granados (Chairs),Leading across cultures: Emerging research trends from multiple levels.Symposium presented at the 71st Annual Meeting of the Academy ofManagement, San Antonio, TX.

Loden, M. (1996). Implementing diversity. Boston, MA: McGraw-Hill.

Mor Barak, M. E. (2014). Managing diversity: Toward a globally inclusiveworkplace (3rd ed.). Thousand Oaks, CA: Sage.

Myers, V. A. (2012). Moving diversity forward: How to go from well-meaning to well-doing. Washington, DC: American Bar Association.

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Ponterotto, J. G., & Pedersen, P. B. (1993). Preventing prejudice: A guidefor counselors and educators. Newbury Park, CA: Sage.

Porter, R. E., & Samovar, L. A. (1997). An introduction to interculturalcommunication. In L. A. Samovar & R. E. Porter (Eds.), Interculturalcommunication: A reader (8th ed., pp. 5–26). Belmont, CA: Wadsworth.

Rivera, L. A. (2015) Pedigree: How elite students get elite jobs. Princeton,NJ: Princeton University Press.

Schutz, W. C. (1958). FIRO: A three dimensional theory of interpersonalbehavior. New York, NY: Holt, Rinehart & Winston.

Shore, L. M., Randel, A. E., Chung, B. G., Dean, M. A., HolcombeEhrhard, K., & Singh, G. (2011). Inclusion and diversity in workgroups: A review and model for future research. Journal ofManagement, 37(4), 1262–1289.

Solman, P. (2014, September 15). How Xerox became a leader in diversity—and why that’s good for business. PBS Newshour [Televisionbroadcast]. New York, NY: Newshour Productions.

Special Populations and CTE Illinois Leadership Project. (2016). CulturalDiversity Self-Assessment. Retrieved fromhttp://illinoiscte.org/index.php/resources/cultural-competency-module

Thomas, D. A., & Ely, R. J. (1996, September–October). Makingdifferences matter: A new paradigm for managing diversity. HarvardBusiness Review. Retrieved from https://hbr.org/1996/09/making-differences-matter-a-new-paradigm-for-managing-diversity

Xerox. (2016). Xerox diversity: Different ideas. Diverse people. Dramaticresults. Retrieved fromhttps://www.xerox.com/assets/pdf/Xerox_Diversity_Brochure.pdf

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Xerox a success in diversifying its work force. (1991, November 3).Boston Globe. Retrieved from http://articles.sun-sentinel.com/1991-11-03/business/9102140547_1_affirmative-action-xerox-minorities

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10 Listening to Out-Group Members

IntroductionIn general, humans do not like conflict. And so when there are individualsin a group or an organization who do not identify with the larger group—an out-group—we tend to look at them as “troublemakers” or“malcontents.” But in fact, all of us have been out-group members at onetime or another. The term itself is descriptive, not derogatory. Out-groupsare common and inevitable, and listening and responding to out-groupmembers is one of the most difficult challenges facing a leader. When aleader fails to meet this challenge, out-group members feel devalued, andtheir unique contributions go unexpressed for the common good. Goodleaders know the importance of listening to all members of a group,especially the out-group members.

Why is it Important for Leaders to Listen to Out-Group Members?

It is common to find out-groups in any context where a group ofindividuals is trying to reach a goal. Out-groups are a natural occurrence ineveryday life. They exist in all types of situations at the local, community,and national levels. In nearly all of these situations, when one or moreindividuals are not “on board,” the performance of the group is adverselyaffected. Since out-group members are so common, it is important foranyone who aspires to be a leader to know how to work with them.

Out-group members can be identified in many everyday encounters. Atschool, out-group members are often those kids who do not see themselvesas a part of the student body. For instance, they may want to participate inmusic, clubs, sports, and so on, but for a host of reasons do not do so. Atwork, there are out-groups comprising people who are at odds withmanagement’s vision, or who are excluded from important decision-making committees. On project teams, some out-group members are thosewho simply refuse to contribute to the activities of the larger group. On abroader scale, in the United States, the Tea Party is an out-group

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representing people who are disenchanted with taxes and big government.

Using Inclusive Language

The important thing to remember about out-group members is that, in spiteof their seeming opposition to the larger group, they often have valuablecontributions to make, and effort should be made to create an inclusiveenvironment that will facilitate their contributions. As we discussed inChapter 9, “Embracing Diversity and Inclusion,” inclusion is the processof incorporating others into a group or organization by helping people whoare different feel they are part of the whole. Rather than being viewed as“difficult,” out-group members should be seen as being “different” thanthe whole, with different values and skills that can be recognized—andembraced—by other group members. Admittedly, this can be hard, but itstarts with listening to out-group members.

This chapter will examine why it is important for a leader to listen to out-group members. The questions it will address are “Who is in the out-group?” “Why do out-groups form?” “What is the impact of out-groups?”and “How should a leader respond to out-groups?” This discussion of out-groups will emphasize specific strategies that leaders can employ to builda sense of belonging and community, and advance the goals of the largergroup. And despite the negativity that is often associated with out-groups,there is a value implied in the direction taken in this chapter that out-groups aren’t evil and that leaders have an obligation and a responsibilityto listen to out-group members and “bring them in” to the efforts of thelarger group. Some will argue with this position, and others will say it isnaïve; but the unique inherent value of every single member of a group oran organization cannot go understated. Although there will be times whenout-group members need to be abandoned because they are too extreme, itis inefficient to deal with them, or they just simply do not want to beincluded, this chapter will argue that in most situations leaders have a dutyto listen to and include out-group members.

Out-Group Members Explained

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There are many different ways to define out-group members. For ourpurposes, the term out-group members refers to those individuals in agroup or an organization who do not identify themselves as part of thelarger group. They are individuals who are disconnected and not fullyengaged in working toward the goals of the group. They may be inopposition to the will of a larger group or simply disinterested in thegroup’s goals. They may feel unaccepted, alienated, and evendiscriminated against such as the class “bully” who acts out because shefeels left out. In addition, they may think they are powerless because theirpotential resources have not been fully accepted by the larger group.

Out-groups come in many forms: They can be minorities who think theirvoice is not being heard, or people who think their ideas are unappreciated.They can be those who simply do not identify with the leader or othermembers of the primary group. Sometimes out-group members are socialloafers—group members who are inclined to goof off or work below theircapacity when they are in a group. In short, out-group members sensethemselves to be at odds with the larger group. For example, the singlefemale on an all-male board of trustees might feel that the other boardmembers do not take her ideas seriously or appreciate her perspective onissues.

How Out-Groups FormThere are many different reasons that out-groups form. First, some out-groups form because people disagree with the social, political, or ethicalposition of the majority—they sense that they are in opposition to thelarger group. When decisions need to be made in organizational settings,consensus is often difficult to achieve because of time constraints and theneed to move forward. Without consensus, individuals align themselveseither with the majority viewpoint or with the minority. This minority isoften seen as an out-group. Even when decisions are made by taking avote, the results often produce winners and losers, and the losersfrequently perceive themselves as members of the out-group. Althoughvoting on a decision is often seen as a desirable democratic approach toreaching an outcome, the downside is that it always results in individualsfeeling they are not in concert with the rest of the group.

A second reason that out-groups form is explained by social identitytheory. This theory suggests that out-groups come about because some

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individuals cannot identify with the beliefs, norms, or values of thedominant group members. Research on groups (Hogg & Abrams, 1988;Tajfel & Turner, 1979, 1986) indicates that individuals in groups oftenshare a social identity and act toward each other in terms of that identity(Abrams, Frings, & Randsley de Moura, 2005). In group settings,members embrace the social identity of other group members and makethe group’s concerns their own. For example, in a support group for peoplewith cancer, group members are likely to embrace a common identity—ascancer survivors who are coping with the disease. People find meaning inbelonging to the group and sharing their experiences with others. They seeone another as having a shared experience. However, if one of themembers is struggling with a more serious form of cancer and does notfeel like a survivor, then that person may become an out-group member.Out-groups are created when individuals in a group cannot identify withthe group and, as a result, do not embrace the dominant group’s reality.

Group Identity

Closely related to the identity issue, a third reason out-groups form isbecause people sense that they are being excluded by the larger group.They do not know where they fit in or whether they are needed by othersin the group. Group members may think they are too old, too young, tooconservative, too liberal, or just plain different from the larger group. Forexample, on a college soccer team, freshman players might wonder howthey fit in with the upperclassmen. Similarly, in a college nursing classmade up mostly of women, a male student might feel different from theother nursing students and wonder how he fits in the program. In situationssuch as these, people often sense that they are alienated from the largergroup. In addition, they may think of themselves as powerless and weak. Itis no fun to think you are not a part of the group and to feel excluded fromit. We all have a need for inclusion, and when those needs go unmet, wefeel anxiety.

Understanding Out-Group Members

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A fourth reason for out-group development is that some people lackcommunication skills or social skills that are needed to relate to a largergroup. In any group of people, there are often one or two people who setthemselves apart from the group through their actions. For example, in anundergraduate group project team, there may be a student who talksexcessively or dominates group discussions and consequently alienateshimself from the rest of the group. Or there could be a student who actsvery dogmatic, or another who consistently makes off-the-wall remarks.These types of individuals distinguish themselves as different from the restof the group by how they talk or act. It is as if they are unable to adapt tothe norms of the group. As much as they try, these people often findthemselves on the outside looking in. Even though they may want to jointhe larger group, they have difficulty doing so because they do not knowhow to fit in. In these situations, their lack of communication and socialskills often leads them to becoming out-group members. In reality, thereare many possible reasons for out-groups. Any one reason is as legitimateas another. Developing an understanding of these reasons is the first stepin trying to resolve out-group issues.

The Impact of Out-Group MembersOut-group members can have many adverse effects on others. Some of thedownsides of out-groups are relatively insignificant, such as causing minorinefficiencies in organizational productivity. Other downsides are moreimportant, such as creating conflict or causing a strike to be called.

So why should a leader be concerned about the negative impact of out-group members? First, out-group members run counter to buildingcommunity. The essence of community is encouraging everyone to be onthe same page and moving everyone in the same direction. Communitybrings people together and provides a place where they can express similarideas, values, and opinions, and where they can be heard by members oftheir team. Community allows people to accomplish great things. Itenables people to work hand in hand in pursuit of a shared vision thatsupports the common good. Through community, people can promote thegreater good of everyone in the group.

However, by their very nature, out-group members are either in conflictwith or avoiding community. Because the community may seemthreatening, unfamiliar, or uninteresting to them, some people have a need

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to pull away from community. Their action detracts from the communitybeing able to use all of its resources to reach a common goal.

The following example occurred in a college social work class; itillustrates how out-groups can have a negative impact on community.Introduction to Social Work is a popular class with a good reputation oncampus. Every semester, the major assignment in the class is a groupservice project in which everyone is required to participate.

One semester a few months after Hurricane Katrina had wreaked havoc inthe South, several members of the class proposed a service project doingrelief work in New Orleans over spring break. Clearly, there was a needfor the project, and the project would utilize everyone’s talents and skills.To pull it off, the class would need to do a lot of planning and fund-raising. Committees were to be formed and T-shirts designed. Thereseemed to be agreement that a good theme would be “Together—We CanMake Things Better.”

Problems arose for the class when some of the students did not want toparticipate. One student pointed out that he thought it was thegovernment’s job to provide relief, not the private sector’s. Anotherstudent argued that there were already many volunteers in New Orleans,and maybe the class could better serve others by doing cleanup work onthe south side of their own city. Two others in the class did not like theidea of working for the poor over spring break because they wanted to goto Cancún, Mexico.

These students could not find common ground. The trip to New Orleanswas canceled, there were no T-shirts printed, and the students ended updoing 40 hours each of tutoring at the local grade school as their serviceproject. The class could not come to an agreement with the out-groupmembers, whose wants and needs prevented the rest of the class frompursuing the project in New Orleans. The interests of the out-groupprevented the class from experiencing community and all its benefits.

A second reason that leadership should be concerned with out-groups isthat out-groups have a negative impact on group synergy. Group synergyis the positive energy created by group members who are working towarda common goal. It is an additive kind of energy that builds on itself. Groupsynergy is one of the most miraculous features of effective groups and ofhighly functioning teams. Groups with synergy accomplish far more than

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groups without it. Group synergy is not just the sum of each person’scontribution; it is the sum of each person’s contribution and then some. Itis the “plus more” that allows high-functioning groups to achieve farbeyond what would be expected.

Unfortunately, out-groups prevent groups from becoming synergistic. Out-groups take energy away from the group rather than adding energy to thegroup. If out-group members are upset and demanding, they take evenmore energy from the group. This energy is not directed toward the goalsof the group and so has a negative impact on productivity. Rather thanworking together to accomplish a common goal, out-group members standalone and seek to do their own thing. This is harmful for the group becausethe unique contributions of out-group members are not expressed,discussed, or utilized for the common good. Every person in a groupbrings singular talents and abilities that can benefit the group. When out-groups form, the individual contributions of some group members are notutilized, and group synergy is compromised.

This example about a team of marketing executives at a publishingcompany may help to illustrate this issue. The team was charged withdeveloping concepts for a new publication on food and dining in their city.Two of the team members had worked on magazines before and had somestrong ideas about the content for the new publication. Another teammember worked in the restaurant industry for a number of years and had adifferent idea for the magazine’s content based on his experience. Amarketing executive who had neither magazine nor food industryexperience had been put in charge of the team based on her seniority withthe company. The fifth team member was a new hire who had just startedat the agency.

Relationships Among Group Members

Unfortunately, there were strained relationships between different groupson the committee from the outset. The two former magazine executiveswanted the publication to be a dining guide with reviews of local arearestaurants and a detailed listing of every eatery in town. The writer fromthe food industry felt it should be more upscale, a glossy publication with

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feature stories on food trends and local chefs and beautiful, mouth-watering photographs created by a food stylist. The new hire, still learningthe company’s culture, was hesitant to offer an opinion, instead saying hewould support what the team leader thought best. The team leader, whowas four months from retirement, believed that the group members shouldwork things out among themselves and come to a consensus on the bestconcept with which to move forward. The two magazine executives tookthe new hire to lunch several times, trying to convince him to come to theirside. After several weeks of meetings, the team had to present a concept tothe publishing company’s board of directors. Because the team could notagree on a direction for the new publication, each side presented itsconcept to the board. The company president became incensed that theteam was unable to put together a solid plan for a magazine and releasedall members from the project.

In the above example, the team leader failed to pull the divergent out-group members together into a single group. She needed to recognize theunique contributions of each of the out-group members (e.g., previousmagazine experience, food industry knowledge, marketing expertise) anduse those contributions for the benefit of the entire group. Because theleader was not successful in responding to the out-group members, groupsynergy was diminished, and the project was placed on hold.

A third reason out-groups are of concern to a leader is that out-groupmembers do not receive the respect they deserve from others. A centraltenet of ethical leadership is the duty to treat each member with respect. AsBeauchamp and Bowie (1988) pointed out, people need to be treated asautonomous individuals with their own goals, and not as the means toanother person’s goals. Being ethical means treating other people’sdecisions and values with respect: Failing to do so would signify that theyare being treated as means to another’s ends.

Respecting Out-Group Members

A leader has an ethical responsibility to respond to out-group members.These individuals are not in the out-group without reason. They may havevalid grounds for feeling alienated, unaccepted, or discriminated against,

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or for choosing simply to be uninvolved. No matter what the reasons are,out-group members are people who deserve to be heard by the leader andthe other group members.

In summary, the impact of out-groups is substantial. When out-groupsexist, they have a negative impact on community, group synergy, and theout-group members themselves. The challenge for every leader is torespond to out-group members in a way that enhances the group and itsgoals.

Out-Group Members in PracticeWhile many ideas about effective leadership are abstract, these strategiesfor how a leader should respond to out-group members are tangible. Theyare concrete steps that a leader can take to handle out-group membersmore effectively. In reading these strategies, ask yourself how you couldadopt them to improve your own leadership.

Strategy 1: Listen to Out-Group MembersMore than anything else, out-group members want to be heard. Whetherthey perceive themselves to be powerless, alienated, or discriminatedagainst, out-group members have a need for others to listen to them.Clearly, the fact that some people sense that they are not being heard is atthe very center of why out-groups exist. Out-group members have ideas,attitudes, and feelings that they want to express; when they believe theyhave not been able to or will not be able to express them, they pull awayand disassociate from the group.

Listening is one of the most important ways that a leader can respond toout-group members. While it requires paying attention to what people say,it also requires being attentive to what people mean. Listening is both asimple and a complex process that demands concentration, open-mindedness, and tolerance. Listening requires that a leader set aside his orher own biases in order to allow out-group members to express theirviewpoints freely. When out-group members think that the leader hasheard them, they feel confirmed and more connected to the larger group.Clearly, listening should be a top priority of a leader.

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Strategy 2: Show Empathy to Out-GroupMembersSimilar to listening, a leader also needs to show empathy to out-groupmembers. Empathy is a special kind of listening that is more demandingthan just listening. It requires a leader to try standing in the shoes of out-group members, and to see the world as the out-group member does.Empathy is a process in which the leader suspends his or her own feelingsin an effort to understand the feelings of the out-group member.

Empathy

While showing empathy comes more naturally to some than to others, it isa skill anyone can learn to improve. Techniques for showing empathyinclude restatement, paraphrasing, reflection, and giving support (seeTable 10.1). Through the use of these techniques, a leader can assist out-group members to be understood.

Strategy 3: Recognize the Unique Contributionsof Out-Group MembersExpectancy theory (Vroom, 1964) tells us that the first step in motivatingothers is to let workers know they are competent to do their jobs.Motivation builds when people know they are able to do the work. This isparticularly true for out-group members. Out-group members becomemore motivated when a leader acknowledges their contributions to thelarger group. All of us want to know that our contributions are legitimateand that others take us seriously. Out-group members want to believe thattheir ideas matter and that they are important to the group.

Recognizing Contributions

Table 10.1 How to Demonstrate Empathy

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Table 10.1 How to Demonstrate Empathy

A leader can demonstrate empathy through four communicationtechniques:

1. Restatement

By restating what another person has verbalized without adding anyof your own personal thoughts and beliefs, you directlyacknowledge and validate another person’s point of view. Forexample, say, “I hear you saying . . .” or “It sounds as if you feel . ..”

2. Paraphrasing

This communication technique involves summarizing in your ownwords what another person has verbalized. It helps to communicateto the other person that you understand what he or she is saying.For example, say, “In other words, you’re saying that . . .” or“Stated another way, you’re suggesting that . . .”

3. Reflection

By serving as a mirror or sounding board for another person’sexpressed or unexpressed emotions and attitudes, you focus on howsomething has been expressed, or the emotional dimension behindthe words. This technique helps others gain an understanding oftheir emotions and assists them in identifying and describing thoseemotions. For example, say, “So you are pretty confused and angryby it all . . .” or “Am I correct in saying that you are frightened andintimidated by the process?”

4. Support

This communication technique expresses understanding,reassurance, and positive regard to let the other person know that heor she is not “in the boat alone.” For example, say, “With yourattitude, I know you’ll do well . . .” or “I’m impressed with the

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progress you are making.”

In many situations, it is common for out-group members to believe othersdo not recognize their strengths. To address these concerns, it is importantfor a leader to identify out-group members’ unique abilities and assets, andto integrate these into the group process. For example, if an out-groupmember suggests a radical but ultimately successful approach toaccomplish a difficult task, the leader should express appreciation to theout-group member and let her or him know that the idea was creative andworthwhile. A leader needs to let out-group members know that what theydo matters—that it is significant to the larger group.

Another example of a college class in which students had to do a service-learning project helps illustrate the importance of recognizing the uniquecontributions of out-group members. For their project, one team in thissmall group communication class chose to build a wheelchair ramp for anelderly woman in the community. In the initial stages of the project,morale in the group was down because one group member (Alissa) chosenot to participate. Alissa said she was quite uncomfortable using handtools, and she chose not to do manual labor. The other team members, whohad done a lot of planning on the project, wanted to proceed without herhelp. As a result, Alissa felt rejected and soon became isolated from thegroup. Feeling disappointed with her group, Alissa began to criticize thepurpose of the project and the personalities of the other team members.

At that point, one of the leaders of the group decided to start being moreattentive to Alissa and what she was saying. After carefully listening tomany of her concerns, the leader figured out that although Alissa could notwork with her hands, she had two amazing talents: She was good withmusic, and she made wonderful lunches.

Once the leader found this out, things started to change in the group.Alissa started to participate. Her input into the construction of the rampconsisted of playing each group member’s and the elderly woman’sfavorite music for 30 minutes while the other group members worked onthe ramp. In addition, Alissa provided wonderful sandwiches and drinksthat accommodated each of the group members’ unique dietary interests.By the last day, Alissa felt so included by the group, and was so oftenpraised for providing great food, that she decided to help with the manuallabor: She began raking up trash around the ramp site with a smile on her

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face.

Although Alissa’s talents had nothing to do directly with constructing aramp, she made a real contribution to building a successful team.Everybody was included and useful in a community-building project thatcould have turned sour if one out-group member’s talents had not beenidentified and utilized.

Strategy 4: Help Out-Group Members FeelIncludedWilliam Schutz (1966) pointed out that, in small group situations, one ofour strongest interpersonal needs is to know whether we belong to thegroup. Are we “in” or “out”? The very nature of out-groups implies thattheir members are on the sidelines and peripheral to the action. Out-groupmembers do not feel as if they belong, are included, or are “in.” Schutzsuggested that people have a need to be connected to others. They want tobe in a group, but not so much a part of the group that they lose their ownidentity. They want to belong, but do not want to belong so much that theylose their sense of self.

Although it is not always easy, a leader can help out-group members bemore included. A leader can watch the communication cues given by out-group members and try to respond in appropriate ways. For example, if aperson sits at the edge of the group, the leader can put the chairs in a circleand invite the person to sit in the circle. If a person does not follow thegroup norms (e.g., does not go outdoors with everyone else during breaks),the leader can personally invite the out-group member to join the othersoutside. Similarly, if a group member is very quiet and has not contributed,a leader can ask for that group member’s opinion. Although there aremany different ways to help out-group members to be included, the bottomline is that a leader needs to be sensitive to out-group members’ needs andtry to respond to them in ways that help the out-group members know thatthey are part of the larger group.

Strategy 5: Create a Special Relationship WithOut-Group Members

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The most well-known study on out-groups was conducted by a group ofresearchers who developed a theory called leader–member exchange(LMX) theory (Dansereau, Graen, & Haga, 1975; Graen & Uhl-Bien,1995). The major premise of this theory, introduced in Chapter 1, is that aleader should create a special relationship with each follower. An effectiveleader has a high-quality relationship with all group members; this resultsin out-group members becoming a part of the larger group.

Lead-Member Exchange Theory

Special relationships are built on good communication, respect, and trust.They are often initiated when a leader recognizes out-group members whoare willing to step out of scripted roles and take on differentresponsibilities. In addition, special relationships can develop when aleader challenges out-group members to be engaged and to try new things.If an out-group member accepts these challenges and responsibilities, it isthe first step in forging an improved relationship between the leader andthe out-group member. The result is that the out-group member feelsvalidated and more connected to everyone else in the group.

An example of how special relationships benefit out-group members canbe seen in the following example. Margo Miller was the school nurse atCentral High School. She was also the unofficial school counselor, socialworker, conflict mediator, and all-around friend to students. Margo noticedthat there were a number of very overweight students who were not in anyof the groups at school. To address this situation, she began to invite someof these students and others to exercise with her at the track after school.For some of them, it was the first time they had ever taken part in anextracurricular school program. The students and Margo called themselvesthe Breakfast Club because, like the characters in the movie by the samename, they were a motley crew. At the end of the semester, the groupsponsored a school-wide 5K run/walk that was well attended. Oneoverweight girl who finished the 5K said that Margo and the BreakfastClub were the best thing that had ever happened to her. Clearly, it was thespecial relationships that Margo created with her students that allowed out-group students to become involved and feel good about their involvementin the high school community.

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Strategy 6: Give Out-Group Members a Voiceand Empower Them to ActGiving out-group members a voice lets them be on equal footing withother members of the group. It means the leader and the other groupmembers give credence to the out-group members’ ideas and actions.When out-group members have a voice, they know their interests are beingrecognized and that they can have an impact on the leader and the group. Itis quite a remarkable process when a leader is confident enough in his orher own leadership to let out-group members express themselves and havea voice in the affairs of the group.

Building a Collaborative Team

Empowering others to act means a leader allows out-group members to bemore involved, independent, and responsible for their actions. It includesletting them participate in the workings of the group (e.g., planning,decision making). True empowerment requires that a leader relinquishsome control, giving out-group members more control. This is whyempowerment is such a challenging process for a leader. Finally,empowering others is one of the larger challenges of leadership, but it isalso one of the challenges that offers the most benefits for members of theout-group.

Leadership Snapshot: Abraham Lincoln, 16th President of the UnitedStates

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http://commons.wikimedia.org/wiki/File:Abraham_Lincoln_head_on_shoulders_photo_portrait.png

Abraham Lincoln, a backwoods circuit lawyer from Springfield,Illinois, was an unlikely choice to become the 16th president of theUnited States. His mother died when he was 9, and he was distant fromhis father. As a youngster, he had little formal education but was anavid reader. Although he had a melancholy temperament, he was knownfor his storytelling ability and inspiriting sense of humor. After

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graduating from law school, he served one term in the U.S. House ofRepresentatives and then proceeded to lose two subsequent contests forthe U.S. Senate.

In 1860, he won the Republican nomination for president after oustingthree formidable candidates: William Seward, a New York senator;Salmon Chase, an Ohio governor; and Edward Bates, a Missouristatesman. No one expected that a soft-spoken, unknown lawyer fromrural Illinois could win the nomination, but at the convention, afterthree rounds of voting, Lincoln emerged as the Republican nominee.Lincoln won the presidential election, and before he took office, sixsouthern states seceded from the Union to form the Confederate Statesof America.

Lincoln began his presidency in a nation torn apart by the issue ofslavery and whether slavery should be expanded, maintained, orabolished. In this context, Lincoln made a bold leadership decision: Heselected for his cabinet the four archrivals who had opposed him in thepresidential primary, as well as three Democrats. All of them werebetter known and more educated than Lincoln (Goodwin, 2005).

Lincoln’s cabinet was a group of disparate politicians with strong egoswho challenged the president’s decisions repeatedly. Each of them hadvery different philosophies about the nation and slavery in particular.Some argued strongly for restricting the spread of slavery. Othersargued for its abolition. Initially, the cabinet members did not view thepresident positively. For example, Attorney General Bates viewedLincoln as well-meaning but an incompetent administrator. EdwinStanton, the secretary of war, initially treated him with contempt buteventually learned to respect his competencies as commander in chief(Goodwin, 2005).

Lincoln had a remarkable ability to work with those with whom hedisagreed and bring together those with disparaging opinions(Goodwin, 2005). For example, at the onset of the Civil War, Secretaryof State Seward directly challenged in writing Lincoln’s response to thebattle at Fort Sumter, claiming the administration was without a policyand should abandon its approach. In response, Lincoln wrote a letter toSeward explaining his own position, without insulting Seward. Insteadof sending the letter, Lincoln delivered it to Seward personally. Suchbehavior was Lincoln’s “hallmark in dealing with recalcitrant butimportant subordinates, generals or senators: a firm assertion of his ownpolicy and responsibility for it, done in such as way as to avoid apersonal rebuff that might create an enemy” (McPherson, 2005). Over

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time, Seward actually grew close to the president and became one ofLincoln’s strongest supporters.

In a larger sense, Lincoln’s leadership was also about bringing togethera nation that was deeply divided. In 1858, well before he was electedpresident, Lincoln delivered his famous “House Divided” speech at theIllinois State Capitol in accepting his nomination for U.S. Senate. Basedon a New Testament Bible passage (Mark 3:25), he stated, “A housedivided against itself cannot stand. I believe this government cannotendure permanently half slave and half free. I do not expect the Unionto be dissolved—I do not expect the house to fall—but I do expect itwill cease to be divided. It will become all one thing, or all the other.”In some ways, this speech foreshadowed Lincoln’s style of leading andhis role in addressing the debilitating and devastating impact of slaveryon the country.

