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Leadership

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Copyright 2012 by The McGraw-Hill Companies, Inc. All rights
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of this publication may be reproduced or distributed in any form
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The instructor is solely responsible for the editorial content of such
materials. Instructors retain copyright of these additional materials.
ISBN-13: 9781121636460
ISBN-10: 1121636462

Contents
i. Preface 1
ii. The Art of Leadership 5
1. The Importance of Leadership: Setting the Stage 7

Leadership

21

Variables
2. The Leadership Equation 24
3. Leadership Qualities, Characteristics of Followers, and Situational Factors 38

The Power of

69

Vision
4. The Importance of Vision and the Motive to Lead 72
5. Organizational Climate 89

The Importance of

103

Ethics
6. Leadership Ethics 106
7. The Role of Values and Ethics at Work 119

The Empowerment of

157

People
8. Leadership Authority 160
9. Empowerment in the Workplace and the Quality Imperative 175

Leadership

197

Principles
10. Effective Leadership and Human Relations 200
11. The Team Concept 230

Understanding

263

People
12. Human Behavior and the Art of Persuasion 267
13. The Diversity Challenge 297

Multiplying

319

Effectiveness
14. Effective Delegation and How to Assign Work 322
15. The Role of Personality 340

Developing

365

Others
16. The Leader as Coach 368
17. Helping People through Change and Burnout Prevention 382

Performance

427

Management

iii

18. Managing Performance 430


19. Professional Performance and Sustaining Discipline 445
20. The Road Ahead: Challenge and Charge 477
A. Endnotes 486
B. Glossary 508
C. Index 516

iv

Credits
i. Preface: Chapter from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 1
ii. The Art of Leadership: Chapter from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 5
1. The Importance of Leadership: Setting the Stage: Chapter 1 from The Art of Leadership, Fourth Edition by Manning,
Curtis, 2012 7

Leadership

21

Variables
2. The Leadership Equation: Chapter 2 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 24
3. Leadership Qualities, Characteristics of Followers, and Situational Factors: Chapter 3 from The Art of Leadership,
Fourth Edition by Manning, Curtis, 2012 38

The Power of

69

Vision
4. The Importance of Vision and the Motive to Lead: Chapter 4 from The Art of Leadership, Fourth Edition by Manning,
Curtis, 2012 72

5. Organizational Climate: Chapter 5 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 89

The Importance of

103

Ethics
6. Leadership Ethics: Chapter 6 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 106
7. The Role of Values and Ethics at Work: Chapter 7 from The Art of Leadership, Fourth Edition by Manning, Curtis,
2012 119

The Empowerment of

157

People
8. Leadership Authority: Chapter 8 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 160
9. Empowerment in the Workplace and the Quality Imperative: Chapter 9 from The Art of Leadership, Fourth Edition
by Manning, Curtis, 2012 175

Leadership

197

Principles
10. Effective Leadership and Human Relations: Chapter 10 from The Art of Leadership, Fourth Edition by Manning,
Curtis, 2012 200

11. The Team Concept: Chapter 11 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 230

Understanding

263

People
12. Human Behavior and the Art of Persuasion: Chapter 12 from The Art of Leadership, Fourth Edition by Manning,
Curtis, 2012 267

13. The Diversity Challenge: Chapter 13 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 297

Multiplying

319

Effectiveness
14. Effective Delegation and How to Assign Work: Chapter 14 from The Art of Leadership, Fourth Edition by Manning,
Curtis, 2012 322

15. The Role of Personality: Chapter 15 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 340

Developing

365

Others
16. The Leader as Coach: Chapter 16 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 368
17. Helping People through Change and Burnout Prevention: Chapter 17 from The Art of Leadership, Fourth Edition by
Manning, Curtis, 2012 382

Performance

427

Management
18. Managing Performance: Chapter 18 from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 430
19. Professional Performance and Sustaining Discipline: Chapter 19 from The Art of Leadership, Fourth Edition by
Manning, Curtis, 2012 445

20. The Road Ahead: Challenge and Charge: Chapter 20 from The Art of Leadership, Fourth Edition by Manning, Curtis,
2012 477

A. Endnotes: Chapter from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 486
B. Glossary: Chapter from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 508
C. Index: Chapter from The Art of Leadership, Fourth Edition by Manning, Curtis, 2012 516

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Preface
Theword leaderfirstappearedintheEnglishlanguageinthe1300s,comingfromthe
rootword ledenmeaningtotravelorshowtheway.Theterm leadershipfollowed
somefivecenturieslater.Todaythestudyofleadershipismultidisciplinarywithcontri
butionsfromhistory,philosophy,psychology,politicalscience,business,andeducation.
Thefourtheditionof The Art of Leadershipcombinesbehaviortheorywith
businesspracticetoteachcentralconceptsandskillsinleadership.Thebookismade
morevaluableandtheimpactgreaterbytheselfevaluationquestionnairesand
practicalexercisesthatareusedforpersonaldevelopmentandclassinvolvement. The
Art of Leadership,fourthedition,ismorethanatextbook;itisalearningbookthat
activelyinvolvesthereaderinthelearningprocess.
Thefourtheditionteachesleadershipinawaythatisappropriateforbothnewand
experiencedleaders,aswellasfortheeverydaypersonwhomustinfluenceothersto
getthingsdone.Ourgoalisforyoutousethisbooktodevelopyourfullpotentialas
aleader,to become the kind of leader you always wanted to have,andtohelpyou
becomeagood,andperhapsevenagreatleader.
Thefourtheditionof The Art of Leadershipaddstheoreticalfoundationaswellas
learningexercisestopersonalizethesubject.Topicsincludeleadershiptraitand
behaviortheories,charismaticandtransformationalleadership,leadershipethicsand
values,humanrelationsandtheempowermentofpeople,theteamconceptandgroup
dynamics,leaderascoachanddeveloperofpeople,culturaldiversityandtheglobal
economy,stressintheworkplaceandadaptivecapacity,andperformancemanage
mentandorganizationalsuccess.
Wehaverevisedeachpartofthebookbasedoncommentsprovidedbystudents
andcolleagueswhousedthefirstthreeeditionsandonformalreviewssubmittedbya
crosssectionofinstructorsfromcommunitycolleges,fouryearschools,anduniver
sitieswithgraduateprogramsinleadership.Wehaveattemptedtotightenupthe
writing,expandonrealworldexamples,andbroadencoveragetoareasthathave
emergedmorerecentlyontheleadershipscene.Usinganevidencebasedmanage
mentapproach,thebookisthoroughlyreferencedwithclassicandcurrentcitations.
Thenumberofreferenceshasincreasedfrom722to840.
Wehaveretainedthemostpopularfeaturesfrompreviouseditionsandhaveadded
newmaterialinthefollowingareas:

Part 1:leadershipfailure,leadershipintelligence,followership

Part 2:workplaceculture,leadershipvision,organizationalalignment

Part 3:moralbehavior,leadershipvalues,organizationalethics

Part 4:servantleadership,thequalityimperative,civilworkclimate

Part 5:employeemorale,virtualleadership,leadingteams

Part 6:employeeengagement,emotionalintelligence,crossculturalleadership,
womeninleadership,generationaldifferences

Part 7:leadershippersonalityandleadershipskills

Part 8:leadingchange,worklifebalance,leadershipcoaching,employeeretention

Part 9:performancemanagement,innovation,sustainingdiscipline

Videocaseswithquestionsfordiscussionareincludedtoenhanceeachpartofthe
text.Websitesareidentifiedforadditionalinformation.
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Leadership

Preface

Central Ideas of This Book


Thisbookisbasedontwoideas.Thefirstisthatleadershipwilltakeplacetothe
extenttheleadercaresabouttheworktobedone.Equallyimportant,theleadermust
careaboutpeople.Neitherofthesequalitiesissufficientwithouttheother,and
neithercanbefalse.Peopleknowwhentheleadercares.Whentheleaderis
committedtothetaskandisconcernedaboutpeople,thesequalitiesserveasmagnets
andmotivatorstofollowers,andtheirpotentialforachievementbecomesenormous.
Thesecondpremiseofthebookisthatleadershipisanartthatcanbedeveloped
throughmasteryofninekeyareasofsuccess.Thesuccessfulleadermustpossess
knowledgeandskillsinthefollowingareas:understandingleadershipvariables,the
powerofvision,theimportanceofethics,theempowermentofpeople,leadership
principles,understandingpeople,multiplyingeffectiveness,developingothers,and
performancemanagement.

Who Should Read This Book?


Thefourtheditionof The Art of Leadershipiswrittenforstudentsinleadership
developmentandothermanagementrelatedcourses,suchasleadershipprinciples,
contemporaryleadership,andmanagerialskills.Itisappropriateforleadership
coursesinbusiness,education,psychology,communication,healthcare,criminal
justice,military,andpublicadministration.
The Art of Leadership,fourthedition,isappropriateforuseattheuniversitylevel
aswellasincorporateuniversityprograms.Itisideallysuitedforundergraduate
degreecompletionstudentsandorganizationbasededucation,wherethereisan
emphasisondevelopingleadershipcompetency.Nopriorcourseworkinbusinessor
managementisrequired.
Thelevelofmaterialisappropriateforbothemergingandexperiencedleaders.
Emergingleaderscanusethisbooktopreparethemselvestomeetthedemandsof
beingaleader.Havingavisionofwhatshouldbedone,effectivelyusingauthority,
motivatingpeopletoperformattheirbest,andsolvingtoughpersonnelproblems
discussedinParts2,4,6,and9arechallengesallleadersmustface.
Experiencedleaderscanusethisbooktoaddressworkplaceissues,takingleader
shipskillstonewlevelsofeffectiveness.Matchingleadershipstylewiththeneedsof
followers,leadingbyvaluesandethicalprinciples,raisingemployeemorale,dele
gatingworkeffectively,andhelpingpeoplethroughchangediscussedinParts1,3,
5,7,and8areimportantareasforleaderstoaddress.
Byunderstandingleadershipanditschallenges,appreciatingtheimportanceof
caringleadership,anddevelopingtheskillsrequiredforeffectiveleadership,readers
will(1)bemoreeffectiveatwork,(2)gainknowledgeandskills,and(3)havethe
abilitytoleadotherswhentheopportunityoccurs.

Approach and Style of the Book


Thedifferencebetweenmostotherleadershiptextsand The Art of Leadership,fourth
edition,canbecomparedtothedifferencebetweenalectureandaseminar.Although
botharegoodeducationalvehicles,thelectureisbetterforconveyinglargeamounts
ofinformation,whiletheseminarisbetterfordevelopingskillsandattitudes.Agood
lectureisinterestingandbuildsknowledge,whileagoodseminarisstimulatingand
buildscompetency.Withoutsacrificingeithertheoreticalfoundationorimportant
content,thefourtheditionof The Art of Leadershipemphasizestheinteractive,
seminarapproachtolearning.
Reviewersofthebookidentifyitsmajorstrengthstobeclarityofwritinganduser
friendlyexercises.Thewritingstyleispersonalandconversational,withminimal

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The Art of
Leadership,

Fourth Edition

xv
Preface

professionaljargon.Truelifeexamplesclarifypointsunderconsideration.Concepts
aresupportedbyfactsandfigures,aswellasbystoriesandanecdotesthataremean
ingfulandeasytoremember.Eachunitincludeslearningactivitiestobridgethegap
betweentheoryandonthejobpractice.Ourgoalhasbeentoincludematerialthatis
interestingtoread,practicaltouse,andpersonalizedtothereadersownconcerns.