SummaryIn today’s society, out-group members are a common occurrencewhenever people come together to solve a problem or accomplish a task.In general, the term out-group refers to those people in a group who do notsense that they are a part of the larger group. Out-group members areusually people who feel disconnected, unaccepted, discriminated against,or powerless.

Out-groups form for many reasons. Some form because people are inopposition to the larger group. Others form because individuals in a groupcannot identify with the larger group or cannot embrace the larger group’sreality. Sometimes they form because people feel excluded or because out-group members lack communication and social skills.

Regardless of why they form, the negative impact of out-group memberscan be substantial. We need to be concerned about out-groups becausethey run counter to building community and have a negative impact ongroup synergy. Furthermore, out-group members do not receive the respectthey deserve from those in the “in-group.”

There are several specific strategies that a leader can use to respondeffectively to out-group members. A leader needs to listen to out-groupmembers, show them empathy, recognize their unique contributions, helpthem become included, create a special relationship with them, give them a

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voice, and empower them to act. A leader who uses these strategies will bemore successful in his or her encounters with out-groups, and will be amore effective group leader.

Glossary Termsempathy 224listening 224out-group members 219social identity theory 219

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Application

10.1 Case Study: Next StepNext Step is a student organization run by graduate students in theSchool of Communication at a large West Coast university. Themission of Next Step is to provide students with opportunities that willhelp them prepare for the workforce or for more schooling. Some of theannual events that the group sponsors are résumé developmentworkshops, a professional development day in which people from thecommunity discuss their career paths, and workshops on interviewingskills.

Next Step has two annual bake sales to raise funds to pay for expensessuch as renting meeting space, compensating speakers, and providingrefreshments at group workshops. After a lukewarm fall semester bakesale, some Next Step members suggest finding a new fund-raisingmethod, arguing that bake sales cost members money and require a lotof work for little profit.

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Next Step’s president, James, decides to put new fund-raising initiativeson the agenda for discussion at the group’s next meeting. At thatmeeting, Brenna, a marketing and graphic design major, proposes thatthe group sell T-shirts as the winter semester’s fund-raiser. Brennabelieves that the college population likes to buy T-shirts and isconfident that she can create a design that will appeal to students.Mallory, also a marketing major, volunteers to help promote the T-shirts. Group member Mark offers to use his employee discount at thescreen shop where he works to have the shirts printed affordably.

Other Next Step members voice approval for the T-shirt fund-raiser,and the discussion moves to talking about designs for the shirts. Jamesassigns Brenna and Mallory to survey students on their interest inbuying the shirts and at what price. Brenna will also develop mock-upsof the shirt’s design and bring them to the next meeting while Mark isassigned to get pricing options.

James leaves the meeting feeling positive about the direction the newfund-raiser is going, but as he loads his book back into his car, heoverhears a conversation nearby. Next Step’s treasurer, Nichole, callsthe plan to sell T-shirts “stupid.” She states she personally would neverorder a shirt from a student group and that Next Step is going to losemoney printing the shirts. Ursula, Next Step’s secretary, agrees withNichole, calling other Next Group members “a bunch of Kool-Aid–drinking nerds” and remarking that nobody is going to buy those shirts.James is shocked. Not only does he not remember Nichole or Ursulavoicing any objections to the plan at the meeting; he doesn’t rememberthem saying anything during the meeting at all. James is concerned thattwo Next Step officers would talk so negatively about the group andwonders if it is fueled by the shift to selling T-shirts or something else.He makes a mental note to build an anonymous vote into the nextmeeting to make sure that members who don’t like the idea have anopportunity to oppose it without being put in a public position.

Meanwhile, Brenna, Mallory, and Mark succeed in canvassing students,finding a reasonable price for T-shirts, and developing attractive mock-ups for Next Step members to consider. James feels confident that thepositive outcome of the T-shirt committee’s efforts will help Nicholeand Ursula change their minds about the T-shirt sale.

However, the next day, James is working in a cubicle at the studentcenter when Nichole enters. Before he gets a chance to leave his boothto say hi to her, Next Step’s student liaison Todd comes up to Nicholeand says, “Can you believe how much work those brownnosers are

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putting into selling T-shirts? Honestly, it’s so dumb—at least no oneexpects us to pitch in though!” As student liaison, Todd has a pivotalrole in the group and is responsible for promoting the group’s efforts atother student meetings and for recruiting new members. His commentsfurther alarm James.

James decides to act, and approaches Nichole and Todd, who wereunaware that he was nearby. James makes small talk, and then remindsthem about the Next Step meeting coming up in two days. Nichole rollsher eyes and says she knows about the meeting. James asks her ifeverything is OK. Nichole responds, “Everything is fine. I just thinkthat it’s silly to get so involved in this T-shirt sale. We all have a lotgoing on for school, and this group is really just something to put on myrésumé. I don’t understand why we can’t just stick with the easy,mindless bake sale.” Todd nods in agreement and says, “Yeah, James,you can’t tell me that you became president of a student group becauseyou believe so much in its mission. We both know it’s just because youwant to look good when you apply for jobs this summer.” Althoughtaken aback by their attitudes, James responds that he believes in NextStep’s mission and will make sure any and all concerns’ regarding thefund-raiser are raised at the next meeting.

As he prepares for the upcoming meeting, James concludes that thereseems to be a division, at least among the board’s officers, betweenthose who are excited about the group’s mission and efforts and thosewho are not supportive. He wonders if other Next Step members sharethe attitudes expressed by Nichole, Ursula, and Todd or if they are in aminority. If they aren’t, thinks James, and the division goes deeper,what does that mean for Next Step?

Questions1. This chapter discusses several reasons that out-groups form. What

is the best explanation for why Ursula, Nichole, and Todd appearto be out-group members? What impact are they having on NextStep? Do they have legitimate concerns? Discuss.

2. How could the initial meeting about fund-raising strategies havebeen conducted so that all members were included in the decision?

3. Of the six strategies for how leaders should respond to out-groupmembers, do you think that certain strategies might be moreappropriate or effective in this situation given the verbalizedfeelings about Next Step from the out-group members?

4. How could other members of the group besides James help tobuild the group identity and sense of cohesion in Next Step?

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5. In this situation, do you think it is worth the time and effort to tryto include Ursula, Nichole, and Todd? Defend your answer.

10.2 Building Community Questionnaire

Purpose

1. To identify your attitudes toward out-group members2. To explore how you, as a leader, respond to members of the out-

group

Directions

1. Place yourself in the role of a leader when responding to thisquestionnaire.

2. For each of the statements below, circle the number that indicatesthe degree to which you agree or disagree.

Statements Stronglydisagree

Disagree Neutral Agree Stronglyagree

1. If somegroupmembers donot fit in withthe rest of thegroup, Iusually try toinclude them.

1 2 3 4 5

2. I becomeirritated whensome groupmembers actstubborn (orobstinate) withthe majority ofthe group.

1 2 3 4 5

3. Building asense of group

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unity withpeople whothinkdifferentlythan I isessential towhat I do as aleader.

1 2 3 4 5

4. I ambothered whensomeindividuals inthe groupbring upunusual ideasthat hinder orblock theprogress of therest of thegroup.

1 2 3 4 5

5. If somegroupmemberscannot agreewith themajority of thegroup, Iusually givethem specialattention.

1 2 3 4 5

6. SometimesI ignoreindividualswho showlittle interestin groupmeetings.

1 2 3 4 5

7. Whenmaking a

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groupdecision, Ialways try toinclude theinterests ofmembers whohave differentpoints of view.

1 2 3 4 5

8. Trying toreachconsensus(completeagreement)with out-groupmembers isoften a wasteof time.

1 2 3 4 5

9. I place ahigh priorityonencouragingeveryone inthe group tolisten to theminority pointof view.

1 2 3 4 5

10. Whendifferencesexist betweengroupmembers, Iusually call fora vote to keepthe groupmovingforward.

1 2 3 4 5

11. Listeningto individualswith extreme

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(or radical)ideas isvaluable to myleadership.

1 2 3 4 5

12. When agroup memberfeels left out,it is usuallyhis or her ownfault.

1 2 3 4 5

13. I givespecialattention toout-groupmembers (i.e.,individualswho feel leftout of thegroup).

1 2 3 4 5

14. I findcertain groupmembersfrustratingwhen theybring up issuesthat conflictwith what therest of thegroup wants todo.

1 2 3 4 5

Scoring

1. Sum the even-numbered items, but reverse the score value of yourresponses (i.e., change 1 to 5, 2 to 4, 4 to 2, and 5 to 1, with 3remaining unchanged).

2. Sum the responses of the odd-numbered items and the convertedvalues of the even-numbered items. This total is your leadershipout-group score.

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Total Score

Out-group score: ___________

Scoring Interpretation

This questionnaire is designed to measure your response to out-groupmembers.

A high score on the questionnaire indicates that you try to helpout-group members feel included and become a part of the wholegroup. You are likely to listen to people with different points ofview and to know that hearing a minority position is oftenvaluable in effective group work.An average score on the questionnaire indicates that you aremoderately interested in including out-group members in thegroup. Although interested in including them, you do not makeout-group members’ concerns a priority in your leadership. Youmay think of out-group members as having brought their out-group behavior on themselves. If they seek you out, you probablywill work with them when you can.

A low score on the questionnaire indicates you most likely havelittle interest in helping out-group members become a part of thelarger group. You may become irritated and bothered when out-group members’ behaviors hinder the majority or progress of thelarger group. Because you see helping the out-group members asan ineffective use of your time, you are likely to ignore them andmake decisions to move the group forward without their input.

If your score is 57–70, you are in the very high range.If your score is 50–56, you are in the high range.If your score is 45–49, you are in the average range.If your score is 38–44, you are in the low range.If your score is 10–37, you are in the very low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

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Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

10.3 Observational Exercise

Out-Groups

Purpose

1. To learn to recognize out-groups and how they form2. To understand the role of out-groups in the leadership process

Directions

1. Your task in this exercise is to identify, observe, and analyze anactual out-group. This can be an out-group at your place ofemployment, in an informal group, in a class group, in acommunity group, or on a sports team.

2. For each of the questions below, write down what you observed inyour experiences with out-groups.

Name of group:_____________________________________________Identify and describe a group in which you observed an out-group.Observations of out-group members’ actions:Observations of the leader’s actions:

Questions

1. What is the identity of out-group members? How do they seethemselves?

2. How were out-group members treated by the other members in thegroup?

3. What is the most challenging aspect of trying to deal withmembers of this out-group?

4. What does the leader need to do to integrate the out-groupmembers into the larger group?

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Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

10.4 Reflection and Action Worksheet

Out-Groups

Reflection

1. Based on the score you received on the Building CommunityQuestionnaire, how would you describe your attitude toward out-group members? Discuss.

2. As we discussed in this chapter, out-groups run counter tobuilding community in groups. How important do you think it isfor a leader to build community? Discuss.

3. One way to engage out-group members is to empower them. Howdo you see your own competencies in the area of empowerment?What keeps you from empowering others? Discuss.

Action

1. Using items from the Building Community Questionnaire as yourcriteria, list three specific actions you could take that would showsensitivity to and tolerance of out-group members.

2. In the last section of this chapter, six strategies for responding toout-group members were discussed. Rank these strategies fromstrongest to weakest with regard to how you use them in your ownleadership. Describe specifically what you could do to becomemore effective in all six strategies.

3. Imagine for a moment that you are doing a class project with sixother students. The group has decided by taking a vote to do afund-raising campaign for the local Big Brothers Big Sistersprogram. Two people in the group have said they are not enthusedabout the project and would rather do something for anorganization like Habitat for Humanity. While the group ismoving forward with the agreed-upon project, the two people whodid not like the idea have started missing meetings, and when theydo attend, they are very negative. As a leader, list five specific

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actions you could take to assist and engage this out-group.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesAbrams, D., Frings, D., & Randsley de Moura, G. (2005). Group identity

and self-definition. In S. A. Wheelan (Ed.), Handbook of group researchand practice (pp. 329–350). London, United Kingdom: Sage.

Beauchamp, T. L., & Bowie, N. E. (1988). Ethical theory and business(3rd ed.). Englewood Cliffs, NJ: Prentice Hall.

Dansereau, F., Graen, G. G., & Haga, W. (1975). A vertical dyad linkageapproach to leadership in formal organizations. Organizational Behaviorand Human Performance, 13(1), 46–78.

Goodwin, D. K. (2005). Team of rivals: The political genius of AbrahamLincoln. New York, NY: Simon & Schuster.

Graen, G. B., & Uhl-Bien, M. (1995). Relationship-based approach toleadership: Development of leader–member exchange (LMX) theory ofleadership over 25 years: Applying a multi-level, multi-domainperspective. Leadership Quarterly, 6(2), 219–247.

Hogg, M. A., & Abrams, D. (1988). Social identifications: A socialpsychology of intergroup relations and group processes. London, UK:Routledge.

McPherson, J. M. (2005, November 6). “Team of rivals”: Friends of Abe.The New York Times. Retrieved from

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Schutz, W. (1966). The interpersonal underworld. Palo Alto, CA: Science& Behavior Books.

Tajfel, H., & Turner, J. C. (1979). An integrative theory of intergroupconflict. In S. Worchel & W. G. Austin (Eds.), The social psychology ofintergroup relations (pp. 33–47). Monterey, CA: Brooks-Cole.

Tajfel, H., & Turner, J. C. (1986). The social identity theory of inter-groupbehavior. In S. Worchel & L. W. Austin (Eds.), Psychology ofintergroup relations (pp. 7–24). Chicago, IL: Nelson-Hall.

Vroom, V. H. (1964). Work and motivation. New York, NY: Wiley.

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11 Managing Conflict

IntroductionConflict is inevitable in groups and organizations, and it presents both achallenge and a true opportunity for every leader. In the well-known bookGetting to Yes, Fisher and Ury (1981) contend that handling conflict is adaily occurrence for all of us. People differ, and because they do, theyneed to negotiate with others about their differences (pp. xi–xii). Getting toYes asserts that mutual agreement is possible in any conflict situation—ifpeople are willing to negotiate in authentic ways.

Is Conflict Really Inevitable?

When we think of conflict in simple terms, we think of a struggle betweenpeople, groups, organizations, cultures, or nations. Conflict involvesopposing forces, pulling in different directions. Many people believe thatconflict is disruptive, causes stress, and should be avoided.

As we stated in Chapter 6, while conflict can be uncomfortable, it is notunhealthy, nor is it necessarily bad. Conflict will always be present inleadership situations, and surprisingly, it often produces positive change.The important question we address in this chapter is not “How can weavoid conflict and eliminate change?” but rather “How can we manageconflict and produce positive change?” When leaders handle conflicteffectively, problem solving increases, interpersonal relationships becomestronger, and stress surrounding the conflict decreases.

Communication plays a central role in handling conflict. Conflict is aninteractive process between two or more parties that requires effectivehuman interaction. By communicating effectively, leaders and followerscan successfully resolve conflicts to bring positive results.

What Are Some Strategies for Handling Conflict?

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This chapter will emphasize ways to handle conflict. First, we will defineconflict and describe the role communication plays in conflict. Next, wewill discuss different kinds of conflict, followed by an exploration ofFisher and Ury’s (1981) ideas about effective negotiation as well as othercommunication strategies that help resolve conflict. Last, we will examinestyles of approaching conflict and the pros and cons of these styles.

Conflict ExplainedConflict has been studied from multiple perspectives, includingintrapersonal, interpersonal, and societal. Intrapersonal conflict refers tothe discord that occurs within an individual. It is a topic often studied bypsychologists and personality theorists who are interested in the dynamicsof personality and factors that predispose people to inner conflicts.Interpersonal conflict refers to the disputes that arise between individuals.This is the type of conflict we focus on when we discuss conflict inorganizations. Societal conflict refers to clashes between societies andnations. Studies in this field focus on the causes of international conflicts,war, and peace. The continuing crisis between the Israelis and thePalestinians is a good example of social conflict. This chapter focuses onconflict as an interpersonal process that plays a critical role in effectiveleadership.

The following definition, based on the work of Wilmot and Hocker (2011,p. 11), best describes conflict. Conflict is a felt struggle between two ormore interdependent individuals over perceived incompatible differencesin beliefs, values, and goals, or over differences in desires for esteem,control, and connectedness. This definition emphasizes several uniqueaspects of conflict (Wilmot & Hocker, 2011).

First, conflict is a struggle; it is the result of opposing forces comingtogether. For example, there is conflict when a leader and a senior-levelemployee oppose each other on whether or not all employees must workon weekends. Similarly, conflict occurs when a school principal and aparent disagree on the type of sex education program that should beadopted in a school system. In short, conflict involves a clash betweenopposing parties.

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Second, there needs to be an element of interdependence between partiesfor conflict to take place. If leaders could function entirely independentlyof each other and their followers, there would be no reason for conflict.Everyone could do their own work, and there would be no areas ofcontention. However, leaders do not work in isolation. Leaders needfollowers, and followers need leaders. This interdependence sets up anenvironment in which conflict is more likely.

When two parties are interdependent, they are forced to deal withquestions such as “How much influence do I want in this relationship?”and “How much influence am I willing to accept from the other party?”Because of our interdependence, questions such as these cannot beavoided. In fact, Wilmot and Hocker (2011) contend that these questionspermeate most conflicts.

Third, conflict always contains an affective element, the “felt” part of thedefinition. Conflict is an emotional process that involves the arousal offeelings in both parties of the conflict (Brown & Keller, 1979). When ourbeliefs or values on a highly charged issue (e.g., the right to strike) arechallenged, we become upset and feel it is important to defend ourposition. When our feelings clash with others’ feelings, we are in conflict.

The primary emotions connected with conflict are not always anger orhostility. Rather, an array of emotions can accompany conflict. Hocker andWilmot (1995) found that many people report feeling lonely, sad, ordisconnected during conflict. For some, interpersonal conflict createsfeelings of abandonment—that their human bond to others has beenbroken. Feelings such as these often produce the discomfort that surroundsconflict.

Fourth, conflict involves differences between individuals that areperceived to be incompatible. Conflict can result from differences inindividuals’ beliefs, values, and goals, or from differences in individuals’desires for control, status, and connectedness. The opportunities forconflict are endless because each of us is unique with particular sets ofinterests and ideas. These differences are a constant breeding ground forconflict.

In summary, these four elements—struggle, interdependence, feelings, anddifferences—are critical ingredients of interpersonal conflict. To furtherunderstand the intricacies of managing conflict, we’ll look at the role of

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communication in conflict and examine two major kinds of conflict.

Communication and ConflictWhen conflict exists in leadership situations, it is recognized andexpressed through communication. Communication is the means thatpeople use to express their disagreements or differences. Communicationalso provides the avenue by which conflicts can be successfully resolved,or worsened, producing negative results.

Using Conversation

To understand conflict, we need to understand communication. Whenhuman communication takes place, it occurs on two levels. One level canbe characterized as the content dimension and the other as the relationshipdimension (Watzlawick, Beavin, & Jackson, 1967). The contentdimension of communication involves the objective, observable aspectssuch as money, weather, and land; the relationship dimension refers tothe participants’ perceptions of their connection to one another. In humancommunication, these two dimensions are always bound together.

To illustrate the two dimensions, consider the following hypotheticalstatement made by a supervisor to an employee: “Please stop texting atwork.” The content dimension of this message refers to rules and what thesupervisor wants the employee to do. The relationship dimension of thismessage refers to how the supervisor and the employee are affiliated—tothe supervisor’s authority in relation to the employee, the supervisor’sattitude toward the employee, the employee’s attitude toward thesupervisor, and their feelings about one another. It is the relationshipdimension that implicitly suggests how the content dimension should beinterpreted, since the content alone can be interpreted in different ways.The exact meaning of the message to the supervisor and employee isinterpreted as a result of their interaction. If a positive relationship existsbetween the supervisor and the employee, then the content “please stoptexting at work” will probably be interpreted by the employee as a friendlyrequest by a supervisor who is honestly concerned about the employee’sjob performance. However, if the relationship between the supervisor and

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the employee is superficial or strained, the employee may interpret thecontent of the message as a rigid directive, delivered by a supervisor whoenjoys giving orders. This example illustrates how the meanings ofmessages are not in words alone but in individuals’ interpretations of themessages in light of their relationships.

The content and relationship dimensions provide a lens for looking atconflict. As illustrated in Figure 11.1, there are two major kinds ofconflict: conflict over content issues and conflict over relationship issues.Both kinds of conflict are prevalent in groups and organizational settings.

Conflict on the Content LevelContent conflicts involve struggles between leaders and others who differon issues such as policies and procedures. Debating with someone aboutthe advantages or disadvantages of a particular rule is a familiaroccurrence in most organizations. Sometimes these debates can be veryheated (e.g., an argument between two employees about surfing theInternet while working). These disagreements are considered conflicts onthe content level when they center on differences in (1) beliefs and valuesor (2) goals and ways to reach those goals.

Figure 11.1 Different Kinds of Content and Relational Conflicts

Conflict Regarding Beliefs and Values

Each of us has a unique system of beliefs and values that constitutes abasic philosophy of life. We have had different family situations as well aseducational and work experiences. When we communicate with others, webecome aware that others’ viewpoints are often very different from our

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own. If we perceive what another person is communicating asincompatible with our own viewpoint, a conflict in beliefs or values islikely to occur.

Conflicts arising from differences in beliefs can be illustrated in severalways. For example, members of PETA (People for the Ethical Treatmentof Animals) are in conflict with researchers in the pharmaceutical industrywho believe strongly in using animals to test new drugs. Another exampleof a conflict of beliefs can occur when teachers or nurses believe they havethe right to strike because of unfair working conditions, while others feelthat these kinds of employees should not be allowed to withhold servicesfor any reason. In each of these examples, conflict occurs because oneindividual feels that his or her beliefs are incompatible with the positiontaken by another individual on the issue.

Conflicts can also occur between people because they have differentvalues. When one person’s values come into conflict with another’s, it cancreate a difficult and challenging situation. To illustrate, consider thefollowing example of an issue between Emily, a first-generation collegestudent, and her mother. At the beginning of her senior year, Emily asksher mother if she can have a car to get around campus and to get back andforth to work. In order to pay for the car, Emily says she will take fewercredits, work more often at her part-time job, and postpone her graduationdate to the following year. Emily is confident that she will graduate andthinks it is “no big deal” to extend her studies for a fifth year. However,Emily’s mother does not feel the same. She doesn’t want Emily to have acar until after she graduates. She thinks the car will be a major distractionand get in the way of Emily’s studies. Emily is the first person in herfamily to get a college degree, and it is extremely important to her motherthat Emily graduates on time. Deep down, her mother is afraid that thelonger Emily goes to school, the more student loan debt Emily will have topay back when she finishes.

Leadership Snapshot: Humaira Bachal, Pakistani Educator

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© Photo courtesy of Humaira Bachal.

Humaira Bachal is a 30-year-old woman who has a dangerous passion:She wants to educate children, especially girls, in her home country ofPakistan where only 57% of the children ever enter primary school.

It’s hard not to worry about Bachal in the wake of the 2012 shooting ofMalala Yousafzai, a teenage Pakistani girl attacked by the Taliban forspeaking out in support of girls’ education. But she’s not afraid.

When Bachal was in ninth grade, she looked around her village ofMoach Goth and saw children playing in the streets instead of being inschool or studying, and at all of 14, she thought that was wrong. Therewere no private or government schools in her neighborhood, and Bachalhad received education only because her mother had sewn clothing orsold bundles of wood for 2 cents a piece to send her children to schoolselsewhere.

Bachal knew what it meant to have to fight to be educated. Her fatherdid not want her to go to school, saying that she “was only going to getmarried and have children” (Rahi, 2010).

But her mother had other ideas. She wasn’t educated, but believed her

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children should be. She labored to pay for her daughter’s educationherself and had to sneak her off to school, hiding Bachal’s whereaboutsfrom her father. When he found out Bachal was going to take her ninth-grade entrance exams, he became furious and beat her mother, breakingher arm. Despite this, her mother gathered her daughter’s school bagand sent her on her way to the exam, which she passed.

“My mother’s support at that critical moment was essential in makingme who I am today,” Bachal says (Faruqi & Obaid-Chinoy, 2013).

That same year while she was still being educated, Bachal startedrecruiting students in her neighborhood to come to a small, privateschool she had opened. She even went door-to-door to convince parentsto send their children to the school. More than once she had a doorslammed in her face and her life threatened.

“Education is a basic need and fundamental right for every humanbeing,” she says. “I want to change the way my community looks ateducation and I will continue to do this until my last breath” (Temple-Raston, 2013).

Pakistan has a dismal education rate: It spends half as much asneighboring India on education, and if you are a young girl in ruralPakistan, you are unlikely to ever see the inside of a classroom. Thereare more than 32 million girls under the age of 14 in Pakistan; fewerthan 13 million of them go to school (Faruqi & Obaid-Chinoy, 2013).

In 2003, Bachal and five friends created their school, the DreamFoundation Trust Model Street School, in a two-room building withmud floors. In just over a decade, Dream Foundation has grown into aformal school with 22 teachers and 1,200 students. Children pay a rupeea day to attend classes. There are four shifts at the school, includingcomputer classes and one for “labour boys” who work all day andattend classes in the evening. The Dream Foundation Trust also offersadult literacy classes for men and women.

But Bachal and the school are specifically interested in educating girls.Bachal will often visit fathers at their workplaces to convince them tosend their daughters to school. She asks why, when the girls becometeenagers, they stop coming to school. The fathers talk about honor andculture and how the girls are looked at by men as they go to school, andthe men say things about them. Bachal can relate; at one point the menin her village called her immoral for becoming educated, and herbrothers and father wanted to relocate to put an end to their shame(Faruqi & Obaid-Chinoy, 2013).

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Bachal reaches out to mothers to make them allies in her crusade. Sheasks them if they want their daughters to be treated as unjustly as theyhave been and urges the women to help their daughters have better livesby insisting that they get an education.

Bachal’s mother has no regrets about the sacrifices she made to ensureher daughters were educated, saying, “Education is essential forwomen. They (her daughters) have reached this potential because oftheir education. Otherwise they would have been slaving away for theirhusbands somewhere” (Rahi, 2010).

And despite the attack against Malala Yousafzai, Bachal says she isn’tworried for her own safety.

“Just the opposite,” she says. “It is not just one Malala or one Bachalwho has raised a voice to change this situation. There are a lot of othergirls who are trying to change things. Even if they kill 100 Humairas,they won’t be able to stop us” (Temple-Raston, 2013).

The value conflict between Emily and her mother involves Emily’s desireto have a car. In this case, both individuals are highly interdependent ofone another: To carry out her decision to get a car, Emily needs hermother’s agreement; to have her daughter graduate in four years, Emily’smother needs cooperation from Emily. Both individuals perceive theother’s values as incompatible with their own, and this makes conflictinevitable. Clearly, the conflict between Emily and her mother requiresinterpersonal communication about their different values and how thesedifferences affect their relationship.

Conflict Regarding Goals

A second common type of content-related conflict occurs in situationswhere individuals have different goals (see Figure 11.1). Researchers haveidentified two types of conflict that occur regarding group goals: (1)procedural conflict and (2) substantive conflict (Knutson, Lashbrook, &Heemer, 1976).

Procedural conflict refers to differences between individuals with regardto the approach they wish to take in attempting to reach a goal. In essence,it is conflict over the best means to an agreed-upon goal; it is not aboutwhat goal to achieve. Procedural conflicts can be observed in manysituations such as determining how to best conduct job interviews, choose

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a method for identifying new sales territories, or spend advertising dollars.In each instance, conflict can occur when individuals do not agree on howto achieve a goal.

Substantive conflict occurs when individuals differ with regard to thesubstance of the goal itself, or what the goal should be. For example, twoboard members of a nonprofit human service agency may have verydifferent views regarding the strategies and scope of a fund-raisingcampaign. Similarly, two owners of a small business may stronglydisagree about whether or not to offer their part-time employees healthcare benefits. On the international level, in Afghanistan, the Taliban andthose who are not members of the Taliban have different perspectives onwhether or not girls should be educated. These illustrations by no meansexhaust all the possible examples of substantive conflict; however, theypoint out that conflict can occur as a result of two or more partiesdisagreeing on what the goal or goals of a group or an organization shouldbe.