Supplemental Information
and Instructional Aids
Instructionalaidshavebeensignificantlyenhancedfor The Art of Leadership,fourth
edition.The Online Learning Center (OLC)atwww.mhhe.com/manning4eincludes
passwordprotectedinstructorandstudentsupplements.Theinstructorscenter
includesarevisedandrobustInstructorsGuidethatcontainslearningobjectives,
discussionquestions,PowerPointpresentations,notesandanecdotes,suggestedfilms
andvideos(annotated),extensivebibliography,suggestedarticles,interactivecases,
applicationsandexercises,andsuggestedWebsites.Allchaptershaveupdated
testbankquestionsandPowerPointslides.TheInstructorsGuideincludes19new
exercises,25newapplications,and12newcases.
Studentcontentincludeslearningobjectives,fillintheblanksummariesand
answerkeys,learningexercisesandquestionnaires,testbankitems,andpremium
content. Premium Content(printedcardISBN0077424646orforeCommerce
purchasefromtheOLC)includesTestYourKnowledge,SelfAssessments,and
ManagersHotSeatexercises.ManagersHotSeatisaninteractive,videobased
softwarethatputsstudentsinthemanagershotseatwheretheyhavetoapplytheir
knowledgetomakedecisionsonhotissuessuchasethics,diversity,workingin
teams,andthevirtualworkplace.
The Organizational Behavior Video DVD Vol. 1(ISBN0073337285)containsa
collectionofvideosfeaturinginterestingandtimelyissues,companies,andpeople
relatedtoorganizationalbehaviorandleadership.

How to Use This Book


Thefourtheditionof The Art of Leadershipintegratescurrentknowledge,skill
development,andpersonalinsightaboutleadership.Itcanbeusedasatextbook
forteachingothers,aworkbookforpersonaldevelopment,andadeskbookfor
readyreferenceintheareaofleadership.Thematerialisarrangedinalogical
sequenceforlearning.Thebestapproachisto interactwiththematerial.Read
thenarrative,completethequestionnaires,examinetheinterpretations,and
reviewtheprinciplesandtechniques.Thenask:Howdoesthisapplytome?How
canIusethisconceptorinformationtoimprovemyleadershipeffectiveness?
Then take action.
Toincreaseinterestandimproveoveralllearning,trythefollowing:
1.UsetheLearningObjectivesandReflectionPointsincludedineachpartofthe
booktofocusyourreading,improvecomprehension,andincreaseretentionofthe
material.
2.Sharequestionnairesandexerciseswithfamily,friends,andcoworkers,especially
thosewhoareinterestedinleadershipdevelopment.Inthisway,youcanmake
tangibleuseofwhatyoulearnandmayevenhelpothers.
3.Thinkofthebestleaderyouhaveeverhad.Whatqualitiesdidthisindividual
possess?Inwhatwaysdidheorshedemonstratetheartofleadership?Usethe
materialinthisbooktodevelopyourownleadershipeffectiveness.

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4.Writeinthebook.FollowtheadviceofYaleprofessorWilliamPhelps:Booksare
foruse,notforshow;youshouldownnobookthatyouareafraidtomarkup.
Youmaywanttousetwomarkerstohighlightinformationoneforpersonal
developmentandonetohelpothers.Usethemargins,underline,writeyourown
ideas.Personalizethematerial.
5.VisitthetextsonlineWebsiteformoreinformation:www.mhhe.com/manning4e.

Leadership

Goodluckinyourlearning!
Wewantyoursuggestions.Ifyouhavequestionsorseeawaytoimprovethis
book,pleasewrite.Thankyou.
GeorgeManning
KentCurtis
NorthernKentuckyUniversity,HighlandHeights,Kentucky41099
Email:manningg@nku.edu
curtisk@nku.edu

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The Art of Leadership, Fourth


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The Art of Leadership


art(rt),noun.1.Skillacquiredbyexperienceorstudy.2.asystemof
rulestofacilitateperformance;theuseofskillandimaginationinapplying
suchrules(theartofbuilding,theartofpersuasion).3.endeavorrequiring
specialknowledgeandability(finearts,practicalarts).4.theproductor
resultofartisticfaculty(bodyofwork).
leadership(ledership),noun.1.Showingthewayordirection;the
courseofaction.2.influencingorcausingtofollowbywordsanddeeds.
3.guidingthebehaviorofothersthroughideas,strength,orheroicfeats.
4.thepositionorfunctionofonewholeads(thekingledhispeople).
5.theabilitytolead(shedisplayedleadershipskill).

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The Importance of
Leadership: Setting
the Stage

CHAPTER

ALL OVER THE WORLD in corporations and government agencies, there are millions of executives who imagine their place on the organization chart has given
them a body of followers. And of course it hasnt. It has given them subordinates.
Whether the subordinates become followers depends on whether the executives
act like leaders.
John Gardner

Learning Objectives
AfterstudyingChapterOne,youwillbeableto:
Define leadershipanddiscussitsimportance.
Knowwhereleaderslearntoleadandwhatpeoplewantinaleader.
Identifythesatisfactionsandfrustrationsofleadership.
Describetheelementsofcaringleadership.

eadershipisaconceptthatisbothcurrentandtimeless.Inoneformoranother,
theleadershipprocesshasbeencentraltohumaninteractionsincethedawnof
society.Excellenceinleadershiprequirestheabilitytoattractcapablepeople,
motivatethemtoputforththeirbestefforts,andsolveproblemsthatarise.Theseare
difficulttasks,whichhelpsexplainwhyeffectiveleadershipisrareandwhywe
respectthosewhoexcel.
Topersonalizethesubject,considerthesequestions:Haveyoueverbeenthevictim
ofapoorleader?Howdoyoufeelaboutthegoodleadersyouhaveknown?Ifyou
haveexperiencedbothtypesofleaders,youknowfirsthandtheimportanceofgood
leadership.Nootherfactorismoreimportantforworkmoraleandjobperformance.

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2

Therearemillionsofpeoplewhoknowwhatitisliketoworkforabosswho
Takesallthecreditforworkdonebyothers.
Isselfishandrude.
Makesmistakesandblamesothers.
Istyrannicalandcruel.
Caresonlyaboutselfpreservation.
Isthreatenedbycompetence.
Isdishonestandunfair.
Alltheseexamplesarereal,allthesefactorsdiminishpeopleslivesatwork,and
noneisnecessary.Weareconvincedthattheweakestlinkinbusiness,industry,and
governmenttodayisleadership.Itisnottechnology;itisnottoolsorequipment;itis
notfacilities;itisnottheskillsofemployees;itisnotsystemsandprocedures.Itis
leadership.Leadershipfailureratesrangefrom40percentto60percent,costing
organizationsmillionsofdollarseachyear.1

What Is Leadership?
Leadershipissocialinfluence.Itmeansleavingamark.Itisinitiatingandguiding,
andtheresultischange.Theproductisanewcharacterordirectionthatotherwise
wouldneverbe.Bytheir ideasand deeds,leadersshowthewayandinfluencethe
behaviorofothers.2
Tounderstandtheimportanceofideas,considerthelegendofKingArthur,who
ledtheKnightsoftheRoundTablewithhisvisionofchivalry:
MyteacherMerlyn,whoalwaysrememberedthingsthathaventhappenedbetterthanthings
thathave,toldmeoncethatafewhundredyearsfromnowitwillbediscoveredthattheworld
isroundroundlikethetableatwhichwesatwithsuchhighhopeandnoblepurpose.Ifyou
dowhatIask,perhapspeoplewillrememberhowweofCamelotwentquestingforrightand
honorandjustice.Perhapsonedaymenwillsitaroundthisworldaswedidonceatourtable,
andgoquestingoncemore...forright...honor...andjustice.3

Tounderstandtheimportanceofdeeds,considerthestorytellerHomersaccount
ofAchilles,wholedGreekwarriorsbyhisheroicfeats:
Sosaying,heplungedoncemoreintothefightandmanaftermanfellbeforehisswordand
beforehisspear.HeragedamongtheTrojanslikeawhirlwindthatdrivestheflamesthisway
andthatwhenthereisaforestfirealongthedryslopesofthemountains.4

Historyholdscountlessexamplesofideasandactsthathavedeterminedhuman
destiny.Considertheeventsputinmotionandtheimpactontheworldwhen56lead
erssignedtheDeclarationofIndependence,aUnanimousDeclarationoftheThirteen
UnitedStatesofAmerica,inCongressJuly4,1776.5

The Importance of Leadership


UponeverywaveofpoliticalhistoryhasbeenaCaesar,anElizabeth,aNapoleon,or
aSaladin.Ineverylull,leadershiphasbeenabsent.Considertheperiodofapproxi
matelyAD800to1000:
Europelapsedintoutterdecentralization,andlostforcenturiestheadministrativeunitythatthe
reignofCharlemagnepromised.Aheavyblowwasdealtattheslowlydevelopingculturethat
theeighthcenturyproduced.Itwasnotwithoutjusticethattheninthandtenthcenturieshave
beencalledtheDarkAges.TheinternalhistoryofcontinentalEuropebecameadismalrecord
oftiresomelocalfeudsandprivatewars.6

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Stage

Leadershipisimportantnotonlyingovernment,butinotherareasoflifeaswell.
SocialconscienceandconducthavebeeninfluencedbyreformerssuchasMartin
LutherKingandSusanB.Anthony:
SusanB.Anthonywasapassionateadvocate,whosawthevoteasthesymbolofwomens
emancipationandindependenceaswellastheindispensableconditionofatruegovernment....
Althoughstillvoteless,shedeclared,Theworldhasneverwitnessedagreaterrevolutionthan
inthestatusofwomenduringthepasthalfcentury.7

ThefatesofnationshavebeendeterminedbymilitaryfiguressuchasAlexander
theGreatandJoanofArc:
AlexandertheGreatopenedanewerainthehistoryoftheworldand,byhislifeswork,
determineditsdevelopmentformanycenturies.Thepermanentresultofhislifewasthe
developmentofGreekcivilizationintoacivilizationthatwasworldwide.8

CivilizationhasbeenshapedbyphilosopherssuchasJohnStuartMillandAdam
Smith:
JohnStuartMillwasoneofEnglandsgreatestphilosophers,hardlysurpassedbythinkersofthe
highestorder.Milltaughtthatapopularrepresentativegovernment(democracy)inevitably
makesforprogress.9

Theinitiativeofleadershasaformativeplaceinhistory.Attimestheireloquence,
likeChurchills,maybeworthathousandregiments;theirskill,likeNapoleons,may
winbattlesandestablishstates.Iftheyareteachersorprophets,likeMuhammad,
wiseininsight,theirwordsmayinspiregooddeeds.

Three Types of Leaders


Therearemanywaystolead,andindeed,weareinfluencedbysomepeopleeven
centuriesaftertheyaregone.Someleadersare teachers,whoarerulebreakersand
valuecreators;someare heroes,responsibleforgreatcausesandnobleworks;and
someare rulers,motivatedprincipallytodominateothersandexercisepower.
Considerhowtheideasanddeedsoftheteachers,heroes,andrulersinTable11
haveinfluencedtheworld.10

Table 11
Types of Leaders in History

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Teacher
Aquinas
Aristotle
Augustine
Buddha
Confucius
Ghandi
Jesus
Lao-tzu
Luther
Marx
Moses
Muhammad
Paul
Plato
Rumi
Socrates

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Hero
Beethoven
Columbus
Curie
da Vinci
Darwin
Edison
Einstein
Ford
Galileo
Gutenberg
Hippocrates
Michelangelo
Newton
Pasteur
Shakespeare
Watt

Ruler
Alexander
Akbar
Charlemagne
Elizabeth I
Frederick II
Genghis Khan
Hitler
Isabella I
Julius Caesar
Louis XIV
Mao Tse-tung
Napoleon
Ramses II
Saladin
Washington
Yoritomo

weledbyafew,oraretheremanywholead?Wordssuchas emperor, king,


and chiefdifferentiatedleadersfromothersinearliertimes.Therewerefewpow
erfulpositions,bookswererare,andmasseducationwasunknown.Todayinfor
mationiseverywhere,ideasarefree,andselfexpressionisencouraged.Itisa
differentworld,asevidencedbythe65theditionof Whos Who in America, 2011,
whichcontainsentriesformorethan95,000people.Eachoftheseindividuals,by
ideasordeeds,hasinfluencedthelivesofothers;eachhasbeenateacher,hero,
orruler.
Thereisachangingperceptionofwhocanbealeadertoday.Theresponseis
heardoverandover:Everyonecanbealeader.Leadershipisshiftingfromanauto
cratic,hierarchicalmodeltowardanempowering,participatorymodel.Thenew
definitionrecognizesthepotentialanduniquecontributionsofeveryone.Asformer
secretaryoflaborRobertReichsays,Everyonehasaleaderinside.Nolongeris
leadershipviewedasacombinationofcharismaandexpertisepossessedbyonlya
fewpeopleatthetopofanorganizationalpyramid.Todayitisviewedasthe
challengeandresponsibilityofeveryindividualwithpotentialtomakea
difference.11
ConsidertheexampleofRosaParks,whosecouragehelpeddeterminethecourse
ofcivilrightsinAmericansociety:

Leadership

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Stage

H
o
w
M
a
n
y
L
e
a
d
e
r
s

ItwasDecember1,1955,whenawhitepassengeraboardaMontgomery,Alabama,busasked
RosaParkstoyieldherseat.Herrefusaltomovetothebackofthebusendedinherarrest,but
beganthenonviolentprotestmovementforcivilrightsintheUnitedStates.Ayearlongboycott
oftheMontgomerybussystem,ledbyMartinLutherKing,forcedtheissueoftheSouthsJim
CrowlawstotheforefrontofAmericasconsciousness.TheSupremeCourts1956decisionto
declaresegregationlawsunconstitutionalsignaledavictoryforParks,ofwhomKingsaidshe
hadbeentrackeddownbytheZeitgeistthespiritoftime.12

Inmeaningfulways,leadershipisprovidedbythemultitudeofpeoplewhoinflu
encetheirfamilies,friends,workgroups,andorganizations.Theseleadersareparents,
supervisors,officers,andotherleadershipfigures.Thinkofyourownexperiences.
Haveyounotatsometimeprovidedleadershiptoothers,eitherbyyourideasorbythe
exampleyouset?

A
r
e
T
h
e
r
e
?

How Qualities of the Individual and


Environmental Factors Influence the
Leadership Process
TheleadershipscholarJamesMacGregorBurnsoncecalledleadershiponeofthe
mostobservedandleastunderstoodphenomenaonearth.Questionsfrequentlyasked
are,Whichismoreimportanttheindividualortheenvironment?Areleadersborn
ormade?Inhisbook Leadership,Burnsconcludesthatleadershipisfiredinthe
forgeofbothpersonalambitionandsocialopportunity.13

A
r
e

Qualities of the
Individual

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Historically,leadershiphasbeenattributedtotheindividual.Thisviewissometimes
calledthegreatmantheory.Reflectingthisview,theScottishphilosopherand
historianThomasCarlylebelievedthatamongtheundistinguishedmassesarepeople
oflightandlearning,individualssuperiorinpower,courage,andunderstanding.
Carlylesawthehistoryofthehumanraceasthebiographiesoftheseleaders,its
greatmenandwomen:Theirmoralcharactermaybesomethinglessthanperfect;
theircouragemaynotbetheessentialingredient;yettheyaresuperior.Theyare
followed,admired,andobeyedtothepointofworship.14

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1 / The Importance of Leadership: Setting the
Stage

RalphM.Stogdill,oneofthemostdistinguishedscholarsonleadership,hasfound
certaintraitsoftheindividualthatcorrelatepositivelywithleadership:
Theleaderischaracterizedby:astrongdriveforresponsibilityandtaskcompletion;vigorand
persistenceinpursuitofgoals;venturesomenessandoriginalityinproblemsolving;driveto
exerciseinitiativeinsocialsituations;selfconfidenceandsenseofpersonalidentity;willingness
toacceptconsequencesofdecisionandaction;readinesstoabsorbinterpersonalstress;

willingnesstotoleratefrustrationanddelay;abilitytoinfluenceotherpersonsbehavior;and
capacitytostructuresocialinteractionsystemstothepurposeathand.
Itcanbeconcludedthattheclusterofcharacteristicslistedabovedifferentiateleadersfrom
followers,effectivefromineffectiveleaders,andhigherechelonfromlowerechelonleaders.In
otherwords,differentstrataofleadersandfollowerscanbedescribedintermsoftheextentto
whichtheyexhibitthesecharacteristics.Thesecharacteristicsconsideredindividuallyholdlittle
diagnosticorpredictivesignificance.Incombination,itwouldappearthattheyinteractto
generatepersonalitydynamicsadvantageoustothepersonseekingtheresponsibilitiesof
leadership.15

Morerecently,leadershiphasbeenviewedasanacquiredcompetency,theproductof
manyforces,nottheleastofwhichareenvironmentandcircumstance.Inthissense,
leadershipisseenasasocialphenomenon,notanindividualtrait.Thisschoolof
thoughthelpsexplainwhyleaderswhoaresuccessfulinonesituation(forexample,
buildingabridge)maynotbesuccessfulinanother(suchasdirectingaplayora
researchteam).16Thesameindividualmayexertleadershipinonetimeandplaceand
notinanother.Stogdillexplains:

Environmental
Factors

Itshouldbenotedthattoalargeextentourconceptionsofcharacteristicsofleadershipare
culturallydetermined.TheancientEgyptiansattributedthreequalitiesofdivinitytotheirking.
Theysaidofhim,Authoritativeutteranceisinthymouth,perceptionisinthyheart,andthy
tongueistheshrineofjustice.ThisstatementwouldsuggestthattheEgyptianswere
demandingoftheirleaderthequalitiesofauthority,discrimination,andjustbehavior.
AnanalysisofGreekconceptsofleadership,asexemplifiedbydifferentleadersinHomers
Iliad,showedfouraspectswerevalued:(1)justiceandjudgmentAgamemnon;(2)wisdomand
counselNestor;(3)shrewdnessandcunningOdysseus;and(4)valorandactionAchilles.
AllofthesequalitieswereadmiredbytheGreeks.Shrewdnessandcunningarenotashighly
regardedinourcontemporarysocietyastheyoncewere(althoughjustice,judgment,wisdom,
valor,andactionremaininhighesteem).17
Thepatternsofbehaviorregardedasacceptableinleadersdifferfromtimetotimeandfrom
oneculturetoanother;thus,theestablishmentofeducationalinstitutionsandcurriculatoimpart
andreinforceknowledge,skills,andattitudesdeemedtobeimportantbyasocietyorgroup. 18