Conflict on the Relational LevelHave you ever heard someone say, “I don’t seem to get along with her [orhim]; we have a personality clash”? The phrase personality clash isanother way of describing a conflict on the relational level. Sometimes wedo not get along with another person, not because of what we are talkingabout (conflict over content issues) but because of how we are talkingabout it. Relational conflict refers to the differences we feel betweenourselves and others concerning how we relate to each other. For example,at a staff meeting, a manager interrupts employees and talks to them in acritical tone. The employees begin texting on their phones, ignoring themanager. A conflict erupts because both the manager and the employeesfeel unheard and disrespected. It is typically caused by neither one personnor the other, but arises in their relationship. Relational conflict is usuallyrelated to incompatible differences between individuals over issues of (1)esteem, (2) control, and (3) affiliation (see Figure 11.1).

Relational Conflict and Issues of Esteem

The need for esteem and recognition has been identified by Maslow (1970)as one of the major needs in the hierarchy of human needs. Each of us has

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needs for esteem—we want to feel significant, useful, and worthwhile. Wedesire to have an effect on our surroundings and to be perceived by othersas worthy of their respect. We attempt to satisfy our esteem needs throughwhat we do and how we act, particularly in how we behave in ourrelationships with our coworkers.

The Need for Esteem

When our needs for esteem are not being fulfilled in our relationships, weexperience relational conflict because others do not see us in the way wewish to be seen. For example, an administrative assistant can haverepeated conflicts with an administrator if the assistant perceives that theadministrator fails to recognize his or her unique contributions to theoverall goals of the organization. Similarly, older employees may be upsetif newer coworkers do not give them respect for the wisdom that comeswith their years of experience. So, too, younger employees may wantrecognition for their innovative approaches to problems but fail to get itfrom coworkers with more longevity who do not think things shouldchange.

At the same time that we want our own esteem needs satisfied, others wanttheir esteem needs satisfied as well. If the supply of respect we can giveeach other seems limited (or scarce), then our needs for esteem will clash.We will see the other person’s needs for esteem as competing with ourown or taking that limited resource away from us. To illustrate, consider astaff meeting in which two employees are actively contributing insightfulideas and suggestions. If one of the employees is given recognition for herinput but the other is not, conflict may result. As this conflict escalates, theeffectiveness of their working relationship and the quality of theircommunication may diminish. When the amount of available esteem(validation from others) seems scarce, a clash develops.

All of us are human and want to be recognized for the contributions wemake to our work and our community. When we believe we’re not beingrecognized or receiving our “fair share,” we feel slighted and conflicted onthe relational level with others.

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Relational Conflict and Issues of Control

Struggles over issues of control are very common in interpersonal conflict.Each one of us desires to have an impact on others and the situations thatsurround us. Having control, in effect, increases our feelings of potencyabout our actions and minimizes our feelings of helplessness. Controlallows us to feel competent about ourselves. However, when we see othersas hindering us or limiting our control, interpersonal conflict often ensues.

Conflict Over Control

Interpersonal conflict occurs when a person’s needs for control areincompatible with another’s needs for control. In a given situation, each ofus seeks different levels of control. Some people like to have a great deal,while others are satisfied (and sometimes even more content) with only alittle. In addition, our needs for control may vary from one time to another.For example, there are times when a person’s need to control others orevents is very high; at other times, this same person may prefer that otherstake charge. Relational conflict over control issues develops when there isa clash between the needs for control that one person has at a given time(high or low) and the needs for control that others have at that same time(high or low). If, for example, a friend’s need to make decisions aboutweekend plans is compatible with yours, no conflict will take place;however, if both of you want to control the weekend planning and yourindividual interests are different, then you will soon find yourselves inconflict. As struggles for control ensue, the communication among theparticipants may become negative and challenging as each person tries togain control over the other or undermine the other’s control.

A graphic example of a conflict over relational control is provided in thestruggle between Lauren Smith, a college sophomore, and her parents,regarding what she will do on spring break. Lauren wants to go to Cancún,Mexico, with some friends to relax from the pressures of school. Herparents do not want her to go. Lauren thinks she deserves to go becauseshe is doing well in her classes. Her parents think spring break in Cancúnis just a “big party” and nothing good will come of it. As another option,her parents offer to pay Lauren’s expenses to go on an alternative spring

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break to clean up an oil spill in the Gulf of Mexico. Lauren is adamant thatshe “is going” to Cancún. Her parents, who pay her tuition, threaten that ifshe goes to Cancún, they will no longer pay for college.

Clearly, in the above example, both parties want to have control over theoutcome. Lauren wants to be in charge of her own life and make thedecisions about what she does or does not do. At the same time, herparents want to direct her into doing what they think is best for her. Laurenand her parents are interdependent and need each other, but they areconflicted because they each feel that the other is interfering with theirneeds for control of what Lauren does on spring break.

Conflicts over control are common in leadership situations. Like theparents in the above example, the role of leader brings with it a certaininherent level of control and responsibility. When leaders clash with oneanother over control or when control issues exist between leaders andfollowers, interpersonal conflicts occur. Later in this chapter, we presentsome conflict management strategies that are particularly helpful in copingwith relational conflicts that arise from issues of control.

Leaders’ Essential Role in Conflict Management

Relational Conflict and Issues of Affiliation

In addition to wanting relational control, each of us has a need to feelincluded in our relationships, to be liked, and to receive affection (Schutz,1966). If our needs for closeness are not satisfied in our relationships, wefeel frustrated and experience feelings of conflict. Of course, some peoplelike to be very involved and very close in their relationships, while othersprefer less involvement and more distance. In any case, when othersbehave in ways that are incompatible with our own desires for warmth andaffection, feelings of conflict emerge.

Relational conflict over affiliation issues is illustrated in the followingexample of a football coach, Terry Jones, and one of his players, DannyLarson. Danny, a starting quarterback, developed a strong relationship

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with Coach Jones during his junior year in high school. Throughout theyear, Danny and Coach Jones had many highly productive conversationsinside and outside of school about how to improve the football program. Inthe summer, the coach employed Danny in his painting business, and theyworked side by side on a first-name basis. Both Danny and Terry likedworking together and grew to know each other quite well. However, whenfootball practice started in the fall, difficulties emerged between the two.During the first weeks of practice, Danny acted like Coach Jones was hisbest buddy. He called him Terry rather than Coach Jones, and he resistedthe player–coach role. As Coach Jones attempted to withdraw from hissummer relationship with Danny and take on his legitimate responsibilitiesas a coach, Danny experienced a sense of loss of closeness and warmth. Inthis situation, Danny felt rejection or a loss of affiliation, and this created arelational conflict.

Relational conflicts—whether they are over esteem, control, or affiliation—are seldom overt. Due to the subtle nature of these conflicts, they areoften not easy to recognize or address. Even when they are recognized,relational conflicts are often ignored because it is difficult for manyindividuals to openly communicate that they want more recognition,control, or affiliation.

According to communication theorists, relational issues are inextricablybound to content issues (Watzlawick et al., 1967). This means thatrelational conflicts will often surface during the discussion of contentissues. For example, what may at first appear to be a conflict between twoleaders regarding the content of a new employee fitness program mayreally be a struggle over which one of the leaders will ultimately receivecredit for developing the program. As we mentioned, relational conflictsare complex and not easily resolved. However, when relational conflictsare expressed and confronted, it can significantly enhance the overallresolution process.

Managing Conflict in PracticeCommunication is central to managing different kinds of conflict inorganizations. Leaders who are able to keep channels of communicationopen with others will have a greater chance of understanding others’beliefs, values, and needs for esteem, control, and affiliation. Withincreased understanding, many of the kinds of conflict discussed in the

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earlier part of this chapter will seem less difficult to resolve and more opento negotiation.

In this section, we will explore three different approaches to resolvingconflict: Fisher and Ury’s principled negotiation; the communicationstrategies of differentiation, fractionation, and face saving; and theKilmann–Thomas styles of approaching conflict. As we discussedpreviously, conflict can be multifaceted and complex, and while there is nomagic bullet for resolving all conflicts, knowing different approaches canhelp a leader employ the effective strategies for solving conflict.

Fisher and Ury Approach to ConflictOne of the most recognized approaches of conflict negotiation in the worldwas developed by Roger Fisher and William Ury. Derived from studiesconducted by the Harvard Negotiation Project, Fisher and Ury (1981)provide a straightforward, step-by-step method for negotiating conflicts.This method, called principled negotiation, emphasizes deciding issueson their merits rather than through competitive haggling or throughexcessive accommodation. Principled negotiation shows you how to obtainyour fair share decently and without having others take advantage of you(Fisher & Ury, 1981).

A Win-Win Situation

As illustrated in Figure 11.2, the Fisher and Ury negotiation methodcomprises four principles. Each principle directly focuses on one of thefour basic elements of negotiation: people, interests, options, and criteria.Effective leaders frequently understand and utilize these four principles inconflict situations.

Figure 11.2 Fisher and Ury’s Method of Principled Negotiation

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Source: Adapted from Fisher, R., & Ury, W. (1981). Getting to yes:Negotiating agreement without giving in. New York, NY: PenguinBooks, p. 15.

Principle 1: Separate the People From the Problem

In the previous section of this chapter, we discussed how conflict has acontent dimension and a relationship dimension. Similarly, Fisher and Ury(1981) contend that conflicts comprise a problem factor and a peoplefactor. To be effective in dealing with conflicts, both of these factors needto be addressed. In particular, Fisher and Ury argue that the people factorneeds to be separated out from the problem factor.

Separating people from the problem during conflict is not easy becausethey are entangled. For example, if a supervisor and her employee are in aheated conversation over the employee’s negative performance review, itis very difficult for the supervisor and the employee to discuss the reviewwithout addressing their relationship and personal roles. Our personalities,beliefs, and values are intricately interwoven with our conflicts. However,principled negotiation says that people and the problem need to bedisentangled.

By separating people from the problem, we enable ourselves to recognizeothers’ uniqueness. Everyone has his or her own distinct thoughts andfeelings in different situations. Because we all perceive the worlddifferently, we have diverse emotional responses to conflict. By focusingdirectly on the people aspect of the problem, we become more aware ofthe personalities and idiosyncratic needs of those with whom we are inconflict.

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Perhaps most important, separating people from the problem encouragesus to be attentive to our relationships during conflict. Conflicts can strainrelationships, so it is important to be cognizant of how one’s behaviorduring conflict affects the other party. Rather than “beat up” on each other,it is useful to work together, alongside each other, and mutually confrontthe problem. When we separate people from the problem, we are moreinclined to work with others to solve problems. Fisher and Ury (1981)suggest that people in conflict need to “see themselves as working side byside, attacking the problem, not each other” (p. 11). Separating the peoplefrom the problem allows us to nurture and strengthen our relationshipsrather than destroy them.

Consider the earlier example of the supervisor and employee conflict overthe negative performance review. In order to separate the people from theproblem, both the supervisor and the employee need to discuss thenegative review by focusing on performance criteria and behavior issuesrather than personal attributes. The review indicated that the employeedidn’t meet performance objectives—the boss could say, “You didn’t getyour work done,” but in separating the people from the problem, the bosswould instead explain how the employee was unable to meet therequirements (“The number of contacts you made was below the requirednumber”). The employee, on the other hand, may feel the objectives wereunrealistic. Rather than telling her boss it was his fault (“You setunobtainable objectives”), the employee should make her point byproviding facts about how these standards are not realistic (“The economicdownturn wasn’t considered when these objectives were developed”). Byfocusing on the problem in this way, the employer and the employee aremaintaining their relationship but also confronting directly theperformance review issues.

Principle 2: Focus on Interests, Not Positions

The second principle, which is perhaps the most well known, emphasizesthat parties in a conflict must focus on interests and not just positions.Positions represent our stand or perspective in a particular conflict.Interests represent what is behind our positions. Stated another way,positions are the opposing points of view in a conflict while interests referto the relevant needs and values of the people involved. Fisher and Ury(1981) suggest that “your position is something you have decided upon.Your interests are what caused you to so decide” (p. 42).

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Focusing on interests expands conflict negotiation by encouragingindividuals to explore the unique underpinnings of the conflict. To identifyinterests behind a position, it is useful to look at the basic concerns thatmotivate people. Some of our concerns include needs for security,belonging, recognition, control, and economic well-being (Fisher & Ury,1981). Being attentive to these basic needs and helping people satisfy themis central to conflict negotiation.

Concentrating on interests also helps opposing parties to address the “real”conflict. Addressing both interests and positions helps to make conflictnegotiation more authentic. In his model of authentic leadership, RobertTerry (1993) advocates that leaders have a moral responsibility to ask thequestion “What is really, really going on in a conflict situation, and whatare we going to do about it?” Unless leaders know what truly is going on,their actions will be inappropriate and can have serious consequences.Focusing on interests is a good way to find out what is at the heart of aconflict.

Consider the following conflict between a college professor, Dr. Smith,and his student, Erin Crow, regarding class attendance. Dr. Smith has amandatory attendance policy, but allows for two absences during thesemester. A student’s grade is lowered 10% for each additional absence.Erin is a very bright student who has gotten As on all of her papers andtests. However, she has five absences and does not want to be penalized.Based on the attendance policy, Dr. Smith would lower Erin’s grade 30%,from an A to a C. Erin’s position in this conflict is that she shouldn’t bepenalized because she has done excellent work despite her absences. Dr.Smith’s position is that the attendance policy is legitimate and Erin’s gradeshould be lowered.

In this example, it is worthwhile to explore some of the interests that formthe basis for each position. For example, Erin is very reticent and does notlike to participate in class. She is carrying 18 credit hours and works twopart-time jobs. On the other hand, Dr. Smith is a popular professor whohas twice received university-wide outstanding teaching awards. He has 20years of experience and has a strong publication record in the area ofclassroom learning methodology. In addition, Dr. Smith has a need to beliked by students, and does not like to be challenged.

Given their interests, it is easy to see that the conflict between Erin and Dr.Smith over class attendance is more complex than meets the eye. If this

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conflict were to be settled by negotiating positions alone, the resolutionwould be relatively straightforward, and Erin would most likely bepenalized, leaving both parties unsatisfied. However, if the interests ofboth Erin and Dr. Smith were fully explored, the probability of a mutuallyagreeable outcome would be far more likely. Dr. Smith is likely torecognize that Erin has numerous obligations that impact her attendancebut are important for her economic well-being and security. On the otherhand, Erin may come to realize that Dr. Smith is an exemplary teacherwho fosters cohesiveness among students by expecting them to show upand participate in class. His needs for control and recognition arechallenged by Erin’s attendance and lack of class participation.

The challenge for Erin and Dr. Smith is to focus on their interests,communicate them to each other, and remain open to unique approaches toresolving their conflict.

Principle 3: Invent Options for Mutual Gains

The third strategy in effective conflict negotiation presented by Fisher andUry (1981) is to invent options for mutual gains. This is difficult to dobecause humans naturally see conflict as an either-or proposition. Weeither win or lose; we get what we want, or the other side gets what itwants. We feel the results will be favorable either to us or to the other side,and we do not see any other possible options.

However, this tendency to see conflict as a fixed choice proposition needsto be overcome by inventing new options to resolve the conflict to thesatisfaction of both parties. The method of principled negotiationemphasizes that we need to brainstorm and search hard for creativesolutions to conflict. We need to expand our options and not limitourselves to thinking there is a single best solution.

Focusing on the interests of the parties in conflict can result in this kind ofcreative thinking. By exploring where our interests overlap and dovetail,we can identify solutions that will benefit both parties. This process offulfilling interests does not need to be antagonistic. We can help each otherin conflict by being sensitive to each other’s interests and making it easier,rather than more difficult, for both parties to satisfy their interests. Usingthe earlier example of Dr. Smith and Erin, Erin could acknowledge Dr.Smith’s need for a consistent attendance policy and explain that she

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understands that it is important to have a policy to penalize less-than-committed students. She should make the case that the quality of herpapers indicates she has learned much from Dr. Smith and is as committedto the class as she can be, given her other obligations. Dr. Smith shouldexplain that he is not comfortable ignoring her absences and that it isunfair to other students who have also been penalized for missing class.They could agree that Erin’s grade will be lowered to a B, rather than a C.While neither party would be “victorious,” both would feel that the bestcompromise was reached given each person’s unique interests.

Principle 4: Insist on Using Objective Criteria

Finally, Fisher and Ury (1981) say that effective negotiation requires thatobjective criteria be used to settle different interests. The goal innegotiation is to reach a solution that is based on principle and not onpressure. Conflict parties need to search for objective criteria that will helpthem view their conflict with an unbiased lens. Objective criteria can takemany forms, including

precedent, which looks at how this issue has been resolvedpreviously;professional standards, which determine if there are rules orstandards for behavior based on a profession or trade involved in theconflict;what a court would decide, which looks at the legal precedent or legalramifications of the conflict;moral standards, which consider resolving the conflict based onethical considerations or “doing what’s right”;tradition, which looks at already established practices or customs inconsidering the conflict; andscientific judgment, which considers facts and evidence.

For example, if an employee and his boss disagree on the amount of asalary increase the employee is to receive, both the employee and the bossmight consider the raises of employees with similar positions and workrecords. When criteria are used effectively and fairly, the outcomes andfinal package are usually seen as wise and fair (Fisher & Ury, 1981).

In summary, the method of principled negotiation presents four practicalstrategies that leaders can employ in handling conflicts: separate the

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people from the problem; focus on interests, not positions; invent optionsfor mutual gains; and insist on using objective criteria. None of thesestrategies is a panacea for all problems or conflicts, but used together theycan provide a general, well-substantiated approach to settling conflicts inways that are likely to be advantageous to everyone involved in a conflictsituation.

Communication Strategies for Conflict ResolutionThroughout this chapter, we have emphasized the complexity of conflictand the difficulties that arise in addressing it. There is no universal remedyor simple path. In fact, except for a few newsstand-type books that claimto provide quick cures to conflict, only a few sources give practicaltechniques for resolution. In this section, we describe several practicalcommunication approaches that play a major role in the conflict resolutionprocess: differentiation, fractionation, and face saving. Using thesecommunication strategies can lessen the angst of the conflict, helpconflicting parties to reach resolution sooner, and strengthen relationships.

The Importance of Listening

Differentiation

Differentiation describes a process that occurs in the early phase ofconflict; it helps participants define the nature of the conflict and clarifytheir positions with regard to each other. It is very important to conflictresolution because it establishes the nature and parameters of the conflict.Differentiation requires that individuals explain and elaborate their ownposition, frequently focusing on their differences rather than theirsimilarities. It is essential to working through a conflict (Putnam, 2010).Differentiation represents a difficult time in the conflict process because itis more likely to involve an escalation of conflict rather than a cooling off.During this time, fears may arise that the conflict will not be successfullyresolved. Differentiation is also difficult because it initially personalizesthe conflict and brings out feelings and sentiments in people that theythemselves are the cause of the conflict (Folger, Poole, & Stutman, 1993).

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The value of differentiation is that it defines the conflict. It helps bothparties realize how they differ on the issue being considered. Being awareof these differences is useful for conflict resolution because it focuses theconflict, gives credence to both parties’ interests in the issue that is inconflict, and, in essence, depersonalizes the conflict. Consistent withFisher and Ury’s (1981) method of negotiation, differentiation is a way toseparate the people from the problem.

An example of differentiation involves a group project. Members of thegroup have complained to the instructor that one member, Jennifer, seldomcomes to meetings; when she does come, she does not contribute to thegroup discussions. The instructor met with Jennifer, who defended herselfby stating that the group constantly set meeting times that conflict with herwork schedule. She believes they do so on purpose to exclude her. Theteacher arranged for the students to sit down together, and then had themexplain their differing points of view to one another. The group memberssaid that they believed that Jennifer cared less about academicachievement than they did because she did not seem willing to adjust herwork schedule to meet with them. Jennifer, on the other hand, said shebelieved the others did not respect that she had to work to support herselfwhile going to school, and that she was not in total control of her workschedule.

Resolving Intergroup Conflict

In the above example, differentiation occurred among group members asthey attempted to assess the issues. It was a difficult process because itdemanded that each participant talk about his or her feelings about why thegroup was having conflict. Both sides ultimately understood the other’sdiffering viewpoints. The group and Jennifer set aside a definite time eachweek when they would meet, and Jennifer made sure her supervisor didnot schedule her to work at that time.

Fractionation

Fractionation refers to the technique of breaking down large conflicts into

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smaller, more manageable pieces (Fisher, 1971; Wilmot & Hocker, 2011).Like differentiation, fractionation usually occurs in the early stages of theconflict resolution process. It is an intentional process in which theparticipants agree to “downsize” a large conflict into smaller conflicts andthen confront just one part of the larger conflict. Fractionating conflict ishelpful for several reasons. First, fractionation reduces the conflict byparing it down to a smaller, less complex conflict. It is helpful forindividuals to know that the conflict they are confronting is not a hugeamorphous mass of difficulties, but rather consists of specific and defineddifficulties. Second, it gives focus to the conflict. By narrowing downlarge conflicts, individuals give clarity and definition to their difficultiesinstead of trying to solve a whole host of problems at once. Third,downsizing a conflict helps to reduce the emotional intensity of thedispute. Smaller conflicts carry less emotional weight (Wilmot & Hocker,2011). Last, fractionation facilitates a better working relationship betweenparticipants in the conflict. In agreeing to address a reduced version of aconflict, the participants confirm their willingness to work with oneanother to solve problems.

An example of fractionation at work involves David Stedman, anexperienced director of a private school that was on the verge of closingdue to low enrollment. School board members were upset with David’sleadership and the direction of the school, and David was disappointedwith the board. The school had been running on a deficit budget for theprevious three years and had used up most of the endowment money it hadset aside. The school’s board members saw the problem one way: Theschool needed more students. David knew it was not that simple. Therewere many issues behind the low enrollment: the practices for recruitmentof students, retention of students, fund-raising, marketing, and out-of-datetechnology at the school, as well as bad feelings between the parents andthe school. In addition to these concerns, David had responsibility for day-to-day operations of the school and decisions regarding the education ofstudents. David asked the board members to attend a weekend retreatwhere, together, they detailed the myriad problems facing the school andnarrowed the long list down to three difficulties that they would addresstogether. They agreed to work on an aggressive recruitment plan, fund-raising efforts, and internal marketing toward parents so they would keeptheir children at the school.

In the end, the retreat was beneficial to both David and the board. The big

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conflict of “what to do about the school” was narrowed down to threespecific areas they could address. In addition, the school board developedan appreciation for the complexity and difficulties of running the school,and David softened his negative feelings about the school board and itsmembers’ input. As a result of fractionating their conflict, David Stedmanand the school board developed a better working relationship andconfirmed their willingness to work on problems in the future.

Face Saving

A third skill that can assist a leader in conflict resolution is face saving.Face saving refers to communicative attempts to establish or maintainone’s self-image in response to threat (Folger et al., 1993; Goffman, 1967;Lulofs, 1994). Face-saving messages help individuals establish how theywant to be seen by others. The goal of face-saving messages is to protectone’s self-image.

In conflict, which is often threatening and unsettling, participants maybecome concerned about how others view them in regard to the positionsthey have taken. This concern for self can be counterproductive to conflictresolution because it shifts the focus of the conflict away from substantiveissues and onto personal issues. Instead of confronting the central concernsof the conflict, face-saving concerns force participants to deal with theirself-images as they are related to the conflict.

Face Saving

Interpersonal conflicts can be made less threatening if individualscommunicate in a way that preserves the self-image of the other. Conflictissues should be discussed in a manner that minimizes threat to theparticipants. By using face-saving messages, such as “I think you aremaking a good point, but I see things differently,” one personacknowledges another’s point of view without making the other personfeel stupid or unintelligent. The threat of conflict is lessened if participantstry to support each other’s self-image rather than to damage it just to winan argument. It is important to be aware of how people want to be seen byothers, how conflict can threaten those desires, and how our

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communication can minimize those threats (Lulofs, 1994).

In trying to resolve conflicts, face saving should be a concern toparticipants for two reasons. First, if possible, participants should try toavoid letting the discussions during conflict shift to face-threateningissues. Similar to Fisher and Ury’s (1981) principle of separating thepeople from the problem, this can be done by staying focused on contentissues and maintaining interactions that do not challenge the other person’sself-image. Second, during the later stages of conflict, face-savingmessages can actually be used to assist participants in giving each othervalidation and support for how they have come across during conflict.Face-saving messages can confirm for others that they have handledthemselves appropriately during conflict and that their relationship is stillhealthy.

The following example illustrates how face saving can affect conflictresolution. At a large university hospital, significant disruptions occurredwhen 1,000 nurses went on strike after contract negotiations failed. Theissues in the conflict were salary, forced overtime, and mandatorycoverage of units that were short-staffed. There was much name-callingand personal attacks between nurses and administrators. Early negotiationswere inhibited by efforts on both sides to establish an image with thepublic that what they were doing was appropriate, given the circumstances.As a result, these images and issues of right and wrong, rather than thesubstantive issues of salary and overtime, became the focus of the conflict.If the parties had avoided tearing each other down, perhaps the conflictcould have been settled sooner.

Despite these difficulties, face-saving messages did have a positive effecton this conflict. During the middle of the negotiations, the hospital ran afull-page advertisement in the local newspaper describing its proposal andwhy it thought this proposal was misunderstood. At the end of the ad, thehospital stated, “We respect your right to strike. A strike is a peaceful andpowerful means by which you communicate your concern ordissatisfaction.” This statement showed that the administration was tryingto save face for itself, but also it was attempting to save face for nurses byexpressing that their being on strike was not amoral, and that the hospitalwas willing to accept the nurses’ behavior and continue to have a workingrelationship with them. Similarly, the media messages that both partiesreleased at the end of the strike included affirmation of the other party’s

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self-image. The nurses, who received a substantial salary increase, did nottry to claim victory or point out what the hospital lost in the negotiations.In turn, the hospital, which retained control of the use of staff for overtime,did not emphasize what it had won or communicate that it thought thenurses were unprofessional because they had gone out on strike. The pointis that these gentle face-saving messages helped both sides to feel goodabout themselves, reestablish their image as effective health careproviders, and salvage their working relationships.

All in all, there are no shortcuts to resolving conflicts. It is a complexprocess that requires sustained communication. By being aware ofdifferentiation, fractionation, and face saving, leaders can enhance theirabilities and skills in the conflict resolution process.

Kilmann and Thomas Styles of ApproachingConflictThere’s no doubt that people have different ways of handling conflict andthat these different styles affect the outcomes of conflict. A conflict styleis defined as a patterned response or behavior that people use whenapproaching conflict. One of the most widely recognized models ofconflict styles was developed by Kilmann and Thomas (1975, 1977), basedon the work of Blake and Mouton (1964), and is the basis for our ConflictStyle Questionnaire on pages 269–271.

The Kilmann–Thomas model identifies five conflict styles: (1) avoidance,(2) competition, (3) accommodation, (4) compromise, and (5)collaboration. This model (see Figure 11.3) describes conflict styles alongtwo dimensions: assertiveness and cooperativeness. Assertiveness refers toattempts to satisfy one’s own concerns, while cooperativeness representsattempts to satisfy the concerns of others. Each conflict style ischaracterized by how much assertiveness and how much cooperativenessan individual shows when confronting conflict.

In conflict situations, a person’s individual style is usually a combinationof these five different styles. Nevertheless, because of past experiences orsituational factors, some people may rely more heavily on one conflictstyle than on others. Understanding these styles can help you select theconflict style that is most appropriate to the demands of the situation.

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Figure 11.3 Styles of Approaching Conflict

Sources: Reproduced with permission of authors and publisher fromKilmann, R. H., & Thomas, K. W. Interpersonal conflict-handlingbehavior as reflections of Jungian personality dimensions.Psychological Reports, 1975, 37, 971–980. © Psychological Reports,1975.

Avoidance

Avoidance is both an unassertive and an uncooperative conflict style.Those who favor the avoidance style tend to be passive and ignore conflictsituations rather than confront them directly. They employ strategies suchas denying there is a conflict, using jokes as a way to deflect conflict, ortrying to change the topic. Avoiders are not assertive about pursuing theirown interests, nor are they cooperative in assisting others to pursue theirs.