Probablythemostconvincingsupportforleadershipasasocialphenomenonisthe
factthatthroughouthistory,maleleadershaveoutnumberedfemaleleaderstoa
significantdegree.Eventhedefinitionoftheword leaderisasocialphenomenon.
ConsiderthecaseofPresidentEdithWilson,leaderinallbutnameduringthe
incapacitatingillnessofherhusband,PresidentWoodrowWilson.ItisWoodrow,
however,whomhistorycreditsasleader,aspresident,evenduringtheperiodofhis
inabilitytogovern.PublicrecognitionofMrs.Wilsonsinfluencewouldnothave
beeninlinewiththenormsofthetimes.
Evidenceshowsthatboththe qualities of the individual and environmental factors
areimportantelementsintheleadershipequation.Leadershipresultsfromtheinex
Interaction between tricableinteractionbetweenthetwo.Findingsfromsociobiologicalstudiesofother
the Individual and animalspeciessupportthisview.Forexample,biologistRichardBorowskyhas
discoveredspontaneousgrowthamongmalefish.Youngmalesremainsmalland
the Environment
sexuallyunderdevelopeduntiltheadultpopulationinthegroupisreduced.Then,size
andsexualmaturationacceleratedramatically.Clearly,biologicalandsociological
systemsarecloselyrelated.19

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Similarsignsofsuddenmaturationarefoundinhumanbeings.Leadersmay
emergespontaneouslyinsocialcrisesafterfillingessentiallyanonymousrolesfor
years.ConsiderthetransformationofPolandsLechWalesafromshipyardworkerto
nationallaborleaderduringthe1980s.Somepeopleseemtohaveinnateabilitiesthat
unfoldundercertainconditionsexternalcircumstancesandinternalqualitiesinter
acttocreateasuddenanddramaticspurtofperformance.

Where Leaders Learn to Lead


and What People Want in a Leader
Inthemostextensivestudyeverdoneonleadership,theU.S.ChamberofCommerce
soughttoanswertwoquestions:(1)Wheredoleaderslearntolead?and(2)Whatdo

saytheylearntoleadisfrom experience.Theyare
throwninthewaterandexpectedtosinkorswim.CommonCausefounderJohnW.
GardneridentifieshisarduousexperienceasaMarineduringWorldWarIIasthe
learningcrucibleinwhichhisownleadershipabilitiesemerged.21Askyourself
howmuchofyourleadershipapproachandskillyouhavelearnedfromexperience.
Thesecondmostcitedplacepeoplelearntoleadisfrom examplesormodels.
TheywatchBillorJillleadanditseemstoworkout,sotheydothesame.They
watchSarahorSamleadanditdoesntworkout,sotheyresolvenevertousethose
methodsortechniques.Whohavebeenyourmodelsorexamplesinthepracticeof
leadership?
Thethirdmostcitedplacepeoplesaytheylearntoleadisfrom books and school.
Formaleducation,learningseminars,andprofessionalreadingcanprovidevaluable
informationandinsight.Whatbook,theory,orclasshashelpedinthedevelopmentof
yourleadershipskills?
Evenmoreinteresting,especiallyforleaders,istoknowwhatpeoplewantina
leader.Desiredqualitieschangeacrosscultureandtime,butwhatpeoplesaythey
wantmostinAmericansocietyis integrity.Whenpeopleareaskedtodefine integrity,thewordtheymentionmostfrequentlyis honesty.Theleaderwithintegrity
alwaystellsthetruthasheorshebelievesittobe.Thinkaboutthebestleaderyou
haveeverhad;sheorheprobablyhadintegrity.Firstandforemost,peoplewanta
leadertheycantrust.Askyourselfwhetheryouhaveareputationforintegrity.
Thesecondmostcitedqualitypeoplewantinaleaderis job knowledge.This
qualityrangesfromknowingwhatdirectiontotake(abstractvisioning)toknowing
howtosolveproblems(practicalability).Again,thinkaboutthebestleaderyouhave
everhad;itislikelythatthispersonhadapurpose,aplan,andtheskilltosucceed.
Moreover,trulygreatleaderskeepjobknowledgecurrent.Theyknowwhatittakesto
beeffectiveintheleadershippositiontheyaregoodbutnotcomplacent,andthey
continuallystrivetoimprove.Howdoyoucurrentlyrateonthejobknowledgescale?
Thethirdmostcitedqualitypeoplewantinaleadercanbesummarizedas peoplebuilding skills.Thisqualityincludestheabilitytoassembleanddevelopawinning
team,anditinvolvesavarietyofimportantskills:performanceplanning,perfor
mancecoaching,andcorrectingpoorperformance;effectivedelegation;effective
discipline;andtheabilitytomotivate.Peoplewantanempoweringleaderwhowill
beamentoranddeveloperofothers.Doyouhavetheinterest,ability,andpatience
requiredtomotivateanddevelopothers?22(SeeExercise11.)

p
e
o
p
l Leadership
e

w
a
n
t
i
n

l
e
a
d
e
r
?
2
0

Th
e
nu
mb
er
one
pla
ce
peo
ple

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2. Do you
possess the
qualities people
want in a leader?
Support your
response.

Exercise 11
Personalizing
Leadership

1. Where have you learned your leadership skills? Describe each pertinent learning
area.
Personal experience

Integrity
(honesty)
resulting in
trust

Examples or models
Job
knowledge
resulting in
confidence

Books and school

Peoplebuilding skills
resulting in
motivation
and teamwork

14

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Stage

Satisfactions and Frustrations


of Leaders
Approximately1outofevery10peopleintheAmericanworkplaceisclassifiedas
asupervisor,administrator,ormanager.23ManagementauthorAndrewDuBrin
identifiessevensatisfactionsandsevenfrustrationsthatindividualsinleadership
rolestypicallyexperience.Ifyouarealeader,makenoteoftheonesthatrelate
toyou.