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Advantages and Disadvantages. Avoidance as a style for managingconflict is usually counterproductive, often leading to stress and furtherconflict. Those who continually avoid conflict bottle up feelings ofirritation, frustration, anger, or rage inside themselves, creating moreanxiety. Avoidance is essentially a static approach to conflict; it doesnothing to solve problems or to make changes that could prevent conflicts.

However, there are some situations in which avoidance may be useful—for example, when an issue is of trivial importance or when the potentialdamage from conflict would be too great. Avoidance can also provide acooling-off period to allow participants to determine how to best resolvethe conflict at a later time. For example, if Jan is so angry at her girlfriendthat she throws her cell phone at the wall, she might want to go for a ridein her car or take a walk and cool down before she tries to talk to hergirlfriend about the problem.

Competition

Competition is a conflict style of individuals who are highly assertiveabout pursuing their own goals but uncooperative in assisting others toreach theirs. These individuals attempt to resolve a struggle by controllingor persuading others in order to achieve their own ends. A competitivestyle is essentially a win-lose conflict strategy. For example, when Wendyseeks to convince Chris that he is a bad person because he habituallyshows up late for meetings, regardless of his reasons for doing so, it is awin-lose conflict style.

Advantages and Disadvantages. In some situations, competition canproduce positive outcomes. It is useful when quick, decisive action isneeded. Competition can also generate creativity and enhance performancebecause it challenges participants to make their best efforts.

Generally, though, competitive approaches to conflict are not the mostadvantageous because they are more often counterproductive thanproductive. Resolution options are limited to one party “beating” another,resulting in a winner and a loser. Attempts to solve conflict withdominance and control will often result in creating unstable situations andhostile and destructive communication. Finally, competition isdisconfirming; in competition, individuals fail to recognize the concernsand needs of others.

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Accommodation

Accommodation is an unassertive but cooperative conflict style. Inaccommodation, an individual essentially communicates to another, “Youare right, I agree; let’s forget about it.” An approach that is “otherdirected,” accommodation requires individuals to attend very closely to theneeds of others and ignore their own needs. Using this style, individualsconfront problems by deferring to others.

Advantages and Disadvantages. Accommodation allows individuals tomove away from the uncomfortable feelings that conflict inevitablyproduces. By yielding to others, individuals can lessen the frustration thatconflict creates. This style is productive when the issue is more importantto one party than the other or if harmony in the relationship is the mostimportant goal.

The problem with accommodation is that it is, in effect, a lose-winstrategy. Although accommodation may resolve conflict faster than someof the other approaches, the drawback is that the accommodator sacrificeshis or her own values and possibly a higher-quality decision in order tomaintain smooth relationships. It is a submissive style that allows others totake charge. Accommodators also lose because they may fail to expresstheir own opinions and feelings and their contributions are not fullyconsidered.

For example, Jenny’s boyfriend is a sports fanatic and always wants tostay home and watch televised sports while Jenny would like to dosomething like go to a movie or to a club. But to make him happy, Jennystays home and watches football.

Compromise

As Figure 11.3 indicates, compromise occurs halfway betweencompetition and accommodation and involves both a degree ofassertiveness and a degree of cooperativeness. Many see compromise as a“give and take” proposition. Compromisers attend to the concerns ofothers as well as to their own needs. On the diagonal axis of Figure 11.3,compromise occurs midway between the styles of avoidance andcollaboration. This means that compromisers do not completely ignoreconfrontations, but neither do they struggle with problems to the fullest

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degree. This conflict style is often chosen because it is expedient in findingmiddle ground while partially satisfying the concerns of both parties.

Compromise

Advantages and Disadvantages. Compromise is a positive conflict stylebecause it requires attending to one’s goals as well as others’. Compromisetends to work best when other conflict styles have failed or aren’t suitableto resolving the conflict. Many times, compromise can force an equalpower balance between parties.

Among the shortcomings of the compromise style is that it does not go farenough in resolving conflict and can become “an easy way out.” In orderto reach resolution, conflicting parties often don’t fully express their owndemands, personal thoughts, and feelings. Innovative solutions aresacrificed in favor of a quick resolution, and the need for harmonysupersedes the need to find optimal solutions to conflict. The result is thatneither side is completely satisfied. For example, Pat wants to go on acamping vacation, and Mike wants to have a “staycation,” hanging aroundthe house. In the end, they agree to spend their vacation taking day trips tothe beach and the zoo.

Collaboration

Collaboration, the most preferred style of conflict, requires bothassertiveness and cooperation. It is when both parties agree to a positivesettlement to the conflict and attend fully to the other’s concerns while notsacrificing or suppressing their own. The conflict is not resolved until eachside is reasonably satisfied and can support the solution. Collaboration isthe ideal conflict style because it recognizes the inevitability of humanconflict. It confronts conflict, and then uses conflict to produceconstructive outcomes.

Advantages and Disadvantages. The results of collaboration are positivebecause both sides win, communication is satisfying, relationships arestrengthened, and negotiated solutions are frequently more cost-effectivein the long run.

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Unfortunately, collaboration is the most difficult style to achieve. Itdemands energy and hard work among participants as well as sharedcontrol. Resolving differences through collaboration requires individualsto take time to explore their differences, identify areas of agreement, andselect solutions that are mutually satisfying. This often calls for extendedconversation in which the participants explore entirely new alternatives toexisting problems. For example, residents of a residential neighborhoodseek to have an adult entertainment facility in their midst close or leave.The owner refuses. The residents work with city officials to find analternative location to relocate the facility, and the city gives the facility’sowner tax breaks to move.

The five styles of approaching conflict—avoidance, competition,accommodation, compromise, and collaboration—can be observed invarious conflict situations. Although there are advantages anddisadvantages to each style, the conflict-handling style that meets theneeds of the participants while also fitting the demands of the situation willbe most effective in resolving conflict.

SummaryFor leaders and followers alike, interpersonal conflict is inevitable.Conflict is defined as a felt struggle between two or more individuals overperceived incompatible differences in beliefs, values, and goals, or overdifferences in desires for esteem, control, and connectedness. If it ismanaged in appropriate ways, conflict need not be destructive but can beconstructive and used to positive ends.

Communication plays a central role in conflict and in its resolution.Conflict occurs between leaders and others on two levels: content andrelational. Conflict on the content level involves differences in beliefs,values, or goal orientation. Conflict on the relational level refers todifferences between individuals with regard to their desires for esteem,control, and affiliation in their relationships. Relational conflicts areseldom overt, which makes them difficult for people to recognize andresolve.

One approach to resolving conflicts is the method of principled negotiationby Fisher and Ury (1981). This model focuses on four basic elements ofnegotiation—people, interests, options, and criteria—and describes four

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principles related to handling conflicts: Principle 1—Separate the PeopleFrom the Problem; Principle 2—Focus on Interests, Not Positions;Principle 3—Invent Options for Mutual Gains; and Principle 4—Insist onUsing Objective Criteria. Collectively, these principles are extraordinarilyuseful in negotiating positive conflict outcomes.

Three practical communication approaches to conflict resolution aredifferentiation, fractionation, and face saving. Differentiation is a processthat helps participants to define the nature of the conflict and to clarifytheir positions with one another. Fractionation refers to the technique ofparing down large conflicts into smaller, more manageable conflicts. Facesaving consists of messages that individuals express to each other in orderto maintain each other’s self-image during conflict. Together or singly,these approaches can assist leaders in making the conflict resolutionprocess more productive.

Finally, researchers have found that people approach conflict using fivestyles: (1) avoidance, (2) competition, (3) accommodation, (4)compromise, and (5) collaboration. Each of these styles characterizesindividuals in terms of the degree of assertiveness and cooperativenessthey show when confronting conflict. The most constructive approach toconflict is collaboration, which requires that individuals recognize,confront, and resolve conflict by attending fully to others’ concernswithout sacrificing their own. Managing conflicts effectively leads tostronger relationships among participants and more creative solutions toproblems.

Glossary Termsaccommodation 261avoidance 260collaboration 262competition 261compromise 262conflict 240conflict style 259content conflicts 242content dimension 242differentiation 255face saving 257

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fractionation 256principled negotiation 250relational conflicts 247relationship dimension 242

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Application

11.1 Case Study: Office SpaceThe five members of the Web programming department at a marketingcompany are being relocated to a new space in their building. The movecame as a big surprise; the head of the company decided to cut costs byleasing less space, and with just a few days’ notice, the department wasrelocated.

The new space is a real change from what the programmers are used to.Their old space was a big open room with one wall of floor-to-ceilingwindows. Their desks all faced each other, which allowed them toeasily talk and collaborate with one another. The new office space has arow of five cubicles along a wall in a long, narrow room. Four of thecubicles have windows; the fifth, which is slightly larger than theothers, is tucked into a windowless corner. The cubicle walls are 6 feettall, and when they are at their desks working, the programmers can nolonger see one another.

The team leader, Martin, assigned the cubicles that each programmerhas moved into. He put himself in the first cubicle with Rosa, Sanjay,and Kris in the next three cubicles with windows. Bradley was giventhe larger cubicle in the corner.

Bradley is the first to complain. When he sees his new space, he goes toMartin and asks for a different cubicle, one with a window. He arguesthat he has been employed there longer than the other programmers and

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should get to choose his cubicle rather than be told where he is going tobe. Because he and Martin work very closely on a number of projects,Bradley feels he should be in the cubicle next to Martin, rather than theone farthest away.

Sanjay is also upset. He is in the middle cubicle with Rosa and Kris oneither side of him. Rosa and Kris used to have desks next to each otherin the bigger space and would banter back and forth with one anotherwhile working. Now that they are in the row of cubicles, they still try tochat with one another, but to do so, they more or less shout to eachother over Sanjay’s space. When Martin offers to let him trade placeswith Bradley as a solution, Sanjay says he doesn’t want to give up hiswindow.

Martin leaves everyone where they are. He hasn’t told them, but hepurposely put Sanjay between Rosa and Kris in order to discouragetheir constant chatting, which he viewed as a time-wasting activity.Martin also felt like the larger cube was better for Bradley because hehas more computer equipment than the other programmers.

During the next two months, the Web programming department starts toexperience a lot of tension. Sanjay seems to be in a bad mood on a dailybasis. When Rosa and Kris start chatting with each other over thecubicles, he asks them loudly, “Will you please just work and stopshouting to each other?” or says sarcastically, “I’m trying to workhere!” As a result, either Rosa or Kris will leave her cubicle to walkdown to the other’s space to chat, having conversations that last longerthan their old bantering back and forth used to.

Bradley stays in his corner cubicle and avoids talking to the otherprogrammers. He believes that Martin purposely gave him whatBradley perceives is the worst cubicle but doesn’t know what he did todeserve being treated this way. He is resentful of the other staffmembers who have windows in their cubicles and feels like Martinmust think more highly of Rosa, Kris, and Sanjay than he does ofBradley. As Bradley observes Rosa and Kris spending more timetalking and less time working and the crabbiness from Sanjay, hebecomes very upset with Martin. It seems Martin is rewarding theprogrammers who behave the worst!

Bradley becomes even more reclusive at work and avoids talking to theother programmers, especially Martin. He communicates with themmainly by email messages, even though he’s only a few yards awayfrom some of them. He no longer collaborates closely with Martin;instead he tries to work on projects without involving Martin.

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Unfortunately, if he encounters a problem that he needs Martin’s helpfor, Bradley will try to solve it himself. Often, Martin won’t even knowthere is a problem that needs to be solved until Bradley realizes he can’tsolve it alone and the problem becomes a crisis.

The only time all five of the programmers actually see one another is inweekly staff meetings, which are held in a conference room with a largetable and a dozen chairs. In their old space, they didn’t have weeklymeetings because they were able to talk about projects and scheduleswith each other whenever it was needed. In their new staff meetings, itseems like Martin is doing all the talking. Rosa and Kris sit on one sideof the table and try to ignore Sanjay who sits by himself across fromthem. Bradley sits at the far end of the table at least two chairs awayfrom everyone else.

After another unproductive staff meeting where no one spoke or lookedat one another, Martin sits at the head of the conference table after theother programmers have left with his head in his hands. He doesn’tknow what has happened to the cohesive team he used to lead and whythings changed. It seems absolutely ridiculous to him that this is allabout space.

Questions1. How would you describe the conflict that has arisen between the

members of the Web programming department?2. Is the conflict a relational conflict? If so, what type of relational

conflict? Is there a content dimension to this conflict?3. Using Fisher and Ury’s method of principled negotiation, how

would you separate the people from the problem? What do youthink is really, really going on in this conflict?

4. Using the Kilmann and Thomas conflict styles, how would youcharacterize Sanjay’s conflict style? What about Bradley’s? DoRosa and Kris have a style as well?

5. How could Martin use fractionation and face saving in attemptingto resolve this conflict?

11.2 Conflict Style Questionnaire

Purpose

1. To identify your conflict style2. To examine how your conflict style varies in different contexts or

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relationships

Directions

1. Think of two different situations (A and B) where you have aconflict, a disagreement, an argument, or a disappointment withsomeone, such as a roommate or a work associate. Write the nameof the person for each situation below.

2. According to the scale below, fill in your scores for Situation Aand Situation B. For each question, you will have two scores. Forexample, on Question 1 the scoring might look like this: 1. 2 | 4

3. Write the name of each person for the two situations here:Person A ______________________________ Person B_______________________________1 = never 2 = seldom 3 = sometimes 4 = often 5 =always

Person A Person B

1. _____|____ I avoid being “put on the spot”; I keep conflicts tomyself.

2. _____|____ I use my influence to get my ideas accepted.

3. _____|____ I usually try to “split the difference” in order toresolve an issue.

4. _____|____ I generally try to satisfy the other’s needs.

5. _____|____ I try to investigate an issue to find a solutionacceptable to both of us.

6. _____|____ I usually avoid open discussion of my differenceswith the other.

7. _____|____ I use my authority to make a decision in myfavor.

8. _____|____ I try to find a middle course to resolve animpasse.

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9. _____|____ I usually accommodate the other’s wishes.

10. _____|____ I try to integrate my ideas with the other’s tocome up with a decision jointly.

11. _____|____ I try to stay away from disagreement with theother.

12. _____|____ I use my expertise to make a decision that favorsme.

13. _____|____ I propose a middle ground for breakingdeadlocks.

14. _____|____ I give in to the other’s wishes.

15. _____|____ I try to work with the other to find solutions thatsatisfy both our expectations.

16. _____|____ I try to keep my disagreement to myself in orderto avoid hard feelings.

17. _____|____ I generally pursue my side of an issue.

18. _____|____ I negotiate with the other to reach acompromise.

19. _____|____ I often go with the other’s suggestions.

20. _____|____ I exchange accurate information with the otherso we can solve a problem together.

21. _____|____ I try to avoid unpleasant exchanges with theother.

22. _____|____ I sometimes use my power to win.

23. _____|____ I use “give and take” so that a compromise canbe made.

24. _____|____ I try to satisfy the other’s expectations.

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25. _____|____ I try to bring all our concerns out in the open sothat the issues can be resolved.

Source: Adapted from “Confirmatory Factor Analysis of the Styles of HandlingInterpersonal Conflict: First-Order Factor Model and Its Invariance Across Groups,”by M. A. Rahim and N. R. Magner, 1995, Journal of Applied Psychology, 80(1), 122–132. In W. Wilmot and J. Hocker (2011), Interpersonal Conflict (pp. 146–148).Published by the American Psychological Association.

Scoring: Add up your scores on the following questions:

A | B A | B A | B A | B A | B

1.____|____

6.____|____

11.____|____

16.____|____

21.____|____

2.____|____

7.____|____

12.____|____

17.____|____

22.____|____

3.____|____

8.____|____

13.____|____

18.____|____

23.____|____

4. ____|____

9. ____|____

14. ____|____

19. ____|____

24. ____|____

5. ____|____

10.____|____

15.____|____

20.____|____

25.____|____

____|____

A | B

AvoidanceTotals

____|____

A | B

CompetitionTotals

____|____

A | B

CompromiseTotals

____|____

A | B

AccommodationTotals

____|____

A | B

CollaborationTotals

Scoring Interpretation

This questionnaire is designed to identify your conflict style andexamine how it varies in different contexts or relationships. Bycomparing your total scores for the different styles, you can discoverwhich conflict style you rely most heavily upon and which style you useleast. Furthermore, by comparing your scores for Person A and PersonB, you can determine how your style varies or stays the same indifferent relationships. Your scores on this questionnaire are indicativeof how you responded to a particular conflict at a specific time and

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therefore might change if you selected a different conflict or a differentconflict period. The Conflict Style Questionnaire is not a personalitytest that labels or categorizes you; rather, it attempts to give you a senseof your more dominant and less dominant conflict styles.

Scores from 21 to 25 are representative of a very strong style.Scores from 16 to 20 are representative of a strong style.Scores from 11 to 15 are representative of an average style.Scores from 6 to 10 are representative of a weak style.Scores from 0 to 5 are representative of a very weak style.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsuggestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

11.3 Observational Exercise

Managing Conflict

Purpose

1. To become aware of the dimensions of interpersonal conflict2. To explore how to use Fisher and Ury’s (1981) method of

principled negotiation to address actual conflict

Directions

1. For this exercise, you are being asked to observe an actualconflict. Attend a public meeting at which a conflict is beingaddressed. For example, you could attend a meeting of the campusplanning board, which has on its agenda changes in studentparking fees.

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2. Take notes on the meeting, highlighting the positions and interestsof all the people who participated in the meeting.

Questions

1. How did the participants at the meeting frame their arguments?What positions did individuals take at the meeting?

2. Identify and describe the interests of each of the participants at themeeting.

3. Discuss whether the participants were able to be objective in theirapproaches to the problem. Describe how the people involvedwere able to separate themselves from the problem.

4. In what ways did the participants seek to find mutually beneficialsolutions to their conflict?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

11.4 Reflection and Action Worksheet

Managing Conflict

Reflection

1. How do you react to conflict? Based on the Conflict StyleQuestionnaire, how would you describe your conflict style? Howhas your past history influenced your conflict style?

2. This chapter describes three kinds of relational conflict (i.e.,esteem, control, affiliation). Of the three kinds, which is mostcommon in the conflicts you have with others? Discuss.

Action

1. Briefly describe an actual conflict you had with a family member,roommate, or coworker in the recent past. Identify the positionsand interests of both you and the other person in the conflict.(Note: Individuals’ positions may be easier to identify than theirinterests. Be creative in detailing your interests and the other

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person’s.)2. Describe how you could fractionate the conflict.3. Using Fisher and Ury’s (1981) methods, describe how you could

separate the person from the problem and how you could worktogether to address the conflict. During your discussions, howcould you help the other party in the conflict save face? Howcould the other party help you save face?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesBlake, R. R., & Mouton, L. S. (1964). The managerial grid. Houston, TX:

Gulf.

Brown, C. T., & Keller, P. W. (1979). Monologue to dialogue: Anexploration of interpersonal communication. Englewood Cliffs, NJ:Prentice-Hall.

Faruqi, A. (Producer), & Obaid-Chinoy, S. (Director). (2013). Humaira:The dreamcatcher [Motion picture]. Pakistan: SOC films.

Fisher, R. (1971). Fractionating conflict. In C. G. Smith (Ed.), Conflictresolution: Contributions of the behavioral sciences (pp. 157–159).South Bend, IN: University of Notre Dame Press.

Fisher, R., & Ury, W. (1981). Getting to yes: Negotiating agreementwithout giving in. New York, NY: Penguin Books.

Folger, J. P., Poole, M. S., & Stutman, R. K. (1993). Working throughconflict: Strategies for relationships, groups, and organizations (2nded.). Glenview, IL: Scott, Foresman.

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Goffman, E. (1967). Interaction ritual: Essays on face-to-face behavior.New York, NY: Anchor Books.

Hocker, J. L., & Wilmot, W. W. (1995). Interpersonal conflict (4th ed.).Dubuque, IA: W. C. Brown.

Kilmann, R. H., & Thomas, K. W. (1975). Interpersonal conflict-handlingbehavior as reflections of Jungian personality dimensions. PsychologicalReports, 37(3), 971–980.

Kilmann, R. H., & Thomas, K. W. (1977). Developing a forced-choicemeasure of conflict handling behavior: The “mode” instrument.Educational and Psychology Measurement, 37(2), 309–325.

Knutson, T., Lashbrook, V., & Heemer, A. (1976). The dimensions ofsmall group conflict: A factor analytic study. Paper presented to theannual meeting of the International Communication Association,Portland, OR.

Lulofs, R. S. (1994). Conflict: From theory to action. Scottsdale, AZ:Gorsuch Scarisbrick.

Maslow, A. (1970). Motivation and personality (2nd ed.). New York, NY:Harper & Row.

Putnam, L. L. (2010). Communication as changing the negotiation game.Journal of Applied Communication Research, 38(4), 325–335.

Rahi, S. (Producer). (2010, December 10). Humaira Bachal documentary[Motion picture]. Dawn News. Retrieved June 10, 2013, fromwww.youtube.com/watch?v=3Hs2hxrY_HI

Schutz, W. C. (1966). The interpersonal underworld. Palo Alto, CA:

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Science and Behavior Books.

Temple-Raston, D. (2013, January 3). After fighting to go to school, aPakistani woman builds her own. Weekend Edition Sunday [Radio newsprogram]. Retrieved fromhttp://www.npr.org/2013/01/06/168565152/after-fighting-to-go-to-school-a-pakistani-woman-builds-her-own

Terry, R. W. (1993). Authentic leadership: Courage in action. SanFrancisco, CA: Jossey-Bass.

Watzlawick, P., Beavin, J., & Jackson, D. D. (1967). Pragmatics of humancommunication. New York, NY: Norton.

Wilmot, W. W., & Hocker, J. (2011). Interpersonal conflict (8th ed.). NewYork, NY: McGraw-Hill.

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12 Addressing Ethics in Leadership

IntroductionLeadership has a moral dimension because leaders influence the lives ofothers. Because of this influential dimension, leadership carries with it anenormous ethical responsibility. Hand in hand with the authority to makedecisions is the obligation a leader has to use his or her authority for thecommon good. Because the leader usually has more power and controlthan followers have, leaders have to be particularly sensitive to how theirleadership affects the well-being of others.

What is Ethical Leadership and Why is it Relevant?

In recent years, there have been an overwhelming number of scandals inthe public and private sectors. Accounting and financial scandals haveoccurred at some of the largest companies in the world, includingAdelphia, Enron, Tyco International, and WorldCom. In addition, therehave been stories of sexual abuse in the Catholic Church, sexual assaultswithin the U.S. military, and a multitude of sexual scandals in the lives ofpublic figures including governors, U.S. senators, and mayors, to name buta few. As a result of such high-profile scandals, people are becomingsuspicious of public figures and what they do. The public strongly seeksmoral leadership.

As mentioned in Chapter 1, “Understanding Leadership,” the overridingpurpose of this book is to discover “what it takes to be a leader.” Closelyrelated to this question, and perhaps even more important, is “what it takesto be an ethical leader.” That query is the focus of this chapter. This meansour emphasis will be on describing how people act when they show ethicalleadership. While it is always intriguing to know whether one is or is notperceived by others to be ethical, our emphasis will not be directed towardwhether you are or are not ethical, but rather we will focus on theproperties and characteristics of ethical leadership. The assumption we aremaking is that if you understand the nature of ethical leadership, you will

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be better equipped to engage in ethical leadership.

Before we discuss the factors that account for ethical leadership, you maywant to go to the end of the chapter and take the Ethical Leadership StyleQuestionnaire (12.2). It will help you understand your own ethicalleadership style and at the same time introduce you to the ideas we will bediscussing in this chapter.

Leadership Ethics ExplainedTo begin, it is important to first define ethical leadership. In the simplestterms, ethical leadership is the influence of a moral person who movesothers to do the right thing in the right way for the right reasons (Ciulla,2003). Put another way, ethical leadership is a process by which a goodperson rightly influences others to accomplish a common good: to makethe world better, fairer, and more humane.

Defining Ethical Leadership

Ethics is concerned with the kind of values and morals an individual orsociety finds desirable or appropriate. In leadership, ethics has to do withwhat leaders do and the nature of leaders’ behavior, including theirmotives. Because leaders often have control, power, and influence overothers, their leadership affects other individuals and organizations.Because of this, it is the leader’s ethics—through his or her behavior,decisions, and interactions—that establish the ethical climate for anorganization.

Leadership Ethics in PracticeLeadership ethics is a complex phenomenon with multiple parts thatoverlap and are interconnected. When trying to practice ethical leadership,there are six factors (Figure 12.1) that should be of special importance toleaders. Each of these factors plays a role in who leaders are and what theydo when they are engaged in ethical leadership.

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Figure 12.1 Factors Related to Ethical Leadership

1. The character of the leader2. The actions of the leader3. The goals of the leader4. The honesty of the leader5. The power of the leader6. The values of the leader

1. The Character of the LeaderThe character of the leader is a fundamental aspect of ethical leadership.When it is said that a leader has strong character, that leader is seen as agood and honorable human being. The leader’s character refers to thequalities, disposition, and core values of the leader. More than 2,000 yearsago, Aristotle argued that a moral person demonstrates the virtues of

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courage, generosity, self-control, honesty, sociability, modesty, fairness,and justice (Velasquez, 1992). Today, all these qualities still contribute toa strong character.

The Philosopher Leader

Character is something that is developed. In recent years, the nation’sschools have seen a growing interest in character education. Misbehaviorof public figures has led to mistrust of public figures, which has led to thepublic demanding that educators do a better job of training children to begood citizens. As a result, most schools today teach character education aspart of their normal curriculum. A model for many of these programs wasdeveloped by the Josephson Institute (2008) in California, which framesinstruction around six dimensions of character: trustworthiness, respect,responsibility, fairness, caring, and citizenship (see Table 12.1). Based onthese and similar character dimensions, schools are emphasizing theimportance of character and how core values influence an individual’sethical decision making.

Although character is clearly at the core of who you are as a person, it isalso something you can learn to strengthen and develop. A leader can learngood values. When practiced over time, from youth to adulthood, goodvalues become habitual, and a part of people themselves. By telling thetruth, people become truthful; by giving to the poor, people becomecharitable; and by being fair to others, people become just. Your virtues,and hence your character, are derived from your actions.

An example of a leader with strong character is Nobel Peace Prize winnerNelson Mandela (see page 27). Mandela was a deeply moral man with astrong conscience. When fighting to abolish apartheid in South Africa, hewas unyielding in his pursuit of justice and equality for all. When he wasin prison and was offered the chance to leave early in exchange fordenouncing his viewpoint, he chose to remain incarcerated rather thancompromise his position. In addition to being deeply concerned for others,Mandela was a courageous, patient, humble, and compassionate man. Hewas an ethical leader who ardently believed in the common good.

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Mandela clearly illustrates that character is an essential component ofmoral leadership. Character enables a leader to maintain his or her coreethical values even in times of immense adversity. Character forms thecenterpiece of a person’s values, and is fundamental to ethical leadership.

2. The Actions of the LeaderIn addition to being about a leader’s character, ethical leadership is aboutthe actions of a leader. Actions refer to the ways a leader goes aboutaccomplishing goals. Ethical leaders use moral means to achieve theirgoals. The way a leader goes about his or her work is a critical determinantof whether he or she is an ethical leader. We may all be familiar with theMachiavellian phrase “the ends justify the means,” but an ethical leaderkeeps in mind a different version of this and turns it into a question: “Dothe ends justify the means?” In other words, the actions a leader takes toaccomplish a goal need to be ethical. They cannot be justified by thenecessity or importance of the leader’s goals. Ethical leadership involvesusing morally appropriate actions to achieve goals.

Table 12.1 The Six Pillars of CharacterTable 12.1 The Six Pillars of Character

Trustworthiness

Trustworthiness is the most complicated of the sixcore ethical values and concerns a variety ofqualities like honesty, integrity, reliability, andloyalty.

• Be honest

• Be reliable:do what yousay you’ll do

• Have thecourage to dothe right thing

• Don’tdeceive,cheat, or steal

• Build a goodreputation

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Respect

While we have no ethical duty to hold all people inhigh esteem, we should treat everyone withrespect.

• Be tolerantof differences

• Use goodmanners

• Beconsiderate ofothers

• Work outdisagreements

Responsibility

Ethical people show responsibility by beingaccountable, pursuing excellence, and exercisingself-restraint. They exhibit the ability to respond toexpectations.