Satisfactions of
Leaders
Frustrations of Leaders

ahigherstatusthanpeoplewhoarenotoccupyingleadershiproles.
1. A feeling of power and prestige.Beingaleader 5. Opportunities for advancement.Onceonebecomesaleader,advancement

typicallygrantsonepoweranda
opportunitiesusuallyincrease.
senseofimportance.
6. A feeling of being in a position of knowledge.Aleadertypicallyreceivesmore
2. A chance to help others.Aleaderworksdirectly
informationthandononleaders.
withpeople,oftenteaching
7. An opportunity to control money and other resources.Aleaderistypicallyin
themjobskills,servingasamentorandanadvisor.
thepositionofdeterminingbudgetsandauthorizingexpenses.
3. High income.Leaders,ingeneral,receivehigherpay
thannonleaders,andexecu
1. Too much uncompensated work time.Peopleinleadershippositionstypically
tiveleaderstypicallyearnsubstantialincomes.
4. Respect and status.Aleaderistypicallyrespectedby worklongerhoursthannonleaders.Duringperiodsofhighdemand,working
hourscansurgeto80hoursperweekandmore.
groupmembersandenjoys
2. Too many problems.Aleaderissubjecttotheuniverseofproblemsinvolving
peopleandthings.Theleaderisexpectedtoaddressproblemsandgetthem
solved.
3. Not enough authority to carry out responsibility.Peopleinleadershippositions
maybeheldresponsibleforoutcomesoverwhichtheyhavelittlecontrol.
4. Loneliness.Thehigheronerisesasaleader,themorelonelyitcanbe.Leadership
limitsthenumberofpeopleinwhomonecanconfide.
5. Too many problems involving people.Afrustrationfacingaleaderisthenumber
ofpeopleproblemsrequiringaction.Themoreemployeesonehas,themoreprob
lemsoneislikelytoface.
6. Organizational politics.Theleadermustengageinpoliticalbyplayfromthree
directions:below,sideways,andabove.Althoughtacticssuchasforming
alliancesandcoalitionsareanecessarypartofaleadersrole,itcanbepartic
ularlyfrustratingifpeoplepurposefullyworkagainsteachotherwithinan
organization.
7. The pursuit of conflicting goals.Amajorchallengefacingleadersisnavigating
amongconflictinggoals.Thecentralissueofsuchdilemmasisattemptingtogrant
otherstheauthoritytoactindependently,yetstillgetthemalignedandpullingto
getherforacommonpurpose.24
Atthistime,dothesatisfactionsofleadershipoutweighthefrustrationsyou
mayhave,oristheoppositethecase?Considertheprosandconsofyourleadership
position.

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Caring Leadership
Whetheroneleadsbywordordeed;whetheraleaderisteacher,hero,orruler;
whetherleadershipisinbornorformed;nomatterwhereonelearnstolead;nomatter
thearenawhereleadershipoccurs;nomatterthelevelofsatisfactionorfrustrationa
leadermayfeel;thereisanessentialingredientnecessaryforsuccess.Theleader
must care.Onlywhentheleadercareswillotherscare.Onlywhentheleadercares
willtherebefocusandenergyfortheworktobedone.
Therearetwoaspectsofcaringleadership:Firstis commitment to a task;sec
ond,andequallyimportant,is concern for people.TheodoreRooseveltcapturesthe
spiritofthecaringleaderwithatasktoachieve:
Thecreditgoestotheman
whoisactuallyinthearena,
whosefaceismarredwith
sweatanddustandblood;
whostrivesvaliantly;
whoerrsandcomesshortagainand
again;whoknowsthegreat
enthusiasms,thegreatdevotions,
andspendshimselfinaworthy
cause;whoatthebestknows
thetriumphofhighachievement;
andwho,ifhefails,
atleastfailswhiledaringgreatly.

fervorandeloquence,Rooseveltblastsalifeofeaseandadvocatesa
strenuouslifeofengagementandmeaning.Forthecaringleader,thismeansper
sonalcommitmenttoaccomplishagoal.Thegoalmaybeaonetimeendeavoror
alifeswork.Thegoalmaybeatangibleproduct,suchasthecreationofabusi
ness,oritmaybeanideaoracause,suchasstampingouttyranny.Inanycase,
theleaderscommitmentbecomescontagious,ignitingtheemotionsofallwhoare
present.
Caringleadershipalsomeanscaringaboutpeople.Thecaringleaderisun
selfish,readyandeagertoheartheotherpersonsstory.Thecaringleaderwill
dedicateherorhimselfinservicetoothers.Concernforothersresultsinloyalty
totheleaderanddedicationtotheleadersgoals.26JanCarlzon,formerchairman
andCEOofScandinavianAirlines,explainstheimportanceofcaringleadership
intheworksetting:Inmyexperience,Ihavelearnedtherearetwogreatmotiva
torsinlife.Oneisfear.Theotherislove.Youcanmanagepeoplebyfear,butif
youdo,itwilldiminishboththemandyou.Thepathtosuccessbeginsinthe
heart.27
JamesAutry,formerCEOoftheMeredithCorporation,remindsusthatcaring
leadershipmustcomefromtheheart,fromwithin,notfrompolicybooks.Sharing
thewisdomofyearsofexperienceinhiswonderfulvolume Love and Profit,Autry
states,Ifyoudonttrulycareaboutpeople,youshouldgetoutofleadership;itwill
savealotofpeoplealotoftroubleandmaybeevenaheartattack.Hecapturesthe
spiritofthecaringleaderinapoementitledThreads.28

Farbetteritis
todaremighty
things,
towinglorious
triumphs,
Leadership
eventhough
checkeredby
failure,
thantotake
rankwiththose
coldandtimid
souls
wholiveinthe
graytwilight
thatknowsnot
victorynor
defeat.
W
i
t
h