• Do your job

• Persevere

• Think beforeyou act

• Consider theconsequences

• Beaccountablefor yourchoices

Fairness

Fairness implies adherence to a balanced standard

• Play by therules

• Be open-minded

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of justice without relevance to one’s own feelingsor indications.

• Don’t takeadvantage ofothers

• Don’t blameothers

Caring

Caring is the heart of ethics and ethical decisionmaking. It is scarcely possible to be truly ethicaland yet unconcerned with the welfare of others.This is because ethics is ultimately about goodrelations with other people.

• Be kind

• Becompassionate

• Forgiveothers

• Help peoplein need

Citizenship

The good citizen gives more than she takes, doingmore than her “fair” share to make society work,now and for future generations. Citizenshipincludes civic virtues and duties that prescribe howwe ought to behave as part of a community.

• Share withyourcommunity

• Get involved

• Stayinformed:vote

• Respectauthority

• Protect theenvironment

Source: © 2008 Josephson Institute. The definitions of the Six Pillars of Character arereprinted with permission. www.charactercounts.org

To illustrate the importance of ethical actions, consider what happened at

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the Abu Ghraib prison in Iraq in 2004. Because of the atrocities on 9/11,national security and intelligence gathering became a high priority. Rulesand standards of interrogation were expanded, and harsh interrogationmethods were approved. The government’s goal was to obtain informationfor purposes of national security.

Problems at the prison became evident when the media reported thatprisoners were being sexually abused, humiliated, and tortured by prisonpersonnel and civilian contract employees. Gruesome photographs ofdemeaning actions to prisoners appeared in the media and on the Internet.To obtain intelligence information, some U.S. Army soldiers used meansthat violated military regulations and internationally held rules on thehumane treatment of prisoners of war established by the GenevaConvention in 1948.

In the case of the Abu Ghraib prison, the goal of maintaining nationalsecurity and intelligence gathering was legitimate and worthwhile.However, the means that were used by some at the prison were consideredby many to be unjustified and even ruled to be criminal. Many believe thatthe goals did not justify the means.

In everyday situations, a leader can act in many different ways toaccomplish goals; each of these actions has ethical implications. Forexample, when a leader rewards some employees and not others, it raisesquestions of fairness. If a leader fails to take into consideration anemployee’s major health problems and instead demands that a job becompleted on short notice, it raises questions about the leader’scompassion for others. Even a simple task such as scheduling people’sworkload or continually giving more favorable assignments to one personover another reflects the ethics of the leader. In reality, almost everything aleader does has ethical overtones.

Given the importance of a leader’s actions, what ethical principles shouldguide how a leader acts toward others? Ethical principles for leaders havebeen described by many scholars (Beauchamp & Bowie, 1988; Ciulla,2003; Johnson, 2005; Kanungo, 2001; Kanungo & Mendonca, 1996).These writings highlight the importance of many ethical standards. Inaddition, there are three principles that have particular relevance to ourdiscussion of the actions of ethical leaders: (1) showing respect, (2)serving others, and (3) showing justice.

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1. Showing respect. To show respect means to treat others as uniquehuman beings and never as means to an end. It requires treating others’decisions and values with respect. It also requires valuing others’ ideas andaffirming these individuals as unique human beings. When a leader showsrespect to followers, followers become more confident and believe theircontributions have value.

Ethical Principles

2. Serving others. Clearly, serving others is an example of altruism, anapproach that suggests that actions are ethical if their primary purpose is topromote the best interest of others. From this perspective, a leader may becalled on to act in the interest of others, even when it may run contrary tohis or her self-interests (Bowie, 1991). In the workplace, serving otherscan be observed in activities such as mentoring, empowering others, teambuilding, and citizenship behaviors (Kanungo & Mendonca, 1996). Inpracticing the principle of service, an ethical leader must be willing to befollower centered. That is, the leader tries to place others’ interestsforemost in his or her work, and act in ways that will benefit others.

3. Showing justice. Ethical leaders make it a top priority to treat all of theirfollowers in an equal manner. Justice demands that a leader place the issueof fairness at the center of decision making. As a rule, no one shouldreceive special treatment or special consideration except when a particularsituation demands it. When individuals are treated differently, the groundsfor different treatment must be clear, reasonable, and based on soundmoral values.

In addition, justice is concerned with the Golden Rule: Treat others as youwould like to be treated. If you expect fair treatment from others, then youshould treat others fairly. Issues of fairness become problematic becausethere is always a limit on goods and resources. As a result, there is oftencompetition for scarce resources. Because of the real or perceived scarcityof resources, conflicts often occur between individuals about fair methodsof distribution. It is important for a leader to establish clearly the rules fordistributing rewards. The nature of these rules says a lot about the ethicalunderpinnings of the leader and the organization.

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The challenge of treating everyone fairly is illustrated in what happened toRichard Lee when he coached his son’s Little League baseball team. Hisson, Eric, was an outstanding pitcher with a lot of natural ability. Duringone of the games, Eric became frustrated with his performance and beganacting very immaturely, throwing his bat and kicking helmets. WhenRichard saw Eric’s inappropriate behavior, he immediately took his sonout of the game and sat him on the bench. The player who replaced Eric inthe lineup was not as good a pitcher, and the team lost the game.

Leadership Snapshot: Warren Buffett and Bill and Melinda Gates,Founders, The Giving Pledge

© Getty image 71299964 by Spencer Platt.

It started with three billionaires promising to give away half theirfortune during their lifetimes and now encompasses more than 150other super-rich families from around the world promising to do thesame thing (Giving Pledge, 2016).

The Giving Pledge was spearheaded in 2010 by Bill and Melinda Gatesand Warren Buffett, Nos. 1 and 2 respectively on the Forbes list of theworld’s richest people, to encourage a new era in philanthropy. Insteadof waiting until they die to give away their money, billionaires areencouraged by the Giving Pledge to make donations earlier in theirlives while they can still choose how to spend it.

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“I don’t know anyone who can’t live on $500 million,” Buffet has said(Frank, 2011).

The pledge is simple: The signers have to be billionaires, and they haveto promise to give away at least half of their fortunes during theirlifetimes. There are no constraints on where the money goes; causessupported by the pledge thus far have ranged from helping farmers inAppalachia to developing a major drug used to treat breast cancer tofunding Jewish schools.

The pledge is less about the financial promise than it is about a publicstatement meant to inspire others, say the organizers. The pledge hasalso created a de facto “club” of sorts, where the signers get together ona regular basis to compare notes and share ideas.

“The goal is to raise the visibility of philanthropy and the great things itcan do,” says Bill Gates, the founder of Microsoft. Through thesegatherings, billionaires swap experiences and frustrations and debatestrategies for how to give away their wealth. “People are collaboratingmore than they would have otherwise,” Gates says (Fowler, 2012).

The pledge is just that: a nonbinding promise to give away at least halfof one’s fortune while alive or in a will. It doesn’t impose any penaltiesfor failing to give it away. The Giving Pledge is coordinated by the Bill& Melinda Gates Foundation, but the foundation doesn’t keep track ofsignatories’ donations.

Gates, however, doesn’t think the pledge will have a problem withsignatories keeping their promises. “They are making a commitment inthe court of public opinion,” he says (Fowler, 2012).

For some critics, the pledge has raised questions about the power of thesuper-wealthy using these donations to shape issues of public concernlike education and health care. Some have said that the pledge is areminder of the economic disparities between the haves and have-notsand that if you have money you can control things, including charities.

“There is already a wide financial disparity between large and smallnonprofits and between those institutions that serve disadvantagedpopulations and those that cater to more established constituencies,”writes Pablo Eisenberg of the Georgetown McCourt School of PublicPolicy’s Center for Public & Nonprofit Leadership. “The pledges willinvariably increase that gap, broadening the inequities in our nonprofitand charitable system” (Eisenberg, 2011).

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But one young billionaire, 28-year-old Facebook founder MarkZuckerberg, signed the pledge and immediately made good on it bydonating $100 million to Newark, New Jersey’s public schools.

“There’s so much that needs to be done, it would be better to startnow,” he says (Guth & Fowler, 2010).

Fellow billionaire and Giving Pledge signer Nicolas Berggruen agrees.“Wealth is an advantage, but it also is frankly a responsibility” (Guth &Fowler, 2010).

After the game, Richard received a lot of criticism. In addition to Ericbeing mad at him, the parents of the other players were very angry. Someof the parents came to Richard and told him that he should not have pulledhis son out of the game because it caused the team to lose.

In this example, the other players’ parents failed to recognize what Richardwas doing as a coach. Richard made a strong effort to be fair to all theplayers by treating his son the way he would treat any player who actedout. He set a standard of good sportsmanship; when his own son violatedthe rules, he was disciplined. Richard’s actions were ethical, but coachingthe team as he did was not easy. He did the right thing, but there wererepercussions.

This example underscores the importance of the actions of a leader. Aleader’s actions play a significant role in determining whether that leaderis ethical or unethical.

3. The Goals of the LeaderThe goals that a leader establishes are the third factor related to ethicalleadership. How a leader uses goals to influence others says a lot about theleader’s ethics. For example, Adolf Hitler was able to convince millions ofpeople that the eradication of the Jews was justified. It was an evil goal,and he was an immoral leader. The al-Qaeda terrorists’ attack on targets inthe United States was motivated by a goal to seek retribution for theUnited States’ stance on Middle East affairs. On the positive side, MotherTeresa’s goal to help the poor and disenfranchised was moral. Similarly,Habitat for Humanity’s goal to build houses for the disadvantaged ismoral. All of these examples highlight the significant role that goals playin determining whether leadership is ethical. The goals a leader selects are

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a reflection of the leader’s ethics.

Goals and Unethical Leadership

Identifying and pursuing just and worthy goals are the most importantsteps an ethical leader will undertake. In choosing goals, an ethical leadermust assess the relative value and worth of his or her goals. In the process,it is important for the leader to take into account the interests of others inthe group or organization and, in some cases, the interests of thecommunity and larger culture in which he or she works. An ethical leadertries to establish goals on which all parties can mutually agree. An ethicalleader with ethical goals will not impose his or her will on others.

Jacob Heckert, president of a regional health insurance company, is anexample of a leader who used his leadership for worthwhile goals. Jacobbelieved in community service and advocated, but did not demand, that hisemployees engage in community service as well. Because he had severalfriends with diabetes and two of his employees had died of end-stage renaldisease, Jacob was particularly interested in supporting the NationalKidney Foundation. To promote his cause, he urged his entire company of4,000 employees to join him in raising money for the National KidneyFoundation’s 5K. Each employee who signed up was responsible forraising $100. Everyone who participated received a free water bottle andT-shirt.

On the day of the rally, Jacob was surprised when more than 1,800employees from his company showed up to participate. The rally was agreat success, raising more than $180,000 for the National KidneyFoundation. The employees felt good about being able to contribute to aworthy cause, and they enjoyed the community spirit that surrounded theevent. Jacob was extremely pleased that his goals had been realized.

4. The Honesty of the LeaderAnother major factor that contributes to ethical leadership is honesty.More than any other quality, people want their leaders to be honest. In fact,it could be said that being honest is synonymous with being ethical.

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When we were children, we were frequently told by grown-ups to “nevertell a lie.” To be good meant telling the truth. For leaders, the lesson is thesame. To be an ethical leader, a leader needs to be honest.

Dishonesty is a form of lying, a way of misrepresenting reality. Dishonestymay bring with it many negative outcomes, the foremost of which is that itcreates distrust. When a leader is not honest, others come to see that leaderas undependable and unreliable. They lose faith in what the leader saysand stands for, and their respect for this individual is diminished. As aresult, the leader’s impact is compromised because others no longer trustand believe what he or she says.

Dishonesty also has a negative effect on a leader’s interpersonalrelationships. It puts a strain on how the leader and followers areconnected to each other. When a leader lies to others, the leader in essenceis saying that manipulation of others is acceptable. For example, when aboss does not come forth with a raise he promised, an employee will beginto distrust the boss. The long-term effect of this type of behavior, ifongoing, is a weakened relationship. Dishonesty, even when used withgood intentions, contributes to the breakdown of relationships.

Emerging From Scandal

But being honest is not just about the leader telling the truth. It also has todo with being open with others and representing reality as fully andcompletely as possible. This is not an easy task because there are timeswhen telling the complete truth can be destructive or counterproductive.The challenge for a leader is to strike a balance between being open andcandid, and at the same time monitoring what is appropriate to disclose ina particular situation.

An example of this delicate balance can be seen in a story about DanJohnson. Dan was hired to work as an executive with a largemanufacturing company. The new job required Dan and his family to leavethe small Michigan community they lived in, giving up jobs and friends, tomove to Chicago. The family put its house on the market and beganlooking for a new home and jobs in Chicago. A few days after Dan started,

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his boss, Justin Godfrey, took him aside and told him that he should notsell his Michigan house at that time. Justin suggested that Dan postponehis move by using his wife’s job as an excuse when people inquired whythe family had not moved to Chicago. Justin could not tell him any more,but Dan knew something major was about to happen. It did. The companyannounced a merger a few months later, and Dan’s job in Chicago waseliminated. Justin was required to keep the merger news quiet, but if hehad not confided the little information that he did, members of Dan’sfamily would have uprooted their lives only to have them uprooted again.They would have experienced not only financial losses but emotional onesas well.

This example illustrates that it is important for a leader to be authentic. Atthe same time, it is essential that leaders be sensitive to the attitudes andfeelings of others. Honest leadership involves a wide set of behaviors,which includes being truthful in appropriate ways.

5. The Power of the LeaderAnother factor that plays a role in ethical leadership is power. Power is thecapacity to influence or affect others. A leader has power because he orshe has the ability to affect others’ beliefs, attitudes, and courses of action.Religious leaders, managers, coaches, and teachers are all people whohave the potential to influence others. When they use their potential, theyare using their power as a resource to effect change in others.

The most widely cited research on power is French and Raven’s (1959)work on the bases of social power. French and Raven identified fivecommon and important bases of power: referent power, expert power,legitimate power, reward power, and coercive power (see Table 12.2).Each of these types of power increases a leader’s capacity to have animpact on others, and each has the potential to be abused.

Power and Ethics

Since power can be used in positive ways to benefit others or indestructive ways to hurt others, a leader needs to be aware of and sensitive

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to how he or she uses power. How a leader uses power says a great dealabout that leader’s ethics. Power is not inherently bad, but it can be used innegative ways.

As discussed in Chapter 1, “Understanding Leadership,” there is dark sideof leadership where a leader uses his or her influence or power forpersonal ends. Unfortunately, there are many examples in the world ofsuch leaders. One example was Saddam Hussein, the president of Iraqfrom 1979 to 2003. Recognized widely as a brutal dictator, Hussein was aSunni Muslim (a minority in Iraq), a sect of Islam that has a centuries-oldconflict with the country’s majority Shi’a Muslims and ethnic Kurds.When Hussein assumed power, he used his security forces tosystematically murder anyone who opposed him. Many of these weregenocidal massacres of innocent Iraqi citizens who were Shi’a Muslimsand ethnic Kurds. The number of Iraqis murdered by Hussein’s forces isunknown, but it is believed to be more than 250,000. Another example of aleader using power in unethical and destructive ways is Jim Jones, anAmerican who set up a religious cult in the country of Guyana, and wholed more than 900 of his followers to commit suicide by drinking cyanide-laced punch. While these are extreme examples, power can also be abusedin everyday leadership. For example, a supervisor who forces an employeeto work every weekend by threatening to fire the worker if she or he doesnot comply is being unethical in the use of power. Another example is ahigh school cross-country track coach who is highly admired by hisrunners, but who requires them to take costly health food supplementseven though the supplements are not proven effective by standard medicalguidelines. There are many ways that power can be abused by a leader.From the smallest to the largest forms of influence, a leader needs to try tobe fair and caring in his or her leadership.

Table 12.2 Five Bases of PowerTable 12.2 Five Bases of Power

1.Referentpower

Based on followers’identification and likingfor the leader

Example: A collegeprofessor who is highlyadmired by students

2. Expertpower

Based on the followers’perceptions of theleader’s competence

Example: A person withstrong knowledge about asoftware program

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3.Legitimatepower

Associated with havingstatus or formal jobauthority

Example: A judge whopresides over a court case

4. Rewardpower

Derived from having thecapacity to providebenefits to others

Example: A supervisorwho can give bonuses toemployees

5.Coercivepower

Derived from being ableto penalize or punishothers

Example: A teacher whocan lower a student’s gradefor missing class

Source: Based on French and Raven (1959).

The key to not misusing power is to be constantly vigilant and aware of theway one’s leadership affects others. An ethical leader does not wieldpower or dominate, but instead takes into account the will of the followers,as well as the leader’s own will. An ethical leader uses power to work withfollowers to accomplish their mutual goals.

6. The Values of the LeaderA final factor that contributes to understanding ethical leadership isvalues. Values are the ideas, beliefs, and modes of action that people findworthwhile or desirable. Some examples of values are peace, justice,integrity, fairness, and community. A leader’s ethical values aredemonstrated in everyday leadership.

Values and Leadership

Scholar James MacGregor Burns suggested that there are three kinds ofleadership values: ethical values, such as kindness and altruism; modalvalues, such as responsibility and accountability; and end values, such asjustice and community (Ciulla, 2003). Ethical values are similar to thenotion of character discussed earlier in this chapter. Modal values areconcerned with the means or actions a leader takes. End values describethe outcomes or goals a leader seeks to achieve. End values are present

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the outcomes or goals a leader seeks to achieve. End values are presentwhen a person addresses broad issues such as liberty and justice. Thesethree kinds of values are interrelated in ethical leadership.

In leadership situations, both the leader and the follower have values, andthese values are seldom the same. A leader brings his or her own uniquevalues to leadership situations, and followers do the same. The challengefor the ethical leader is to be faithful to his or her own leadership valueswhile being sensitive to the followers’ values.

For example, a leader in an organization may value community andencourage his or her employees to work together and seek consensus inplanning. However, the leader’s followers may value individuality andself-expression. This creates a problem because these values are seeminglyin conflict. In this situation, an ethical leader needs to find a way toadvance his or her own interests in creating community without destroyingthe followers’ interests in individuality. There is a tension between thesedifferent values; an ethical leader needs to negotiate through thesedifferences to find the best outcome for everyone involved. While the listof possible conflicts of values is infinite, finding common ground betweena leader and followers is usually possible, and is essential to ethicalleadership.

In the social services sector, where there are often too few resources andtoo many people in need, leaders constantly struggle with decisions thattest their values. Because resources are scarce, a leader has to decidewhere to allocate the resources; these decisions communicate a lot aboutthe leader’s values. For example, in mentoring programs such as BigBrothers Big Sisters, the list of children in need is often much longer thanthe list of available mentors. How do administrators decide which child isgoing to be assigned a mentor? They decide based on their values and thevalues of the people with whom they work. If they believe that childrenfrom single-parent households should have higher priority, then thosechildren will be put at the top of the list. As this example illustrates,making ethical decisions is challenging for a leader, especially insituations where resources are scarce.

Culture and Leadership EthicsThe world today is globally connected in ways it never has been before.

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Through your lifetime, you will undoubtedly be exposed to and work withindividuals from cultures very different than your own. As a leader, it isimportant to recognize that not every culture shares the same ethical idealsas yours. Different cultures have different rules of conduct, and as a result,leadership behaviors that one culture deems ethical may not be viewed thesame way by another culture.

Culture and Ethics

For example, Resick, Hanges, Dickson, and Mitchelson (2006) found thatNordic European cultures such as Denmark and Sweden place moreimportance on a leader’s character and integrity—defined as a leaderbehaving in a manner that is just, honest, sincere, and trustworthy—thanMiddle Eastern cultures such as those in Egypt, Turkey, and Qatar.

Another example is the use of bribery in business practices. Bribery(offering money or gifts in exchange for favorable treatment or influence)to obtain business is forbidden for U.S. companies, no matter where on theglobe they are doing business, and offenders can face jail terms and largefines. However, in some countries, bribery is a norm, and business can’t betransacted without it. In China, for example, it is expected in businessrelationships that there will be the giving of carefully chosen gifts toconvey respect and that the business relationship is valued by the giver. Itis considered a matter of business etiquette (Pitta, Fung, & Isberg, 1999).And, until 1999, bribes were tax deductible and seen as a necessary part ofconducting business in Germany.

SummaryThere is a strong demand for ethical leaders in our society today. Thischapter answers the question “What does it take to be an ethical leader?”Ethical leadership is defined as a process in which a good person acts inthe right ways to accomplish worthy goals. There are six factors related toethical leadership.

First, character is fundamental to ethical leadership. A leader’s characterrefers to who the leader is as a person and his or her core values. The Six

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caring, and citizenship.

Second, ethical leadership is explained by the actions of the leader—themeans a leader uses to accomplish goals. An ethical leader engages inshowing respect, serving others, and showing justice.

Third, ethical leadership is about the goals of the leader. The goals a leaderselects reflect his or her values. Selecting goals that are meaningful andworthwhile is one of the most important decisions an ethical leader needsto make.

Fourth, ethical leadership is concerned with the honesty of the leader.Without honesty, a leader cannot be ethical. In telling the truth, a leaderneeds to strike a balance between openness and sensitivity to others.

Fifth, power plays a role in ethical leadership. A leader has an ethicalobligation to use power for the influence of the common good of others.The interests of followers need to be taken into account, and the leaderneeds to work with followers to accomplish mutual ends.

Finally, ethical leadership is concerned with the values of the leader. Anethical leader has strong values and promotes positive values within his orher organization. Because leaders and followers often have conflictingvalues, a leader needs to be able to express his or her values and integratethese values with others’ values.

In summary, ethical leadership has many dimensions. To be an ethicalleader, you need to pay attention to who you are, what you do, what goalsyou seek, your honesty, the way you use power, and your values.

Glossary Termsactions 276character 275end values 285ethical leadership 274ethical values 285goals 282honesty 282modal values 285

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modal values 285power 284values 285

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Application

12.1 Case Study: The Write ChoiceEach semester, community college professor Julia Ramirez requires herstudents to do a 10-hour community service project at a nonprofitagency of their choice and write a paper about the experience. In thepaper, they are to discuss their volunteer experience and incorporateconcepts presented in class into this reflection. This is the sixthsemester that Professor Ramirez has used this assignment, and she hasalways received positive feedback about the benefits of the assignmentfrom her students and the nonprofits.

The community college that Professor Ramirez works at is making aneffort to be “green” and, in order to cut down on paper usage, requeststhat faculty and staff utilize online tools for giving and receivingassignments and providing feedback to students. Professor Ramireztakes advantage of these green initiatives, requiring her communitylearning papers to all be turned in electronically at noon on the lastFriday before exams. She likes having the papers turned inelectronically because it has significantly cut down on late papers and itis now very easy to check student work for plagiarism.

That day has arrived, and Professor Ramirez downloads her studentpapers from the class webpage and begins to grade them. The papersare informal in nature, written in first-person narrative as if the studentswere talking directly to Professor Ramirez. After grading a number ofpapers, Professor Ramirez comes to the paper written by student Kelly

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Declan. Kelly’s paper reads less like a personal narrative and more likea brochure for the organization where she volunteered. At first,Professor Ramirez is impressed with the amount of detail that Kellyretained from volunteering, but after reading part of the paper, shebecomes suspicious. To be safe, Professor Ramirez decides to copy apassage from Kelly’s paper into her Internet search engine to see if itmatches any other published sources. It does; in fact, it is a direct matchfor an online brochure of a similar organization in a neighboring state.Professor Ramirez tests a few more sections from Kelly’s paper andfinds that 90% of it was plagiarized from this one source on theInternet.

Plagiarism is taken very seriously at the college. Students accused ofplagiarism are reported to the student review board, and if the boardconfirms that a student’s work is not his or her own, the student isdismissed from the college. Students who have been dismissed forplagiarism are able to reapply to the college after waiting one semester,and if they are readmitted, they are placed on academic probation for ayear.

Despite the college’s policy, Professor Ramirez is conflicted about howto deal with this situation. She knows that Kelly had a very difficultsemester. Her mother is ill with cancer, and during the semester, Kellydrove twice a week to her hometown two hours away to take her motherto doctor’s appointments and chemotherapy. Knowing this, ProfessorRamirez accommodated Kelly’s schedule during the semester so thatshe did not have to drop the course. This is also Kelly’s last semesterbefore graduation, and she will be the first person in her family tograduate from college. Kelly also has a job lined up after graduation, forwhich Professor Ramirez wrote her a letter of recommendation, and ifshe does not graduate, she will most likely lose the job. Losing the jobwill be certain if Kelly is ejected from the college.

Professor Ramirez decides not to report the incident of plagiarism to thereview board right away. She chooses instead to approach Kelly one-on-one and will proceed based on what Kelly has to say. During theirmeeting, it is apparent to Professor Ramirez that Kelly did complete therequired service hours but was overwhelmed when it came to writingthe paper. Kelly had let the assignment go until the very end and thenwhen she had to write it, she could only come up with one page ratherthan the three pages required. She added the plagiarized information tomake the paper reach the required length. Kelly is genuinely remorsefuland admits she is terrified of the consequences.

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having Kelly kicked out of school would benefit the college or Kelly.Despite going against college policy, Professor Ramirez believes herbehavior is consistent with her personal values of acknowledging thatpeople make mistakes and deserve second chances. She personally feltthat this behavior was out of character for Kelly and, had Kelly not beenunder tremendous personal and academic stress, she wouldn’t haveacted in this way.

Questions1. Even though Professor Ramirez deviated from the college’s policy

regarding plagiarism, do you feel that she acted ethically?2. If you were a student in this class and learned Professor Ramirez

made an exception for this student, would you think she actedethically? Explain.

3. In Table 12.1, the Six Pillars of Character are detailed. Which ofthese six pillars did Professor Ramirez display in consideration forher student, and how?

4. Professor Ramirez’s actions ultimately brought into questionwhether or not the ends justify the means. Do you feel that herleniency in this case made her a stronger or more ethical leader?Explain.

12.2 Sample Items From the EthicalLeadership Style Questionnaire

Purpose

1. To develop an understanding of your ethical leadership style2. To understand how your preferred ethical leadership style relates

to other ethical leadership styles

Directions

1. Please read the following 10 hypothetical situations in which aleader is confronted with an ethical dilemma.

2. Place yourself in the role of the leader or manager in the situation.3. For each situation, indicate with an “X” your most preferred

response. Your most preferred response is the response that bestdescribes why you would do what you would do in that particularsituation. Choose only one response. There are no right or wronganswers.

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situation. Choose only one response. There are no right or wronganswers.

Response alternatives explained:

I would do what is right: this option means you follow a set ofmoral rules and do what is expected of you when facing an ethicaldilemma. You focus on fulfilling your moral obligations anddoing your duty.I would do what benefits the most people: this option means youtry to do what is best for the most people overall when facing anethical dilemma. You focus on what will result in happiness forthe largest number of individuals.I would do what a good person would do: this option means thatyou pull from who you are (your character) when facing an ethicaldilemma. You act out of integrity and you are faithful to your ownprinciples.I would do what shows that I care about my close relationships:this option means that you give attention to your relationshipswhen facing an ethical dilemma. You may give specialconsideration to those with whom you share a personal bond orcommitment.I would do what benefits me the most: this option means that youdo what is best for accomplishing your personal goals andobjectives when facing an ethical dilemma. You are not afraid toassert your own interests when resolving problems.I would do what is fair: this option means that you focus ontreating others fairly when facing an ethical dilemma. You try tomake sure the benefits and burdens of decisions are sharedequitably between everyone concerned.

Situations

1. You are the leader of a manufacturing team and learn that youremployees are falsifying product quality results to sell moreproducts. If you report the matter, most of them will lose theirjobs, you may lose yours, and your company will take asignificant hit to its reputation. What would you do in thissituation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.

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□ E. I would do what benefits me the most.□ F. I would do what is fair.

2. You have an employee who has been having performanceproblems, which is making it hard for your group to meet its workquota. This person was recommended to you as a solid performer.You now believe the person’s former manager had problems withthe employee and just wanted to get rid of the person. If you givethe underperforming employee a good recommendation, leavingout the performance problems, you will have an opportunity topass the employee off to another group. What would you do inthis situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

3. Your team is hard-pressed to complete a critical project. You hearabout a job opening that would be much better for one of your keyemployees’ career. If this individual leaves the team, it would putthe project in danger. What would you do in this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

4. An employee of yours has a child with a serious illness and ishaving trouble fulfilling obligations at work. You learn from youradministrative assistant that this employee claimed 40 hours on atimesheet for a week when the employee actually only worked 30hours. What would you do in this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

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management becomes aware of this, they will want you toincrease the quotas. Some of your employees are unable to meettheir current quotas. What would you do in this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

6. You are an organization’s chief financial officer, and you areaware that the chief executive officer and other members of thesenior leadership team want to provide exaggerated financialinformation to keep the company’s stock price high. The entiresenior management team holds significant stock positions. Whatwould you do in this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

7. Two new employees have joined your accounting team right outof school. They are regularly found surfing the Internet or textingon their phones. Your accounting work regularly requiresovertime at the end of the month to get the financial reportscompleted. These employees refuse to do any overtime, whichshifts work to other team members. The other team members aregetting resentful and upset. What would you do in this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

8. You are the director of a neighborhood food cooperative. Amember—a single parent with four children—is caughtshoplifting $30 in groceries from the co-op. You suspect thisperson has been stealing for years. You consider pressing charges.

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shoplifting $30 in groceries from the co-op. You suspect thisperson has been stealing for years. You consider pressing charges.What would you do in this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

9. You have been accused of discriminating against a particulargender in your hiring practices. A new position opens up, and youcould hire a candidate of the gender you’ve been accused ofdiscriminating against over a candidate of another gender, eventhough the latter candidate has slightly better qualifications.Hiring the former candidate would let you address this accusationand improve your reputation in the company. What would you doin this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

10. You are a professor. One of your best students buys an essayonline and turns it in for a grade. Later in the term, the studentbegins to feel guilty and confesses to you that the paper waspurchased. It is the norm at the university to fail a student guilty ofplagiarism. You must decide if you will flunk the student. Whatwould you do in this situation?

□ A. I would do what is right.□ B. I would do what benefits the most people.□ C. I would do what a good person would do.□ D. I would do what shows that I care about myrelationships.□ E. I would do what benefits me the most.□ F. I would do what is fair.

ScoringTo score the questionnaire, sum the number of times you selected items

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A, B, C, D, E, or F. The sum of A responses represents your preferencefor Duty Ethics, the sum of B responses represents your preference forUtilitarian Ethics, the sum of C responses represents your preferencefor Virtue Ethics, the sum of D responses represents your preference forCaring Ethics, the sum of E responses represents your preference forEgoism Ethics, and the sum of F responses represents your preferencefor Justice Ethics. Place these sums in the Total Scores section thatfollows.

Total Scores

A. Duty Ethics: ______________B. Utilitarian Ethics: __________C. Virtue Ethics: ______________D. Caring Ethics: ____________E. Egoism Ethics: ____________F. Justice Ethics: ____________

Scoring Interpretation

The scores you received on this questionnaire provide informationabout your ethical leadership style; they represent your preferred way ofaddressing ethical dilemmas. Given a situation with an ethical dilemma,this questionnaire points to what ethical perspective is behind thechoices you would make to resolve the dilemma. As you look at yourtotal scores, your highest score represents your primary or dominantethical leadership style, your second-highest score is the next mostimportant, and so on. If you scored 0 for a category, it means that youput lower priority on that particular ethical approach to guide yourdecision making when facing ethical dilemmas.

If you scored higher on Duty Ethics, it means you follow a set ofmoral rules and do what is expected of you when facing an ethicaldilemma. You focus on fulfilling your moral obligations anddoing your duty.If you scored higher on Utilitarian Ethics, it means that you try todo what is best for the most people overall when facing an ethicaldilemma. You focus on what will result in happiness for thelargest number of individuals.If you scored higher on Virtue Ethics, it means that you pull fromwho you are (your character) when facing an ethical dilemma.You act out of integrity and you are faithful to your ownprinciples.If you scored higher on Caring Ethics, it means that you give

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a personal bond or commitment.If you scored higher on Egoism Ethics, it means that you do whatis best for accomplishing your personal goals and objectives whenfacing an ethical dilemma. You are not afraid to assert your owninterests when resolving problems.If you scored higher on Justice Ethics, it means that you focus ontreating others fairly when facing an ethical dilemma. You try tomake sure the benefits and burdens of decisions are sharedequitably between everyone concerned.

By comparing your scores regarding each of these ethical perspectives,you can get a sense of what is important to you when addressing anethical concern. Obviously, if you scored low on in any of thesecategories, it suggests that you give less priority to that ethicalperspective. All of the ethical perspectives have merit, so there is no“best” perspective to maintain.

This questionnaire is intended as a self-assessment exercise. Althougheach ethical approach is presented as a discrete category, it is possiblethat one category may overlap with another category. It is also possiblethat you may have an ethical leadership style that is not fully capturedin this questionnaire. Since this questionnaire is an abridged version ofan expanded questionnaire, you may wish to take the entirequestionnaire to gain a more accurate reflection of your ethicalapproach. It can be taken at www.leaderdecisionmakingsurvey.com.

Source: Adapted from Walter R. Baehrend Jr. Ethical Leadership StyleQuestionnaire. http://www.leaderdecisionmakingsurvey.com/index.php

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

12.3 Observational Exercise

Ethical Leadership

Purpose

1. To become aware of the dimensions of ethical leadership2. To assess how actual leaders exhibit ethical leadership

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1. To become aware of the dimensions of ethical leadership2. To assess how actual leaders exhibit ethical leadership

Directions

1. For this exercise, you must observe a public presentation of aleader in your community. This can be a pastor, a collegepresident, a mayor, a city commissioner, the head of a socialservice agency, or some other community leader.

2. Record what you observe about the leader’s ethics in thecategories that follow. Try to be thorough in your descriptions ofthe leader’s presentation.

Leader’s name: ____________________________ Leader’stitle: ______________________________________

Occasion: ___________________________________

1. The character of the leader: What was the leader like? Whatkind of person was the leader? What were the leader’s strengthsand weaknesses?

2. The actions of the leader: How does this leader go aboutaccomplishing goals? Where does the leader stand on (1)showing respect, (2) serving others, and (3) showing justice?

3. The goals of the leader: What were the leader’s main goals?Were the leader’s goals clear to you and others in the audience?How would you assess the value and worth of those goals?

4. The honesty of the leader: What did you observe about thisleader’s honesty? Was the leader open and forthright? Howauthentic did you find this leader to be?

5. The power of the leader: Based on French and Raven’s (1959)types of power, what kind of power did this leader exhibit? Whatdid you observe about how this leader would use his or herpower with others?

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6. The values of the leader: Based on the presentation, what doyou think this leader values? What is important to this leader?What values did this leader promote in his or her presentation?

Questions

1. What is your overall assessment of this leader’s ethics?2. What specific examples in the leader’s presentation were

particularly revealing of the leader’s ethics?3. Which factors of ethical leadership (character, actions, goals,

honesty, power, and values) were most apparent in the leader’spresentation? Discuss.

4. On a scale from 1 to 10, how would you describe this speaker’sethical leadership? Defend your answer.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

12.4 Reflection and Action Worksheet

Ethical Leadership

Reflection

1. This chapter suggests that leadership has a moral dimension andthat leaders have a responsibility to use their authority for thecommon good. Do you agree? Discuss.

2. When you consider the character of a leader and what a leaderdoes (the leader’s actions), which of these two factors is moreimportant with regard to ethical leadership? Can a person with badcharacter be an ethical leader? Discuss your answers.

3. In this chapter, the circumstances at Abu Ghraib prison are used asan example of unethical leadership. Do you agree with thisassessment? How do you view what happened at Abu Ghraib?

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reaction to the story? Do you think Richard was an ethical leader?How would you have responded in this situation?

Action

1. Based on your responses to the Ethical Leadership StylesQuestionnaire, what are your core values? Do you think otherpeople know your core values? Are you comfortable talking aboutthese values with others? In your planning for the future (e.g., nextfive years), how will your values influence what you do? Discuss.

2. Character is a fundamental aspect of ethical leadership. What areyour character strengths and weaknesses? List three specificactions you could take to strengthen your character.

3. In the Observational Exercise (12.3), you observed and analyzedthe ethical leadership of a specific leader. If you were to apply thesame analysis to your own leadership, how would you describeyourself? What factors best explain the ethics of your ownleadership? If you were to try to become a more ethical leader,what specific changes should you make in your leadership?Discuss.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesBaehrend, W. R., Jr. (2017). Ethical leadership style questionnaire.

Retrieved from http://www.leaderdecisionmakingsurvey.com/index.php

Beauchamp, T. L., & Bowie, N. E. (1988). Ethical theory and business(3rd ed.). Englewood Cliffs, NJ: Prentice Hall.

Bowie, N. E. (1991). Challenging the egoistic paradigm. Business EthicsQuarterly, 1(1), 1–21.

Ciulla, J. B. (2003). The ethics of leadership. Belmont, CA:

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Ciulla, J. B. (2003). The ethics of leadership. Belmont, CA:Wadsworth/Thomson Learning.

Eisenberg, P. (2011, January 11). Unintended consequences of GivingPledge’s good intentions. Chronicle of Philanthropy. Retrieved fromhttp://onphilanthropy.com/2011/pablo-eisenberg-unintended-consequences-of-giving-pledges-good-intentions/

Fowler, G. (2012, September 19). More billionaires sign on to givingmoney away. The Wall Street Journal. Retrieved fromhttp://online.wsj.com/article/SB10000872396390443995604578003043533208534.html

Frank, R. (2011, October 27). The biggest gift in the world. WSJMagazine. Retrieved fromhttp://online.wsj.com/article/SB10001424052970204644504576653510801826824.html

French, J. R., Jr., & Raven, B. (1959). The bases of social power. In D.Cartwright (Ed.), Studies in social power (pp. 150–167). Ann Arbor,MI: Institute for Social Research.

Giving Pledge. (2016). Current pledgers. Retrieved fromhttp://givingpledge.org/index.html

Guth, R. A., & Fowler, G. A. (2010, December 9). 16 tycoons agree togive away fortunes. The Wall Street Journal. Retrieved fromhttp://online.wsj.com/article/SB10001424052748703493504576007982500939482.html

Johnson, C. R. (2005). Meeting the ethical challenges of leadership (2nded.). Thousand Oaks, CA: Sage.

Josephson Institute. (2008). The Six Pillars of Character. Los Angeles,CA: Author.

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Kanungo, R. N. (2001). Ethical values of transactional andtransformational leaders. Canadian Journal of Administrative Sciences,18(4), 257–265.

Kanungo, R. N., & Mendonca, M. (1996). Ethical dimensions ofleadership. Thousand Oaks, CA: Sage.

Pitta, D. A., Fung, H.-G., & Isberg, S. (1999). Ethical issues acrosscultures: managing the differing perspectives of China and the USA.Journal of Consumer Marketing, 16(3), 240–256.

Resick, C. J., Hanges, P. J., Dickson, M. W., & Mitchelson, J. A. (2006).A cross-cultural examination of the endorsement of ethical leadership.Journal of Business Ethics, 63(4), 345–359.

Velasquez, M. G. (1992). Business ethics: Concepts and cases (3rd ed.).Englewood Cliffs, NJ: Prentice Hall.

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13 Overcoming Obstacles

Introduction“Life is difficult.” That is the first sentence in Scott Peck’s famous bookThe Road Less Traveled (1978). Although hard for some to accept, Pecktold us that life is not going to be easy. Obstacles and struggles are anintegral part of life. In the work setting, the same is true. Because obstaclesalways will be present, one of the most important things a leader can do isto help others overcome these obstacles.

Should Leaders Help Their Followers Around Obstacles?

Obstacles ExplainedWhat is an obstacle? It is a hindrance, problem, or hurdle that gets in theway of followers and makes it difficult for followers to reach their goal.Obstacles get in the way of what followers intend to do. Obstacles come inmany forms. It could be a physical thing (e.g., bad work space), apsychological issue (e.g., closed-mindedness), or a task-related issue (e.g.,a complex work process). In essence, anything that has a negative impacton follower performance could be called an obstacle. There are manyexamples of obstacles. For a busy person who wants to learn to play theguitar, an obstacle could be finding enough time to practice. For a newemployee in a large hospital, an obstacle could be learning where thedifferent departments in the building are located. Or, for a fifth-year seniorwho isn’t going to graduate, an obstacle could be a lack of motivation.

Obstacles are important for leaders to recognize because they provide clearcues for what leaders can do to help followers. Addressing obstacles canbe very direct and practical. While some leadership theories are ratheresoteric and prescribe certain leadership strategies (e.g., be authentic),addressing obstacles is a very concrete approach to leadership. Forexample, if a leader asks followers “How can I help you?” or “What

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problems are you having?” their answers will point directly to how theleader can adapt his or her behavior to help the followers with their work.Maybe followers want more direction or need to be challenged more;either way, if the leader asks them about their concerns, the obstacles canbe remedied. Learning about and dealing with obstacles is a very effectiveway to improve your leadership.

Overcoming Obstacles in PracticeWhether it is by listening to their complaints, encouraging them, orproviding counsel, there are many ways a leader can be helpful to his orher followers. The first challenge in helping people with obstacles is tofigure out what the problems are; the second challenge is determining whatshould be done to solve them. If a leader does this, followers will be moremotivated, productive, and satisfied with their work.

Engaging With Obstacles

Research conducted by House (1971, 1996) on path–goal leadershipdirectly addresses how a leader can assist others in overcoming obstaclesthat hinder productivity. Path–goal leadership suggests that a leader shouldchoose a style that best fits the needs of individual group members and thework they are doing. The leader should help these individuals define theirgoals and the paths they wish to take to reach those goals. When obstaclesarise, the leader needs to help individuals confront them. This may meanhelping them to navigate around the obstacles, or it may mean helpingthem remove the obstacles. The leader’s job is to help group membersreach their goals by directing, guiding, and coaching them along the way.

Based on ideas set forth in path–goal leadership theory, this chapteraddresses the obstacles that followers may face and how a leader can helpfollowers overcome them. Although people encounter many obstacles intheir lives, this chapter highlights seven major obstacles derived frompath–goal theory (see Figure 13.1). In the following section, each of theobstacles will be described, and the various ways leaders can respond tothese obstacles will be explored.

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Figure 13.1 Obstacles Hindering Goal Achievement

Obstacle 1: Unclear GoalsWe have all known people who selected their career goals early in life.You may remember a grade school friend who said she was going to be adoctor and then subsequently went to college and medical school andbecame a neurosurgeon. You may remember a high school friend who saidhe was going to be in the movies and subsequently made it big inHollywood. These people stand out because they were especially goaloriented—they knew what they wanted to do, and they did it. The problemis that these people are the exception and not the rule. For most people,finding their life goal is a real challenge.

Clarifying Goals

The same is true in leadership situations. It is not uncommon forindividuals to be unclear or confused about their goals. Whether it is thesalesperson who is required to meet a new sales quota, a hospital volunteerwho is supposed to help patients, or a high school student who must writea term paper, people are often unclear about the goal or how to reach it.

Sometimes the goal is not known, sometimes it is obscure, and sometimesit is hidden among a tangle of competing goals. When goals are not clearlyarticulated and understood, individuals are less likely to be successful inachieving them. Furthermore, they will be less excited about their workand less gratified about their accomplishments.

It cannot be stressed enough that the leader needs to make goals clear andunderstandable. Just as leaders need to provide a map in articulating theirvision (see Chapter 7, “Creating a Vision”), they must help others see thegoal, the end toward which everything else is being directed. All members

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of a group deserve a clear picture of where their efforts are being directed.When the goal is vague, the leader needs to clarify it. Similarly, if the goalis embedded in a complex set of related goals, the leader needs to identifya specific goal for group members and explain how it fits with all the othergoals.

The following list provides a few examples of leaders expressing cleargoals. The examples may not be glamorous, but they exemplify goodleadership.

Football coach to team: “The goal for the defensive team this seasonis to try to sack the opposing quarterback at least two times in everygame.”High school physical education teacher to students: “At thebeginning of every class you are required to jog one lap around thetrack.”Orchestra conductor to orchestra: “Our upcoming rehearsals aregoing to be difficult because the pieces we are playing are reallychallenging. If we practice together every week for five hours, thisconcert could be our best all year.”Staff supervisor at a geriatric facility to volunteer staff: “By helpingthe staff to fold the laundry of the patients living here, you will helpto reduce the spiraling costs of our facility.”College speech teacher to students: “In this speech assignment, youmust make sure to do three things: (1) tell the audience what you aregoing to tell them, (2) tell them, and (3) tell them what you have toldthem.”

In each of these examples, the leaders are helping individuals identify andclarify the goals of their work. The individuals doing the work will bemore effective and more satisfied as a result of knowing their goals.

Obstacle 2: Unclear DirectionsAnyone who has ever bought something that needed to be assembled (e.g.,a computer table or futon frame) knows how frustrating it is when thedirections are missing from the box, impossible to follow, or written in aforeign language. No matter how much you want to put the producttogether, you cannot do it. This is what happens in work situations whenleaders are not clear with their directions. Bad directions lead to ineffective

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performance.

The Need for Clear Directions

A leader needs to define the path to the goal by giving clear directions.Directions that are vague, confusing, rambling, imprecise, or incompleteare not helpful to anyone. In fact, unclear directions can have a debilitatingeffect on individuals. People lose their capacity to move forward whenthey do not have clear directions on how to proceed. Some individuals arelost without directions. They may have a picture of where they are headed,but they do not know how to get there.

Giving clear directions takes thought and skill. For example, students in aclassroom want clear directions for their assignments. If the assignment isa term paper, an effective teacher describes in detail the requiredcomponents. The teacher might require a two-paragraph introduction, athesis sentence, a conceptual framework, a review of the literature, adiscussion section, a conclusion, and a bibliography. When clear directionsare given, students have a sense of personal control because they knowwhat is required of them. When people know what they are supposed to doand when they are supposed to do it, they can accomplish their work moreeasily.

While giving clear directions is important, it is also important to be awarethat individuals vary in their need for direction. Some people want veryelaborate, specific instructions, while others want general directions thatallow them to proceed on their own. It is the leader’s job to adaptdirections to the needs of each individual.

Much like drivers who are relieved to have the navigation system tell themwhat interstate exit to take, followers want direction from a calm leaderwho tells them what they need to do and when they need to do it. Whenthey make a mistake or lose their way, they want the leader to redirectthem. Most important, group members want directions that are notevaluative or critical. If they make mistakes, they want to be corrected in akind manner. A good leader will give directions that are helpful but notjudgmental. People appreciate straightforward directions, and like to hearthe leader say they “have arrived” when they get their work done.

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Obstacle 3: Low MotivationWhat should a leader do when individuals are not motivated? How does aleader encourage followers to work when they do not want to work? Howcan a leader make people excited about work? Answers to questions suchas these have been of interest to leaders for a long time. In fact, hundredsof articles and books have been written in an effort to explain theunderpinnings of human motivation (see Herzberg’s motivation-hygienetheory, 1968; Maslow’s hierarchy of needs theory, 1954; and Skinner’swork on behaviorism, 1953). All these writings point to the complexityand challenges leaders face in trying to motivate others.

Overcoming Low Motivation

Path–goal leadership incorporates expectancy theory as a way to motivateothers (House, 1996; Vroom, 1964). Expectancy theory suggests thatpeople will be more highly motivated when the effort they put into a taskleads to an expected outcome that they value. This occurs for individualswhen they feel competent, they get what they expect, and they value whatthey do. If a leader can help individuals in these three areas, thenmotivation will be high.

Help Others Feel Competent

All of us have a need to feel competent. We want to present ourselves in away that suggests to others (and ourselves) that we know what we aredoing. Whether it is learning how to play the guitar, how to swing a golfclub, or how to play blackjack, we all want to give a good performance.Letting individuals know that they are competent is the first step in helpingthem become more highly motivated. For example, after completing acomplex assignment, an employee would be gratified to hear the managersay, “You did that assignment exactly the way it needed to be done.”

Help Others Get What They Expect

People are also more highly motivated when their expectations are met.

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Knowing that effort will lead to an expected outcome is very important.Achieving an expected result makes the effort worthwhile, but it isdisheartening and unmotivating when work does not lead to an expectedoutcome. In a sense, when individuals do not achieve the results theyexpect, they distrust the way the system works.

A leader should make sure the outcome that individuals expect from theireffort is achievable and will likely occur. A leader must be aware of whatoutcome individuals expect, and confirm if those outcomes are realistic.

For example, if a salesperson is given a new quota to meet, he or she mayexpect a pay increase or financial reward for achieving that goal. It is up tothe leader to clarify for the salesperson whether or not that reward ispossible.

Another example that illustrates this point involves a university instructorwho taught a course in public relations. The instructor assigned each groupin the class a client for which the student was to develop a campaign, andgave the students a basic outline from which to work. One group struggledwith the assignment; the instructor met often with these students outsideclass to help them develop their plan. At the end of the semester, the groupsubmitted a very basic plan that met the minimum requirements for theassignment and received a C grade. Members of the group were very upsetwith their grade and argued that they deserved a higher score because theyhad done a lot of work, completed every task the instructor had given themin their meetings, and met the requirements for the assignment outlined inthe syllabus. The instructor pointed out that higher grades were given tothose who went beyond the minimum requirements. It was clear to theteacher that her expectations and those of her students were not the same.As a result, when she taught the class again, the teacher specified that therequirements outlined in the syllabus were only a starting point: Highergrades were for those who met and exceeded these requirements indeveloping their campaign plans. This example illustrates the importanceof a leader and the group members having a mutual understanding of theexpected outcomes.

Leadership Snapshot: Bill Courtney, Head Coach, Manassas HighSchool Football

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© Matt Carr/Contributor/Getty Images Entertainment/GettyImages.

Football coaches have challenges as part of the job: finding andgrooming talented players, tough opposing defenses, injured teammembers. But in 2002, when Bill Courtney volunteered to coachManassas High School’s struggling football team in North Memphis,Tennessee, an inner-city community, he faced some huge obstacles.

Manassas had had a record of 5–95 for the past 10 years, a roster ofonly 17 players, a lack of equipment, and a reputation for the being thedistrict’s “doormat team.” It was rumored that larger schools would pay

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to have Manassas be their homecoming game’s opponent so they wouldbe guaranteed a win.

But Courtney found the personal obstacles faced by his players just asdaunting. The players all lived in poverty, most didn’t have a father athome, and some lived with a single grandparent or other relative. All ofthem had close family members who had gone to jail, but few had anywho had been to college.

“When you’re in generational abject poverty and just hopelessness andloss and you’re surrounded by it, and that’s all you see coming up, thenthat’s all that you expect life is,” said Courtney. “If that’s what yourreality is and that’s all you see and you’ve never traveled more than 10miles from the neighborhood you were born in, then why would anyoneexpect [you] to have a road map to success?” (Ward-Henninger, 2013).

For Courtney, it became more than just teaching the basics of block, hit,and tackle. A man who knows what it is to grow up without a father, hefound the job morphed into becoming a coach of his players’ character,resolve, and integrity. As he quoted often to his players, “The measureof a man’s character is determined not by how he handles his wins, butby how he handles his failures.”

One of Courtney’s players, Chavis Daniels, joined the team afterspending 15 months in a juvenile detention facility and had seriousanger issues. At one point, he was suspended for several games duringthe team’s season for fighting with an assistant coach. The fact Danielswasn’t just kicked off the team speaks to Courtney’s commitment to theindividuals and to the impact it ultimately has on those young men.Despite the suspension, Daniels wanted to remain on the team because“without football I’ve got nothing” (Lindsay & Martin, 2012).

But coaching doesn’t come without sacrifices for Courtney. The ownerof a successful lumber company and the father of four children of hisown, he admits that neither of these gets the attention it deserves duringfootball season.

In 2009, the team did the unthinkable: They went 9–1. While theplayers were winning on the field, the coach was fighting other battlesoff the field. Linebacker O. C. Brown, at 6-foot-2 and 315 pounds, hada real shot at playing college football, but academically couldn’tqualify. The coaching staff tried to arrange for tutors, only to be told noone would come to Brown’s North Memphis neighborhood to tutorhim. The coaches hit upon a unique solution: Brown would live duringthe week with one of the assistant coaches at his suburban home and

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receive tutoring there. They succeeded: Brown achieved the requiredscore on his college entrance exam and was signed to play at theUniversity of Southern Mississippi.

Another student, Montrail Brown, was an academic standout, but anundersized football player. He, too, dreamt of college. After suffering amidseason knee injury that took him off the field, he stopped coming toschool. Courtney reached out to him, reminding him that footballdoesn’t build character; it reveals character, and character is about howyou handle your failures. Williams continued his physical therapy andwas ultimately able to play in the playoff game. One of the team’sassistant coaches, Jeff Germany, successfully found a donor willing topay 100% of Montrail’s college expenses.

“There’s a story under every helmet,” Courtney says. All of his playersare “equally important to me” and “willing to lay it on the line for [me].

“The only way you do that is to build a relationship with your playersand find out who they are: what their fears are, what excites them andwhat hurts them and how you can yell at one kid to motivate him butyou have to pat another on the fanny right next to him because they’remotivated by different stimulus. I believe you surround yourself withgood talent and you let players win games after you’ve won yourplayers” (Ward-Henninger, 2013).

Not only does a leader need to be sensitive to what others expect from hisor her work and make sure these expectations are realistic, but he or shemust also ensure that these expected outcomes are realized. For example,if a student is promised additional points for doing an extra-creditassignment, the teacher must make sure the student receives them.Similarly, if a worker expects a raise in pay if he or she meets the newsales quota, the leader needs to make sure the employee receives the payincrease.

Help Others Value What They Do

The third aspect of motivating others has to do with outcomes. Whenpeople place a high value on what they are doing, they are more motivated.Without a valued outcome, people are not motivated to put effort toward agoal.

An example about playing a musical instrument may illustrate this. When

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Judy, a high school student, takes up a musical instrument (the trumpet),her first concern is about competence. She wonders, “Can I play thisthing?” After taking lessons for a period, Judy’s thoughts turn to whetheror not she can do a solo recital. With long and hard practice, she issuccessful in the recital. Finally, she asks herself, “What is all of thisworth?” This final phase is about the value of the outcome. If Judy reallywants to become a good trumpet player, she will continue to be motivatedto practice and play. If she does not find real value in playing, hermotivation will subside, and she may quit playing altogether.

As a leader, the challenge is to help others see the value in their workperformance. Whether this is done through monetary rewards, positivepersonal feedback, or giving special achievement awards, the key is tohelp others feel good about those things toward which they are directingtheir energies.

In summary, the leader’s challenge to motivate others is threefold: to helpothers feel competent, to help others get what they expect, and to helpothers see the overall value of their work. When all three of theseconditions are met, individuals will be more highly motivated about theirwork.

Leadership and Problem Solving

Obstacle 4: Complex TasksSometimes the obstacle facing people is the task itself. When a task isunstructured, ambiguous, or complex, it creates an obstacle for individuals.People are often frustrated and threatened when confronting complextasks. Some individuals may even be overwhelmed.

When a task is complex, the leader needs to use a directive leadershipstyle—to “take charge” and clarify the path to the goal. Directive leadersgive others instruction, including what is expected of them, how it is to bedone, and a timeline for when it should be completed. Being directivemeans setting clear standards of performance and making rules and

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regulations clear for others. When a leader simplifies complex tasks, ithelps followers to feel more competent about their work.

Being Directive

The following example illustrates how a supervisor effectively useddirective leadership to help one employee become more productive in herwork. Jill Jones was one of four administrative staff working for a team of45 people in product development at a large corporation. Her job was to dopayroll, scheduling, requisitions, and a number of other secretarial tasks asneeded. Jill had multiple tasks to coordinate but often seemedoverwhelmed about which task to do first. Jill’s supervisor recognized thatshe was having difficulty with her job and decided that Jill needed someguidance in managing her work demands. To reduce Jill’s stress, thesupervisor reassigned one of Jill’s overdue work assignments to anotheremployee. Next, the supervisor met with Jill and asked her to list all of herwork responsibilities and the day of the month that each had to becompleted. The supervisor had Jill fill out a calendar detailing the days ofthe week when each specific task needed to be completed (e.g., Monday 9A.M. to noon—payroll; Tuesday, 3–5 P.M.— requisitions). Jill feltrelieved after she worked through this process with her supervisor, and thewhole process was win-win. Jill felt better about her work, and her bosswas getting more work done. The manager had removed obstacles thatwere keeping Jill from adequately carrying out her job assignments.

To summarize, Jill was facing a complex group of tasks, and her supervisorresponded appropriately with directive leadership. By reducing thecomplexity of the task, the supervisor effectively assisted Jill in feelingcompetent and successful about her work.

Obstacle 5: Simple TasksSometimes the obstacle to people’s success is not complexity butsimplicity. Like complex tasks, simple and repetitive tasks can have anegative impact on motivation. There is little excitement in doing the samejob over and over again. With no variety or nuance, simple tasks becomedull and uninteresting.

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For work like this, it is important for a leader to use a supportiveleadership style. The supportive style provides what is missing—thehuman connection—by encouraging others when they are engaged in tasksthat are boring and unchallenging. Supportive leadership offers a sense ofhuman touch for those engaged in mundane mechanical activity.

Being Supportive

If you have ever observed people in a weight room at a fitness center, youhave seen how support works to counter the unpleasantness of mundanework. People who lift weights are usually engaged in a very simpleactivity. Doing repetitions is not complex. However, weight rooms areoften marked by camaraderie and supportiveness between the peoplelifting. People spot for each other and often engage in friendly banter andconversation. Their social interaction works to make their repetitive tasksmore tolerable and interesting.

To identify situations that involve mundane tasks, you need not look veryfar. Consider the following situations: working on an assembly line in anautomobile plant, swimming laps as part of training for a swim team,washing dishes at a restaurant, or studying vocabulary cards for a foreign-language quiz. Many jobs and many aspects of nearly every job have asimplicity to them that can be negative.

The solution to this problem is for a leader to be supportive and nurturing.A good leader senses when jobs are mundane and tries to give people themissing ingredient—social support. Although social support can take avariety of forms (e.g., being friendly, talking about the other’s family, orgiving compliments), the bottom line is that social support shows care forthe well-being and personal needs of the follower. When the task is notchallenging, an effective leader will provide stimulation in the form ofsocial support.

Obstacle 6: Low InvolvementHaving a voice in what happens is very important to people. When peopleare not involved in a group or an organization, their productivity goes

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down, and the group or organization suffers. People want to have anidentity that is unique from others’, but they also want to be included andto fit in with others. By expressing their own thoughts and opinions ondifferent issues, individuals are able to sense that they are contributing to agroup. When individuals sense they are not heard, their participationdecreases, they contribute less, and often they disengage from the group.

Low Involvement

Leaders should use a participative leadership style to address the issue oflow involvement. Participative leaders invite others to share in the waysand means of getting things done. They work to establish a climate that isopen to new and diverse opinions. This leader consults with others, obtainstheir ideas and opinions, and integrates their suggestions into the decisionsregarding how the group or organization will proceed.

A brief example may help to illustrate the importance of involvement.Oakwood Bistro is a small, upscale restaurant in a college town. Itemploys about 20 people as bartenders, cooks, and waitstaff. The bistrohas two managers, whom we will call Managers A and B. Manager A isvery authoritarian and strict. She stresses rules and procedures. Sheinteracts very little with the staff and seldom asks anyone for opinions orfeedback. Although Manager A is very competent and runs a tight ship,very few employees like working shifts when she is in charge.

The opposite is true when Manager B is in charge. Manager B is ademocratic leader who is friendly with everyone. He is as interested inwhat the staff and customers are saying as he is in the rules and proceduresof the place. He has nicknames for everyone who works at the bistro. Inaddition, he holds weekly “gripe” sessions during which staff memberscan express their opinions and make suggestions for how to improvethings. Needless to say, individuals like to work for Manager B, and he iseffective in his role.

Clearly, Manager B in the above example is a participative leader whoallows people to be involved in the workings of the restaurant. The staffappreciates this involvement. In groups or organizations where everyone isinvolved, there are synergistic effects that create remarkable outcomes.

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Commitment to the group goes up, and group cohesiveness growsexponentially.

Obstacle 7: Lack of a ChallengeSome people do not work well because they are not challenged by whatthey are doing. Without a challenge, these people find work uninterestingand not worthwhile. As a result, these people work less hard, or they quitand move on to something that they find more engaging.

The Need for a Challenge

A leader should adopt an achievement-oriented leadership style indealing with individuals who are not challenged. Achievement-orientedleadership is characterized by a leader who challenges individuals toperform at the highest level possible. This leader establishes a highstandard of excellence and seeks continuous improvement. In addition toexpecting a lot from followers, an achievement-oriented leader shows ahigh degree of confidence that people can reach those challenging goals.

An achievement-oriented leader continually challenges others to excel andpushes people to higher levels of success. He or she sets standards ofexcellence and challenges others to meet those standards. In the classroom,these leaders are the teachers who use an A+ grade as a way of coaxingstudents to do superior work. On the football field, they are the coacheswho promote effort by placing stars on players’ helmets for outstandingperformance. At work, they are the managers who give end-of-the-yearbonuses for individuals who go the extra mile or do more than they areexpected to do. An achievement-oriented leader is always looking forways to challenge people to perform at the highest level possible.

It is important to point out that, while achievement-oriented leadership isgood for some people, it is not for everyone. Although some people thriveon competition and like being pushed to do their best, there are those whoare internally motivated and do not need a nudge from the achievement-oriented leader. It is the leader’s responsibility to assess followers’ needsto determine when achievement-oriented leadership is indicated and for

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whom.

SummaryChallenges and difficulties will always be present for people in theworkplace. A leader plays a critical role in helping people overcome theseobstacles. Most important, effective leaders help individuals define theirgoals and the paths they wish to take to meet those goals. Based onexpectancy theory, leaders can help others be motivated by helping themto feel competent, to receive what they expect from their work, and to seethe overall value of their work.

If the obstacle a person faces is a complex task, the leader should providedirective leadership. If the obstacle is a task that is too simple or mundane,however, the leader needs to give supportive leadership. Sometimesleaders have followers who are uninvolved in the group or organization;for these individuals, the leader should adopt a participative leadershipstyle. At other times, for followers who are not challenged, the leadershould incorporate an achievement-oriented leadership style.

Obstacles will always exist and present a challenge in all endeavors. Thesign of a good leader is one who is willing to help individuals overcomethese obstacles so that they can more effectively move toward andaccomplish their goals.

Glossary Termsachievement-oriented leadership 312competent 306directive leadership 309expectancy theory 305obstacles 302participative leadership 311path–goal leadership 302supportive leadership 310

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Application

13.1 Case Study: Book Quiz Blues?As a community service project, Trey Morgan volunteered to coach aBook Quiz team of fourth graders at a local elementary school. As acollege student majoring in education, Trey was excited for theopportunity to work one-on-one with children to prepare them for thecompetition. He felt it would give him a good indication of how muchhe would like teaching and whether he would be a good teacher.

The Book Quiz is a competition where teams of students read 10 booksand compete with other teams, answering questions about the books.The teams have 10 weeks to prepare by reading the books and doingpractice quizzes.

Trey’s team members were selected by their teacher, who mandatedthat all students in her class be on a team. Trey spent an hour each weekwith his team. He made a chart, and as the students finished reading thebooks, he would put a star next to their name. He also established thatthe first student to finish all the books would get a prize.

After three weeks, one of the team members, Claire, had finished fiveof the books already and was moving way ahead of the other teammembers. Shelby had admitted to starting to read four of the books, but“they were boring” so she stopped reading them. Marco, whoannounced at the first meeting that he would win the prize for readingall 10 books first, had read three of them, but his progress had slowedconsiderably. Every time a new star was added to Claire’s name on thechart, Marco became visibly discouraged and frustrated. Garrett, on theother hand, wasn’t progressing at all. He was still reading the same 80-page book he started the first week. Trey observed that during theirmeetings Garrett would get up frequently and move around the room.He also liked to spin in circles, often hitting the other kids accidentallywith his swinging arms. When Trey tried to encourage Garrett to go forthe prize, he shrugged and said, “I can’t win that. I don’t read fast like

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Claire and Marco.”

At the six-week point, Trey panicked. His Book Quiz guidebook saidthat each team member should have read at least five of the books bynow. Claire had only read one additional book in the past three weeksbecause she had joined the track team and had little time after trackpractice and homework for reading. Marco had read four books, butdidn’t seem interested in any of the remaining books. Garrett finallyfinished the one he started, and Shelby had started them all but notcompleted one. Trey hadn’t even begun to quiz the students on thebooks because there was no point if they hadn’t read them. He did haveMarco and Claire work together on the four books they had both read,writing questions and quizzing each other.

With four weeks left, Trey has to figure out a way to get his teammotivated and focused. He has given up any hopes of winning, but doeswant his team to at least make a good showing. As he tries to give thema pep talk, encouraging them to focus so they “won’t look like idiots inthe competition,” Garrett interrupts.

“Who cares if we look like idiots?” he asks. “I didn’t ask to be on thisteam. I got put on this team. It’s a stupid competition.”

Marco gets mad. “Garrett, we are going to lose because you and Shelbywon’t read. I don’t like losing, and when we do, it will be your fault.”

Shelby and Claire both start to cry, with Claire saying she feels awfulbecause she can’t read as much anymore and she is letting everyonedown. “I have too much to do,” she wails.

Garrett gets up and spins in circles.

Marco looks at Trey. “Aren’t you going to do something?” he demandsangrily.

Trey thinks to himself that if he does anything it will be to change hismajor to business.

Questions

1. Obviously, things are not working out well for Trey and his team.If you were Trey, how would you have proceeded from thebeginning to help the team avoid or overcome its obstacles?

2. Based on the seven obstacles discussed in this chapter, identifywhich obstacles each of the team members (Claire, Shelby,

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Marco, and Garrett) is facing.3. Some of Trey’s team members seem to lack motivation. Based on

expectancy theory, how could Trey help his team members feelcompetent, get what they expect, and value what they do?

4. Based on how his team is feeling and doing, identify three specificthings Trey could do to help his students.

13.2 Path–Goal Styles Questionnaire

Purpose

1. To identify your path–goal styles of leadership2. To examine how your use of each style relates to other styles of

leadership

Directions

1. For each of the statements below, circle the number that indicatesthe frequency with which you engage in the expressed behavior.

2. Give your immediate impressions. There are no right or wronganswers.

When I am theleader . . .

Never Seldom Sometimes Often Always

1. I give clearexplanations ofwhat isexpected ofothers.

1 2 3 4 5

2. I showinterest infollowers’personalconcerns.

1 2 3 4 5

3. I invitefollowers toparticipate indecision

1 2 3 4 5

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making.

4. I challengefollowers tocontinuouslyimprove theirworkperformance.

1 2 3 4 5

5. I givefollowersexplicitinstructions forhow to do theirwork.

1 2 3 4 5

6. I showconcern for thepersonal well-being of myfollowers.

1 2 3 4 5

7. I solicitfollowers’suggestionsbefore making adecision.

1 2 3 4 5

8. I encouragefollowers toconsistentlyraise their ownstandards ofperformance.

1 2 3 4 5

9. I give cleardirections toothers for howto proceed on aproject.

1 2 3 4 5

10. I listen toothers and give

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themencouragement.

1 2 3 4 5

11. I amreceptive toideas and advicefrom others.

1 2 3 4 5

12. I expectfollowers toexcel in allaspects of theirwork.

1 2 3 4 5

Scoring

1. Sum the responses on items 1, 5, and 9 (directive leadership).2. Sum the responses on items 2, 6, and 10 (supportive leadership).3. Sum the responses on items 3, 7, and 11 (participative leadership).4. Sum the responses on items 4, 8, and 12 (achievement-oriented

leadership).

Total Scores

Directive leadership: ______________________Supportive leadership: ____________________Participative leadership: __________________Achievement-oriented leadership: __________

Scoring Interpretation

This questionnaire is designed to measure four types of path–goalleadership: directive, supportive, participative, and achievement-oriented. By comparing your scores on each of the four styles, you candetermine which style is your strongest and which is your weakest. Forexample, if your scores were directive leadership = 21, supportiveleadership = 10, participative leadership = 19, and achievement-oriented leadership = 7, your strengths would be directive andparticipative leadership, and your weaknesses would be supportive andachievement-oriented leadership. While this questionnaire measuresyour dominant styles, it also indicates the styles you may want tostrengthen or improve.

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If your score is 13–15, you are in the high range.If your score is 6–12, you are in the moderate range.If your score is 3–5, you are in the low range.

Improve Your Leadership Skills

If you have the interactive eBook version of this text, log in to accessthe interactive leadership assessment. After completing this chapter’squestionnaire, you will receive individualized feedback and practicalsugsgestions for further strengthening your leadership based on yourresponses in this questionnaire.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this questionnaire.

13.3 Observational Exercise

Obstacles

Purpose

1. To develop an understanding of the practical value of path–goalleadership as a strategy for helping followers reach their goals

2. To identify Obstacles that limit group effectiveness3. To investigate how a leader’s style helps followers overcome

obstacles to goal achievement

Directions

1. Observe a meeting, practice, or session of one the followinggroups (or a similar group): a sports team practice, a class projectgroup meeting, a weekly staff meeting at work, a fraternity orsorority council meeting, or a planning meeting for a nonprofitorganization.

2. Record what you observe at the meeting. Be specific in yourdescriptions.

General observations of the meeting:Observations of the leader’s behavior:

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Observations of group members’ behaviors:

Questions

1. What are the goals of the individuals or group you observed? Arethe goals clear?

2. What are the major obstacles confronting the individuals in thegroup?

3. What style of leadership did the leader exhibit? Was it appropriatefor the group?

4. If you were leading the group, how would you lead to help groupmembers?

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this exercise.

13.4 Reflection and Action Worksheet

Obstacles

Reflection

1. When it comes to helping people who are having problems, howdo you view your own abilities? Are you comfortable with settinggoals and giving directions to others?

2. One of the central responsibilities of a leader is to help his or herfollowers become motivated. This means helping them feelcompetent, helping them meet their expectations, and helpingthem value what they do. How would you apply these threeprinciples in a leadership situation?

3. As you reflect on the obstacles discussed in the chapter, whichobstacles would you be most and least effective at addressing?Why?

Action

1. To be an effective leader requires that you clarify the goal anddefine the path to the goal. What specific things could you do in

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an upcoming leadership situation to clarify the goal and define thepath for others?

2. As you look at your results on the Path–Goal StylesQuestionnaire, what scores would you like to change? Whichstyles would you like to strengthen? How can you make sure youexhibit the most effective style the next time you are leading agroup?

3. People vary regarding their need to be helped. Some want a lot ofassistance, and others like to be independent. Are you prepared toadapt your leadership to be helpful to those who need it? Discuss.

Visit edge.sagepub.com/northouseintro4e for a downloadableversion of this worksheet.

ReferencesHart, B. (2005, June 10). GPS voice fine for some of life’s roads but not

for others. Deseret News (Salt Lake City, UT). Retrieved fromhttp://www.deseretnews.com/article/600140296/GPS-voice-fine-for-some-of-lifes-roads-but-not-for-others.html?pg=all

Herzberg, F. (1968). Work and the nature of man. New York, NY: World.

House, R. J. (1971). A path-goal theory of leader effectiveness.Administrative Science Quarterly, 16(3), 321–328.

House, R. J. (1996). Path-goal theory of leadership: Lessons, legacy, and areformulated theory. Leadership Quarterly, 7(3), 323–352.

Lindsay, D. [Producer], & Martin, T. J. [Director]. (2012). Undefeated[Motion picture]. United States: Spitfire Studios.

Maslow, A. H. (1954). Motivation and personality. New York, NY: Harper& Row.

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Peck, M. S. (1978). The road less traveled. New York, NY: Simon &Schuster.

Skinner, B. F. (1953). Science and human behavior. New York, NY: FreePress.

Vroom, V. H. (1964). Work and motivation. New York, NY: Wiley.

Ward-Henninger, C. (2013, February 19). Coach Bill Courtney andManassas make “Undefeated” a true underdog story. MaxPreps.com.Retrieved fromhttp://www.maxpreps.com/news/pPAP2YAMCEmkJtpd2TK7Bg/coach-bill-courtney-and-manassas-make-undefeated-a-true-underdog-story.htm

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Glossary

abilitya natural or acquired capacity to perform a particular activity

accommodationan unassertive but cooperative conflict style that requires individualsto attend very closely to the needs of others and ignore their ownneeds

achievement-orienteda leader who challenges individuals to perform at the highest levelpossible, establishes a high standard of excellence, and seekscontinuous improvement

actionsthe ways one goes about accomplishing goals

administrative skillscompetencies a leader needs to run an organization in order to carryout the organization’s purposes and goals

authentic leadershipan emerging leadership approach that looks at the authenticity ofleaders and their leadership

authoritarian leadership stylea style of leadership in which leaders perceive subordinates asneeding direction and need to control subordinates and what they do

avoidancea conflict style that is both unassertive and uncooperative, andcharacterized by individuals being passive and ignoring conflictsituations rather than confronting them directly

behavior approachan approach to leadership research that focuses on behavior andexamines what leaders do and how they act

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challengeto stimulate people to commit themselves to change

changea move toward something different; a shift away from the way thingscurrently are

characterone’s qualities, disposition, and core values

charismamagnetic charm and appeal; a special personality characteristic thatgives people the capacity to do extraordinary things

cohesivenessa sense of “we-ness”; the cement that holds a group together, or theesprit de corps that exists within a group

collaborationa conflict style that requires both assertiveness and cooperation andoccurs when both parties agree to a positive settlement to the conflictand attend fully to the other’s concerns while not sacrificing orsuppressing their own

competenta leader who presents himself in a way that suggests to others (andhimself) that he knows what he is doing

competitiona conflict style of individuals who are highly assertive about pursuingtheir own goals but uncooperative in assisting others to reach theirgoals

compromisea conflict style that involves both a degree of assertiveness and adegree of cooperativeness

conceptual skillscapabilities that involve working with concepts and ideas, thethinking or cognitive aspects of leadership

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concern for peoplerefers to how a leader attends to the people in the organization whoare trying to achieve its goals

concern for productionrefers to how a leader is concerned with achieving organizationalgoals

confidencefeeling positive about oneself and one’s ability to succeed

conflicta felt struggle between two or more interdependent individuals overperceived incompatible differences in beliefs, values, and goals, orover differences in desires for esteem, control, and connectedness

conflict stylea patterned response or behavior that people use when approachingconflict

consideration behaviora relationship leadership behavior in which the leader createscamaraderie, respect, trust, and regard with followers

content conflictsinvolve struggles between leaders and others who differ on issuessuch as policies and procedures

content dimensioninvolves the objective, observable aspects of communication

contingency theorya leadership theory that focuses on the match between the leader’sstyle and specific situational variables

democratic leadership stylea style of leadership in which leaders treat subordinates as fullycapable of doing work on their own and work with subordinates,trying hard to treat everyone fairly, without putting themselves abovesubordinates

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determinationbeing focused and attentive to tasks; showing initiative, persistence,and drive

differentiationan interaction process that occurs in the early phase of conflict thathelps participants define the nature of the conflict and clarify theirpositions with regard to each other

directive leadershipa leader sets clear standards of performance and makes rules andregulations clear for others

emotional intelligenceconcerned with a person’s ability to understand his or her own andothers’ emotions, and then to apply this understanding to life’s tasks;the ability to perceive and express emotions, to use emotions tofacilitate thinking, to understand and reason with emotions, and tomanage emotions effectively within oneself and in relationships withothers

empathya process in which an individual suspends his or her own feelings inan effort to fully understand the feelings of another individual

employee orientationa relationship leadership behavior in which the leader takes an interestin workers as human beings, values their uniqueness, and givesspecial attention to their personal needs

end valuesthe outcomes or goals a leader seeks to achieve

ethical leadershipa process by which a good person rightly influences others toaccomplish a common good

ethical valuesconcerned with the character or virtuousness of the leader

expectancy theory

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people will be more highly motivated when they are capable ofperforming their work, the effort they put into a task leads to anexpected outcome, and they value the outcome

face savingcommunicative attempts to establish or maintain one’s self-image oranother’s self-image in response to threat

fractionationthe technique of breaking down large conflicts into smaller, moremanageable pieces

Gallup Organizationa public opinion research organization that conducts political pollingand research in other areas of the social sciences

goalsthe aims or outcomes an individual seeks to achieve

“Great Man” theoriesearly trait theories of leadership that focused on identifying the innatequalities and characteristics possessed by great social, political, andmilitary leaders (see also trait approach)

honestytelling the truth and representing reality as fully and completely aspossible

initiating structuretask leadership in which the leader organizes work, defines roleresponsibilities, and schedules work activities

integrityadhering to a strong set of principles and taking responsibility forone’s actions; being honest and trustworthy

intelligencehaving good language skills, perceptual skills, and reasoning ability

interpersonal skillspeople skills; those abilities that help a leader to work effectively with

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subordinates, peers, and superiors to accomplish the organization’sgoals

laissez-faire leadership stylea style of leadership, sometimes labeled nonleadership, in whichleaders ignore workers and their work motivations and engage inminimal influence

leader-member exchange (LMX) theoryconceptualizes leadership as a process that is centered on theinteractions between leaders and followers

leadershipa process whereby an individual influences a group of individuals toachieve a common goal

leadership stylethe behaviors of leaders, focusing on what leaders do and how theyact

learned behaviorsactions or behaviors people acquire through experience; ingrainedthings they come to understand throughout their life

listeningpaying attention to what people say while being attentive to whatpeople mean

mapa laid-out path to follow to direct people toward their short- and long-term goals

missionthe goal toward which a group is working, which providesorganization to the rest of its activities

modal valuesconcerned with the means or actions a leader takes

normsthe rules of behavior that are established and shared by group

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members

obstaclea problem that hinders group productivity

out-groupindividuals in a group or an organization who do not identifythemselves as part of the larger group, and who are disconnected andnot fully engaged in working toward the goals of the group

participative leadershipa leader invites others to share in the ways and means of gettingthings done

path-goal leadershipleadership in which a leader should choose a style that best fits theneeds of individual group members and the task they are doing

path-goal theorya leadership theory that examines how leaders use employeemotivation to enhance performance and satisfaction

personal styleunique habits regarding work and play, which have been ingrainedover many years and influence one’s current style

philosophy of leadershipa unique set of beliefs and attitudes about the nature of people and thenature of work that have a significant impact on an individual’sleadership style

picturean ideal image of where a group or an organization should be going

positive psychologythe “scientific” study of what makes life most worth living

powerthe capacity to influence or affect others

principled negotiation

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an approach to conflict that decides issues on their merits rather thanthrough competitive haggling or through excessive accommodation

problem-solving skillsone’s cognitive ability to take corrective action in a problem situationin order to meet desired objectives

process behaviorsbehaviors used by leaders to help group members feel comfortablewith each other and at ease in the situations in which they findthemselves

production orientationtask leadership in which the leader stresses the production andtechnical aspects of the job

realized strengthspersonal attributes that represent our strongest assets

relational approachan approach to leadership research that examines the nature ofrelations between leaders and followers

relational conflictsrefer to the differences we feel between ourselves and othersconcerning how we relate to each other

relationship behaviorsbehaviors used by leaders that help subordinates feel comfortablewith themselves, with each other, and with the situation they findthemselves in

relationship dimensionrefers to the participants’ perceptions of their connection to oneanother

relationship-oriented leadershipleadership that is focused primarily on the well-being of subordinates,how they relate to each other, and the atmosphere in which they work

servant leadership

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an emerging leadership approach that emphasizes the “caringprinciple” with leaders as “servants” who focus on their followers’needs in order to help these followers become more autonomous,knowledgeable, and like servants themselves

situational approachan approach to leadership research based on the premise that differentsituations demand different kinds of leadership

skilla competency developed to accomplish a task effectively

sociabilitycapable of establishing pleasant social relationships; being sensitiveto others’ needs and concerned for their well-being

social identity theoryexplains why and how individuals identify with particular socialgroups and how these identifications affect their behavior

social perceptivenesshaving insight into and awareness of what is important to others, howthey are motivated, the problems they face, and how they react tochange

spiritual leadershipan emerging leadership approach that examines how leaders usevalues, a sense of “calling,” and membership to motivate followers

standards of excellencethe expressed and implied expectations for performance that existwithin a group or an organization

status quothe current situation; the way things are now

strategic planninga conceptual skill, the cognitive ability to think and consider ideas todevelop effective strategies for a group or an organization

strengths

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attributes or qualities of an individual that account for successfulperformance; positive features of ourselves that make us effective andhelp us flourish

structurea blueprint for the work of a particular group that gives form andmeaning to the purposes of its activities

supportivea leader who provides what is missing—the human connection—byencouraging others when they are engaged in tasks that are boringand unchallenging; offers a sense of human touch for those engagedin mundane mechanical activity

synergythe group energy created from two or more people working together,which creates an outcome that is different from and better than thesum of the individual contributions

task behaviorsbehaviors used by leaders to get the job done

task-oriented leadershipleadership that is focused predominantly on procedures, activities,and goal accomplishments

technical competencehaving specialized knowledge about the work we do or ask others todo

themes of human talentrelatively stable, fixed characteristics—similar to personality traits—that are not easily changed

Theory Xa general theory created by Douglas McGregor in which leadersassume that people dislike work, that they need to be directed andcontrolled, and that they want security—not responsibility

Theory Ya general theory created by Douglas McGregor in which leaders

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assume that people like work, that they are self-motivated, and thatthey accept and seek responsibility

traita distinguishing personal quality that is often inherited (e.g.,intelligence, confidence, charisma, determination, sociability, orintegrity)

trait approachan approach to leadership research that focuses on identifying theinnate qualities and characteristics possessed by individuals (see also“Great Man” theories)

transformational leadership theorya theory that describes leadership as a process that changes peopleand organizations

unrealized strengthspersonal attributes that are less visible

valuesthe ideas, beliefs, and modes of action that people find worthwhile ordesirable

visiona mental model of an ideal future state

weaknesseslimiting attributes that often drain our energy and result in poorperformance

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Index

Ability, 2, 128–129, 321Abu Ghraib prison, 278Access Trips, 87Accommodation, 261–262, 321Achievement-oriented leadership, 312, 321Actions, 276–279, 281, 321Adapt, capacity to, 129Adaptive leadership, 4 (box)Administrative skills, 118–120, 118 (figure), 321Affiliation issues, 249African American employees, 192–193African National Congress, 27–28Age Discrimination Act (1975), 188Allen, A., 196Anderson, E. C., 61Apple, 62–63Approaches:

behavior, 3 (box), 6, 321defined, 3 (box)to diversity, 186–190, 187 (table)“new leadership”, 4 (box)relational, 4 (box), 6–7, 324situational, 3–4 (box), 324trait, 3 (box), 325

Aristotle, 275Assertiveness, 259Assimilation, 188, 191, 191 (table), 194Attributes. See TraitsAudience, adapting vision to, 147Authentic, feeling, 198 (table), 200Authentic leadership, 4 (box), 321Authoritarian leadership style, 83–84, 321Avoidance, 260–261, 321

Bachal, Humaira, 244–245Barrera, V., 196

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Bass, B. M., 4 (box)Bates, Edward, 229Beauchamp, T. L., 223Behavior approach, 3 (box), 6, 321Behaviors:

change, 108consideration, 105, 322learned, 56, 56 (figure), 323process, 6, 324relationship, 3 (box), 324task, 3 (box), 6, 324

Belief conflicts, 243, 245–246Bentley, Alex, 124Berggruen, Nicolas, 281Berkshire Hathaway, 61Big Brothers Big Sisters, 286“Big Five” personality factors, 3 (box)Billie Jean King Leadership Initiative, 184–185Bill & Melinda Gates Foundation, 33, 280Blake, R. R., 3 (box), 259Blanchard, K. H., 4 (box)Boal, K. B., 128–129Book Quiz, 314–315Boomers, 185Booysen, L., 185–186Bowie, N. E., 223Breakfast Club, 228Brewer, M. B., 190Bribery, 286–287Brown, Montrail, 308Brown, O. C., 308Buffett, Warren, 61, 280Building Community Questionnaire, 234–235Burns, James MacGregor, 285Burns, Ursula, 192–193

Cameron, K. S., 65–66Capacity to adapt, 129CAPP. See Centre of Applied Positive PsychologyCaring, 277 (table)

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Caring ethics, 294Carter, Jimmy, 80Case studies:

climate, 175–176conflict, 265–266diversity and inclusion, 208–209ethical leadership, 289–290leadership, understanding, 13leadership styles, 91–92obstacles, 314–315out-group members, 232–233skills, 132–133strengths, 69–70task-oriented and relationship-oriented leadership, 110traits, 37–38vision, 152–153

Centre of Applied Positive Psychology (CAPP), 55–58, 56 (figure)Challenge, 146–147, 312, 321Change, 143, 321Change behaviors, 108Character, 275–276, 277 (table), 286, 321Charisma, 24–25, 321Charismatic leadership, 142China, 287Chuard, Alain, 87, 88Chung, B. G., 191, 191 (table)Churchill, Winston, 30–31Citizenship, 277 (table)Civil Rights Act (1964), 188Clifton, Donald O., 49Climate:

about, 159–160case study, 175–176cohesiveness and, 162–166, 163 (table)defined, 159norms and, 161–162positive, 65–66questionnaire, 177–178standards of excellence and, 166–173, 167 (figure), 171 (table)structure and, 160–161

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Clinton, Bill, 28–29Coercive power, 284 (table)Cohesiveness, 162–166, 163 (table), 321Collaboration, 262–263, 321Communication:

conflict and, 241–242conflict resolution and, 255–259positive, 66skills in, 220visual, 102

Community, 221–222, 234–235Competence, 120, 305, 306, 321, 324Competition, 261, 321Compromise, 262, 321Conceptualizing Leadership Questionnaire, 14–16Conceptual skills:

about, 118 (figure), 125–126defined, 125–126, 321problem solving, 126–128, 126 (table)strategic planning, 128–130vision, creating, 130

Concern for people, 105, 321Concern for production, 104, 321Conchie, Barry, 52, 53 (table)Confidence, 23–24, 321Conflict:

about, 239–240, 243 (figure)affective element to, 241belief, 243, 245–246case study, 265–266communication and, 241–242communication strategies for resolving, 255–259content, 242–243, 245–246defined, 240, 322differences and, 241elements of, 240–241Fisher and Ury approach to, 250–255, 251 (figure)goal, 246handling, as interpersonal skill, 125interdependence and, 241

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interpersonal, 240intrapersonal, 240Kilmann and Thomas styles of approaching, 259–263, 260(figure)procedural, 246questionnaire, 267–269relational, 246–250, 323societal, 240as struggle, 240substantive, 246value, 243, 246

Conflict Style Questionnaire, 267–269Conflict styles:

about, 259, 260 (figure)accommodation, 261–262avoidance, 260–261collaboration, 262–263competition, 261compromise, 262defined, 259, 322

Consideration behavior, 105, 322Constructive climate. See ClimateConstructive feedback, 170, 171 (table)Content conflict, 242–243, 245–246, 322Content dimension, 242, 322Contingency theory, 4 (box), 322Contributions, recognizing, 225–226Control issues, 248–249Cooperativeness, 259Courtney, Bill, 307–308Covey, S. R., 141–142Criteria, in principled negotiation, 254–255Cultural Diversity Questionnaire, 210–212Culture, 47–48, 60, 286–287

Daniels, Chavis, 307Dark side of leadership, 8–9Das, Reena, 144–145Daya Dan (orphanage), 144Dean, M. A., 191, 191 (table)

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Deloitte, 184–185Democratic leadership style, 85, 322Determination, 25, 322Dickson, M. W., 286Differentiation, 189, 190, 191 (table), 194, 255–256, 322Directions, unclear, 304–305Directive leadership, 309, 322Discrimination, systemic, 202Diversity:

approaches to, 186–190, 187 (table)defined, 184–185, 185 (table)recognizing, attending to, and honoring, 198 (table), 200–201See also Diversity and inclusion

Diversity and inclusion:about, 183–184barriers to, 201–205case study, 208–209historical perspective, 186–190, 187 (table)inclusion framework, 190–191, 191 (table), 194inclusive practices model, 194–197, 195 (figure)leader practices advancing, 197–201, 198 (table)questionnaire, 210–212as terms, 183–184Xerox Corporation, 192–193

Dorfman, P. W., 22Dream Foundation Trust Model Street School, 245Duty ethics, 294Dyslexia, 102

Eastern Michigan University, 122Education in Pakistan, 244–245Egoism ethics, 294Eisenberg, Pablo, 281Ely, R. J., 188Emotional intelligence, 3 (box), 122, 124–125, 322Empathy, 124–125, 224, 225 (table), 322Employee orientation, 105, 322Empowerment, 228Empower the Children (ETC), 144–145End values, 285, 322

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Engagement, 197, 198 (table)Equal employment opportunity laws, 187–188Equal Pay Act (1963), 188Esteem issues, 247Ethical leadership:

about, 273–274actions in, 276–279, 281case study, 289–290character in, 275–276, 277 (table), 286culture and, 286–287defined, 274, 322factors, 274–286goals in, 281–282honesty in, 282–283power in, 284–285, 284 (table)questionnaire, 291–294values in, 285–286

Ethical Leadership Style Questionnaire, 291–294Ethical values, 285, 322Ethnocentrism, 201–202Excellence, standards of, 166–173, 167 (figure), 171 (table), 324Exclusion, 190, 191 (table)Executive Orders (1961–1965), 188Expectancy theory, 225, 305, 322Expert power, 284 (table)

Face saving, 257–259, 322Fairness, 277 (table), 279, 285Feedback, constructive, 170, 171 (table)Feelings, 241Ferdman, B. M., 184, 186, 194, 196, 197, 198 (table)Fisher, Roger, 239, 240, 250–255, 251 (figure), 256, 258Fisher and Ury approach to conflict:

about, 250, 251 (figure)criteria, 254–255interests, 252–253options, 253–254people, 251–252

Fox, Anne, 26Fox, Terry, 149–150 (box)

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Fractionation, 256–257, 322Francis, Pope, 32French, J. R., Jr., 284

Gallup Organization, 48–49, 50–53, 51 (table), 52 (figure), 53 (table),322Gandhi, Mohandas, 24–25Gardner, Howard, 58–59Gates, Bill, 32–33, 280Gates, Melinda, 280Gender-based studies, 4 (box)Gen-Xers, 185Getting to Yes (Fisher & Ury), 239Giffoniello, Rosalie, 144–145Giving Pledge, 280–281Global Leadership and Organizational Behavior Effectiveness(GLOBE) studies, 8, 8 (table)Goals, 246, 281–282, 303–304, 322Golden Rule, 279Gordon, A., 108“Great Man” theories, 3 (box), 322

See also Trait approachGroup inclusive practices, 195–196, 195 (figure)Group synergy, 222–223Gupta, V., 22

Hanges, P. J., 22, 286Harrison, D. A., 184Harvey, C. P., 189Healey, J. P., 188Henderson, L., 184Herring, C., 184Hersey, P., 4 (box)Hewlett-Packard (HP), 168–169Hewlett, William, 168Hocker, J. L., 240, 241Hogan, R., 9Holcombe Ehrhard, K., 191, 191 (table)Honesty, 282–283, 322Hooijberg, R., 128–129

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House, Robert, 8, 22, 302“House Divided” speech (Lincoln), 230Human Side of Enterprise, The (McGregor), 78Hussein, Saddam, 284–285

“I” language, 171 (table)Inclusion:

defined, 185–186framework for, 190–191, 191 (table), 194of out-group members, 227See also Diversity and inclusion

Inclusive practices model, 194–197, 195 (figure)Individual inclusive practices, 195 (figure), 196, 197Influence, 7, 88, 89 (figure), 198 (table), 199Initiating structure, 103–104, 322Integrity, 26, 29, 286, 322Intelligence, 22–23, 323Interdependence, 241Interests, 252–253Interpersonal conflict, 240Interpersonal inclusive practices, 195 (figure), 196Interpersonal skills, 118 (figure), 121–122, 125, 323Into Thin Air (Krakauer), 148Intrapersonal conflict, 240Involvement, 198–199, 198 (table), 311

Javidan, M., 22Jay, Rohrlich, 101Jobs, Steve, 62–63Johnson, Sally, 107 (box)Josephson Institute, 276, 277 (table)Justice, 279, 285Justice ethics, 294

Kaiser, R. B., 9Kennedy, John F., 24, 146, 147Kilmann, R. H., 259, 260 (figure)Kilmann and Thomas conflict styles:

about, 259, 260 (figure)accommodation, 261–262

467

avoidance, 260–261collaboration, 262–263competition, 261compromise, 262

King, Martin Luther, Jr., 25Kotter, John P., 61Kouzes, J. M., 142, 173Krakauer, Jon, 148

LaFasto, F. M. J., 166, 170Laissez-faire leadership style, 85–86, 323Language, 148Larson, C. E., 166, 170Leader influence, 88, 89 (figure)Leader–member exchange (LMX) theory, 4 (box), 227–228, 323Leadership:

as ability, 2,5as behavior, 3 (box), 6dark side of, 8–9defined, 323evolution of, 3–4 (box), 5 (figure)as influence process, 7as relationship, 4 (box), 6–7as skill, 5–6as trait, 2, 3 (box)See also specific topics; specific types

Leadership inclusive practices, 195 (figure), 196Leadership skills. See SkillsLeadership Skills Questionnaire, 134–135Leadership Snapshots:

Bachal, Humaira, 244–245Courtney, Bill, 307–308Giffoniello, Rosalie, 144–145Giving Pledge, 280–281Jobs, Steve, 62–63Lincoln, Abraham, 229–230Mandela, Nelson, 27–28Nooyl, Indra, 10–11Ransom, Victoria, 87–88Washington, Coquese, 123–124

468

Whitman, Meg, 168–169Wilz, Mick, 102–103Xerox Corporation, 192–193

Leadership Strengths Questionnaire, 71–73Leadership styles:

about, 82–83authoritarian, 83–84, 321case study, 91–92defined, 82–83, 323democratic, 85, 322laissez-faire, 85–86, 323leader influence and, 88, 89 (figure)questionnaire, 93–94

Leadership Styles Questionnaire, 93–94Leadership traits. See TraitsLeadership Traits Questionnaire, 39–41Leadership Vision Questionnaire, 154–155Learn, ability to, 128–129Learned behaviors, 56, 56 (figure), 323Legal precedent/ramifications, 254Legitimate power, 284 (table)Lembke, Jessica, 106 (box)Leukemia and Lymphoma Society’s Team In Training, 146–147Lewin, K., 83Lincoln, Abraham, 229–230Linley, A., 48Lipman-Blumen, J., 9Lippitt, R., 83Listening, 224, 323LMX theory. See Leader–member exchange theoryLobo, Rebecca, 123Loden, M., 185, 185 (table)Loehr, J., 142

Machiavelli, N., 3 (box)MacKie, D., 59Management by walking around, 119Managerial wisdom, 129Managing people, 119Managing resources, 119–120

469

Manassas High School (North Memphis, TN), 307–308Mandela, Nelson, 25, 276Maps, 146, 323Marathon of Hope, 149–150 (box)Maslow, A., 247Mathews, Elizabeth, 106–107 (box)Mayer, J. D., 124McGraw, Muffet, 123McGregor, Douglas, 78

See also Theory X; Theory YMeaning, positive, 66Melting pot metaphor, 188Microsoft Corporation, 32, 33Millennials, 185Mission, 160, 323Missionaries of Charity, 31–32, 144Mitchelson, J. A., 286Modal values, 285, 323Moral standards, 254Motivation, low, 305–306, 308–309Mouton, J. S., 3, 259Myers, V. A., 186

“New leadership” approach, 4 (box)NeXT Computer, 62Nooyl, Indra, 10–11Norms, 161–162, 323Notre Dame, 123

Observations, 171 (table)Obstacles:

about, 302–303, 303 (figure)case study, 314–315challenge, lack of, 312defined, 301, 323directions, unclear, 304–305goals, unclear, 303–304involvement, low, 311motivation, low, 305–306, 308–309questionnaire, 316–317

470

tasks, complex, 309–310tasks, simple, 310–311

Options, in principled negotiation, 253–254Organizational Climate Questionnaire, 177–178Organizational inclusive practices, 194, 195 (figure), 197Ouchi, William, 82Outcomes, valued, 308Out-group members:

about, 217–218case study, 232–233contributions, recognizing, 225–226defined, 219, 323empathy for, 224, 225 (table)empowering, 228formation of out-groups, 219–220impact of, 221–223including, 227listening to, 224questionnaire, 234–235special relationship with, 227–228voice, giving, 228

Packard, David, 168Padilla, A., 9Pakistan, 244–245Paraphrasing, 225 (table)Participative leadership, 313, 323Path–goal leadership, 302–303, 316–317, 323Path–Goal Styles Questionnaire, 316–317Path–goal theory, 4 (box), 323Peck, Scott, 301Penn State, 123–124People:

concern for, 105, 321managing, 119in principled negotiation, 251–252

PepsiCo, 10–11Performance issues, resolving, 170Performance reviews, 172Personality clash, 246

471

See also Relational conflictPersonal styles, 100, 323Phelps, Michael, 24Philanthropy, 280–281Philosophy of leadership:

about, 78defined, 78, 323Theory X, 78–80, 79 (table)Theory Y, 80–82, 80 (table)

Pictures, 142–143, 323Pixar Animation Studios, 62Plagiarism, 289–290Planning, strategic, 128–130, 324Pluralism, 189Positive Leadership (Cameron), 65–66Positive psychology, 49–50, 323Posner, B. Z., 142, 173Power, 284–285, 284 (table), 323Practice, 24Precedent, 254Prejudice, 202–203Principled negotiation:

about, 250, 251 (figure)criteria, 254–255defined, 250, 323interests, 252–253options, 253–254people, 251–252

Privilege, 204–205Problem factor, 251–252Problem identification, 126–127Problem-solving skills, 126–128, 126 (table), 323Procedural conflict, 246Process behaviors, 6, 323Production, concern for, 104, 321Production orientation, 104, 323Productivity, 164Professional standards, 254

Questionnaires:

472

climate, 177–178conflict, 267–269diversity and inclusion, 210–212ethical leadership, 291–294leadership styles, 93–94obstacles, 316–317out-group members, 234–235skills, 134–135traits, 39–41vision, 154–155

R2 Strengths Profiler, 55–58, 56 (figure)Randel, A. E., 191, 191 (table)Ransom, Victoria, 87–88Rath, Tom, 52, 53 (table)Raven, B., 284Realized strengths, 55, 56 (figure), 323Reddin, W. J., 4 (box)Referent power, 284 (table)Reflected Best Self Exercise, 59Reflection, 225 (table)Relational approach, 4 (box), 6–7, 323Relational conflict:

about, 246–247, 249–250affiliation issues and, 249control issues and, 248–249defined, 246–247, 323esteem issues and, 247

Relationship behaviors, 3 (box), 324Relationship dimension, 242, 324Relationship-oriented leadership, 104–105, 104 (figure), 106–107(box), 108, 110, 324Relationships, positive, 66Relationship style, 101, 107 (box)Resick, C. J., 286Resources, managing, 119–120Respect, 198 (table), 199, 223, 277 (table), 279Responsibility, 79, 81, 277 (table)Restatement, 225 (table)Results:

473

requiring, 170reviewing, 170–173, 171 (table)rewarding, 173

Reward power, 284 (table)Rivera, L. A., 205Road Less Traveled, The (Peck), 301

Safety, 198, 198 (table)Salad metaphor, 189Salovey, P., 124Same-sex couples, 196–197Scandals, 273–274Schutz, William, 186, 190, 227Schwartz, B., 30Schwartz, T., 142Scientific judgment, 255Servant leadership, 4 (box), 324Serving others, 279Seward, William, 229–230Shore, L. M., 191, 191 (table)Sin, H., 184Singh, G., 191, 191 (table)Situational approach, 3–4 (box), 324Skills:

about, 117–118, 118 (figure)administrative, 118–120, 118 (figure), 321case study, 132–133communication, 220conceptual, 118 (figure), 125–130, 321defined, 5, 324interpersonal, 118 (figure), 121–122, 125, 323leadership as, 5–6problem-solving, 126–128, 126 (table), 323questionnaire, 134–135social, 220

Smorgasbord metaphor, 189Sociability, 25–26, 324Social identity theory, 219–220, 324Social perceptiveness, 121–122, 324Social skills, 220

474

Societal conflict, 240Societal inclusive practices, 194, 195 (figure), 196–197Solutions, 127–128South Africa, 27–28Special relationship with out-group members, 227–228Spiritual leadership, 4 (box), 324Standards:

of excellence, 166–173, 167 (figure), 171 (table), 324moral, 254professional, 254

Status quo, 142, 324Stepnick, A., 188Stereotypes, 203–204Strategic planning, 128–130, 324Strength equation, 51, 52 (figure)Strengths:

about, 47–48case study, 69–70culture and, 47–48, 60defined, 48, 55, 324developing your, 59–61, 61 (figure)domains of, 52, 53 (table)historical background, 48–58identifying your, 58–59, 58 (table)questionnaire, 71–73realized, 55, 56 (figure), 323recognizing/engaging strengths of others, 63–65teams and, 52–53unrealized, 55–56, 56 (figure), 325work environment and, 65–66See also Weaknesses

StrengthsFinder, 49, 51–53, 52 (figure)Structure, 103–104, 160–161, 324Struggle, conflict as, 240Style:

personal, 100, 323relationship, 101, 107 (box)task, 100–101, 106 (box), 107 (box)See also Conflict styles; Leadership styles

Substantive conflict, 246

475

Support, 225 (table)Supportive leadership, 310, 324Sur-Seal, 102–103Syllabi, 160–161Symbols, 148Synergy, 161, 222–223, 324Systemic discrimination, 202

Taber, T., 108Talent themes, 50–51, 51 (table), 324Task and Relationship Questionnaire, 111–112Task behaviors, 3 (box), 6, 324Task-oriented leadership, 103–104, 104 (figure), 106, 108, 110, 324Tasks:

complex, 309–310simple, 310–311

Task style, 100–101, 106 (box), 107 (box)Team In Training, 146–147Teams, 52–53Technical competence, 120, 324Teresa, Mother, 31–32, 142Terry, Robert, 252Themes of human talent, 50–51, 51 (table), 324Theories, defined, 3 (box)

See also specific theoriesTheory X, 78–80, 79 (table), 324Theory Y, 80–82, 80 (table), 324Theory Z, 82Thomas, D. A., 188Thomas, K. W., 259, 260 (figure)Three Rs, 167, 169–173Tradition, 255Trait approach, 3 (box), 325Traits:

about, 22case study, 37–38charisma, 24–25confidence, 23–24defined, 2, 325determination, 25

476

global leadership, 8, 8 (table), 22integrity, 26, 29intelligence, 22–23leadership as, 2, 3 (box)in practice, 29–35questionnaire, 39–41sociability, 25–26

Transformational leadership theory, 4 (box), 325Trustworthiness, 277 (table)

Understanding, 23–24University of Michigan, 121–122, 148University of Washington rowing team, 164Unrealized strengths, 55–56, 56 (figure), 325Upjohn Company, 166, 167 (figure)Ury, William, 239, 240, 250–255, 251 (figure), 256, 258Utilitarian ethics, 294

Valued, feeling, 198 (table), 199, 309Values:

conflict regarding, 243, 246defined, 143, 325end, 285, 322ethical, 285, 322ethical leadership, 285–286modal, 285, 323vision as, 143, 145–146, 147Wildfire Interactive, 87–88

Values in Action Classification of Character Strengths, 53–54, 54(table)Values in Action (VIA) Institute, 53–55, 54 (table)Values in Action Inventory of Strengths (VIA-IS), 54–55Virtue ethics, 294Vision:

about, 141–142adapting to audience, 147articulating, 147–148case study, 152–153as challenge, 146–147as change, 143

477

as conceptual skill, 130defined, 141, 325implementing, 148–149, 149–150 (box)as map, 146as picture, 142–143questionnaire, 154–155as values, 143, 145–146, 147

Visual communication, 102Voice, giving to out-group members, 228Vuong, V., 196

Washington, Coquese, 123–124Washington, George, 29–30Weaknesses, 56–57, 56 (figure), 61, 63, 325

See also StrengthsWhite, R. K., 83Whitman, Meg, 168–169Whole, feeling, 198 (table), 200Wildfire Interactive, 87–88Wilmot, W. W., 240, 241Wilz, Mick, 102–103Winfrey, Oprah, 33–34Wisdom, managerial, 129Women employees, 192–193Women’s National Basketball Association (WNBA), 123Wooden, John, 5Work, attitudes toward, 78–79, 80Work and Love (Rohrlich), 101Work environment, positive, 65–66

Xerox Corporation, 192–193

Yousafzai, Malala, 244, 245Yukl, G., 108

Zuckerberg, Mark, 281

478

Table of Contents

Preface 15About the Author 241. Understanding Leadership 26

Introduction 26Leadership Explained 26

“Leadership Is a Trait” 27“Leadership Is an Ability” 27“Leadership Is a Skill” 32“Leadership Is a Behavior” 32“Leadership Is a Relationship” 33“Leadership Is an Influence Process” 33

Global Leadership Attributes 34The Dark Side of Leadership 36Leadership Snapshot: Indra Nooyi 37Summary 40Application 41

1.1 Case Study 411.2 Conceptualizing Leadership Questionnaire 421.3 Observational Exercise 481.4 Reflection and Action Worksheet 49

References 502. Recognizing Your Traits 52

Introduction 52Leadership Traits Explained 52

Intelligence 54Confidence 54Charisma 56Determination 57Sociability 58Integrity 58

Leadership Snapshot: Nelson Mandela 59

479

Leadership Traits in Practice 62George Washington (1732–1799) 63Winston Churchill (1874–1965) 67Mother Teresa (1910–1997) 67Bill Gates (1955–) 69Oprah Winfrey (1954–) 72

Summary 74Application 76

2.1 Case Study 762.2 Leadership Traits Questionnaire 782.3 Observational Exercise 842.4 Reflection and Action Worksheet 86

References 863. Engaging Strengths 90

Introduction 90Strengths-Based Leadership Explained 91

Historical Background 91Identifying and Measuring Strengths 93

Strengths-Based Leadership in Practice 104Discovering Your Strengths 104Developing Your Strengths 106Addressing Your Weaknesses 108

Leadership Snapshot: Steve Jobs 109Recognizing and Engaging the Strengths of Others 112Fostering a Positive Strengths-Based Environment 114

Summary 115Application 118

3.1 Case Study 1183.2 Leadership Strengths Questionnaire 1193.3 Observational Exercise 1253.4 Reflection and Action Worksheet 126

References 1274. Understanding Philosophy and Styles 131

Introduction 131

480

Leadership Philosophy Explained 131Theory X 132Theory Y 134

Leadership Styles Explained 138Authoritarian Leadership Style 139Democratic Leadership Style 141Laissez-Faire Leadership Style 141

Leadership Snapshot: Victoria Ransom 143Leadership Styles in Practice 146Summary 147Application 149

4.1 Case Study 1494.2 Leadership Styles Questionnaire 1514.3 Observational Exercise 1554.4 Reflection and Action Worksheet 156

References 1575. Attending to Tasks and Relationships 159

Introduction 159Task and Relationship Styles Explained 160

Task Style 160Relationship Style 161

Leadership Snapshot: Mick Wilz 162Task and Relationship Styles in Practice 162

Task Leadership 164Relationship Leadership 165

Summary 171Application 172

5.1 Case Study 1725.2 Task and Relationship Questionnaire 1745.3 Observational Exercise 1775.4 Reflection and Action Worksheet 179

References 1806. Developing Leadership Skills 182

Introduction 182

481

Administrative Skills Explained 183Administrative Skills in Practice 184

Interpersonal Skills Explained 187Interpersonal Skills in Practice 187

Leadership Snapshot: Coquese Washington 189Conceptual Skills Explained 193

Conceptual Skills in Practice 193Summary 199Application 200

6.1 Case Study 2006.2 Leadership Skills Questionnaire 2036.3 Observational Exercise 2076.4 Reflection and Action Worksheet 209

References 2107. Creating a Vision 213

Introduction 213Vision Explained 214

A Picture 215A Change 215Values 215

Leadership Snapshot: Rosalie Giffoniello 216A Map 220A Challenge 220

Vision in Practice 221Articulating a Vision 222Implementing a Vision 223

Summary 226Application 227

7.1 Case Study 2277.2 Leadership Vision Questionnaire 2297.3 Observational Exercise 2327.4 Reflection and Action Worksheet 234

References 2348. Establishing a Constructive Climate 237

482

Introduction 237Constructive Climate Explained 237Climate in Practice 238

Providing Structure 238Clarifying Norms 239Building Cohesiveness 241Promoting Standards of Excellence 245

Leadership Snapshot: Meg Whitman 248Summary 255Application 257

8.1 Case Study 2578.2 Organizational Climate Questionnaire 2598.3 Observational Exercise 2638.4 Reflection and Action Worksheet 265

References 2669. Embracing Diversity and Inclusion 268

Introduction 268Diversity and Inclusion Explained 269

Definitions 269Brief Historical Perspective 272

Inclusion Framework 277Leadership Snapshot: Ursula Burns 279Diversity and Inclusion in Practice 283

Model of Inclusive Practices 283Leader Practices That Advance Diversity and Inclusion 287Barriers to Embracing Diversity and Inclusion 292

Summary 298Application 300

9.1 Case Study 3009.2 Cultural Diversity Awareness Questionnaire 3029.3 Observational Exercise 3099.4 Reflection and Action Worksheet 310

References 31110. Listening to Out-Group Members 316

483

Introduction 316Out-Group Members Explained 317

How Out-Groups Form 318The Impact of Out-Group Members 320

Out-Group Members in Practice 324Strategy 1: Listen to Out-Group Members 324Strategy 2: Show Empathy to Out-Group Members 325Strategy 3: Recognize the Unique Contributions of Out-Group Members

325

Strategy 4: Help Out-Group Members Feel Included 328Strategy 5: Create a Special Relationship With Out-GroupMembers

329

Strategy 6: Give Out-Group Members a Voice and EmpowerThem to Act

329

Leadership Snapshot: Abraham Lincoln 330Summary 333Application 334

10.1 Case Study 33410.2 Building Community Questionnaire 33710.3 Observational Exercise 34210.4 Reflection and Action Worksheet 343

References 34411. Managing Conflict 346

Introduction 346Conflict Explained 347

Communication and Conflict 349Conflict on the Content Level 350

Leadership Snapshot: Humaira Bachal 351Conflict on the Relational Level 355

Managing Conflict in Practice 359Fisher and Ury Approach to Conflict 360Communication Strategies for Conflict Resolution 366Kilmann and Thomas Styles of Approaching Conflict 371

Summary 376

484

Application 37811.1 Case Study 37811.2 Conflict Style Questionnaire 38011.3 Observational Exercise 38411.4 Reflection and Action Worksheet 385

References 38612. Addressing Ethics in Leadership 389

Introduction 389Leadership Ethics Explained 390Leadership Ethics in Practice 390

1. The Character of the Leader 3922. The Actions of the Leader 393

Leadership Snapshot: Warren Buffett and Bill and Melinda Gates 3983. The Goals of the Leader 4004. The Honesty of the Leader 4025. The Power of the Leader 4036. The Values of the Leader 405

Culture and Leadership Ethics 407Summary 407Application 409

12.1 Case Study 40912.2 Sample Items From the Ethical Leadership StyleQuestionnaire

411

12.3 Observational Exercise 41812.4 Reflection and Action Worksheet 419

References 42013. Overcoming Obstacles 423

Introduction 423Obstacles Explained 423Overcoming Obstacles in Practice 424

Obstacle 1: Unclear Goals 425Obstacle 2: Unclear Directions 426Obstacle 3: Low Motivation 428

Leadership Snapshot: Bill Courtney 429

485

Obstacle 4: Complex Tasks 433Obstacle 5: Simple Tasks 435Obstacle 6: Low Involvement 436Obstacle 7: Lack of a Challenge 437

Summary 438Application 439

13.1 Case Study 43913.2 Path–Goal Styles Questionnaire 44113.3 Observational Exercise 44413.4 Reflection and Action Worksheet 445

References 446Glossary 448Index 459

486