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Threads
Sometimesyoujustconnect,likethat,
nobigthingmaybe,butsomethingbeyond
theusualbusinessstuff.Itcomesandgoes
quicklysoyouhavetopayattention,
achangeintheeyeswhenyouaskabout
thefamily,
apainflickeringbehindthestatisticsabout
aboyandagirlinschool,oraboutseeingthem
everyotherSunday.
Anolderguytalksabouthisbride,
alittleaffectionafter25years.
Thehoteyedachieverlaughsbeforeyouwant
himto.
Someonetellsyouabouthiswifesjob
orwhyshequitworkingtostayhome.
Anoldjokerneedsanotherlaughontheway
toretirement.
Awomansaysshespendsalotofhersalaryon
anaupairandagoodoneishardtofindbut
worthitbecausethereisnothingmoreimportant
thanthebaby.
Listen.Ineveryofficeyouhearthethreadsof
loveandjoyandfearandguilt,thecriesfor
celebrationandreassurance,andsomehowyou
knowthatconnectingthosethreadsiswhatyou
aresupposedtodo
andbusinesstakescareofitself.
Bothcommitmenttoagoalandconcernforothersmustbepresentforcaring
leadershiptooccur.Withoutcommitmentthereisnopassion,andwithoutconcern
thereisnoloyalty.Caringleadershipcannotbelegislated,anditcannotbeanact.It
iseitherpresentornot.Whentheleadercares,othersbecomefocusedandener
gized.Itisatthispointthatdirectionandmomentumdevelopandgreatachieve
mentsaremade.

Leadership in the Work Setting


Leadershipisanimportantanddifficulttask,anditisthecornerstoneoforganiza
tionalsuccess.ManagementauthorJohnKotterdescribestheneedforeffectivelead
ershipatwork,sayingthattoomanyorganizationsareovermanagedandunderled.
Toomuchemphasisonorderandcontrol,andnotenoughemphasisonmotivation
andcreativitycanreducevitalityandleadtofailure.Whatisneededisdevelopment
ofleadershipcapacityatalllevelsofresponsibility.Withgoodselection,training,and
encouragement,manymorepeoplecanplayvaluableleadershiproles.29
Thequestionisoftenasked,Whatisthedifferencebetweenleadershipandmanage
ment?Thesearetermsthatareoftenusedinterchangeably.Managementinvolvesfour
functionsorprocessesfirstidentifiedbyHenriFayolin1916:planning,organizing,di
recting,andcontrolling,allofwhichareessentialfororganizationalsuccess.Theterm
leadershipispopularlyusedtodescribewhattakesplaceinthefirstthreeofthese
functionsestablishing a direction(planning), aligning people and resources
(orga
nizing),and energizing people to accomplish results(directing).Theseprocesses
requireinsight,decisiveness,courage,strength,resolve,diplomacy,andotherimportant
leadershipqualitiestobesuccessful.30

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Anotherwaytodescribethedifferencebetweenmanagementandleadershipisto
saythatmanagementdenotesformalauthorityandaccountabilityisdelegated,while
leadershipistheabilitytoinfluencetheactivityorbehaviorofpeople.Theprimary
purposeofmanagementistoprovideorderandconsistency,abottomlinefocus;the
primaryfunctionofleadershipistoproducechangeandmovement,atoplinefocus.
Successfulorganizationshaveexcellentmanagementandgreatleadership.Ifanor
ganizationhasstrongmanagementwithoutleadership,theresultcanbereliableac
complishmentofthewrongthings.Ifanorganizationhasstrongleadershipwithout
management,theresultcanbeinconsistentperformance.
ThepoliticaltheoristKarlMarxobservedthatthemannerinwhichasocietydoes
itsworkshapesmostoftheotherthingsthesocietybelievesanddoes.Thisbelief
onlyaddstotheimportanceofleadershipintheworksetting.Principlesandpractices
onthejobarerepeatedandhaveimpactinthehomeandlargercommunity.

Nine Key Areas of Leadership


Thesuccessfulleadermustmastertheartofleadership,withninekeyareasfor
success.Ifpeoplecannotdecidewhichcourseofactiontotakeoriftheyarenot
makingsatisfactoryprogressalongachosenpath,breakdownoccurs.Breakdowncan
betracedtodeficiencyinoneormoreoftheseareas:
The leadership equationunderstandingtheinfluenceofleadershipqualities,
characteristicsoffollowers,andthenatureofsituations.
The power of visionestablishingaclearandcompellingdirectionandaplanto
succeed.
The importance of ethicsleadingbymoralprinciples,goodnessofcharacter,and
personalcourage.
The empowerment of peoplefosteringahighperformanceculturethrough
participativeleadershipandservicetoothers.
Leadership principlesdemonstratinghumanrelationsskills,managingmorale,and
developingawinningteam.
Understanding peoplecomprehendinghumanmotivation,theartofpersuasion,and
thevalueofdiversity.
Multiplying effectivenessusingdelegationskillsanddealingeffectivelywith
differentkindsofpeople.
Developing othersunderstandingtheroleoftheleaderasteacher,helpingpeople
throughchange,anddevelopingadaptivecapacity.
Performance managementachievingorganizationalsuccessthroughpersonal
humility,fierceresolve,andsustaineddiscipline.
Eachkeyareaisdiscussedinthefollowingpages.Alsoincludedareprinciplesand

te
ch

niquestoimproveleadershipeffectiveness,alongwithquestionnairesandlearn
ingexercisesforpersonalizingtheconcepts.

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Chapter One Summary


AfterreadingChapterOne,youshouldknowthefollowingkeyconcepts,principles,
andterms.Fillintheblanksfrommemory,orcopytheanswerslistedbelow.
Leadershipissocialinfluence.By(a)and,
leaderslightthepathandinfluencethebehaviorofpeople.Typesofleadersinclude
(b),,and.Twobasicfactors
thatinfluencetheleadershipprocessare(c),and.
Peoplelearntoleadprimarilyfrom(d),,and
.Thethreequalitiespeoplewantmostinaleaderare
(e),,and.Satisfactionsof
beingaleaderinclude(f),,and;
frustrationsofbeingaleaderinclude(g),,and
.Thetwoessentialelementsofcaringleadershipare
(h)and.Leadership,inessence,is
(i),,and.
Answer Key for Chapter One Summary
ideas, deeds,page2
teachers, heroes, rulers,page3
qualities of the individual, environmental factors,page4
experience, examples, books and school,page6
integrity, job knowledge, people-building skills,page7

Copyright201TeMcGawHlCompnis,I.Arghtdev

(anythree) a feeling of power and prestige, a chance to help others, high income,
respect and status, opportunities for advancement, a feeling of being in a
position
of knowledge, an opportunity to control money and other resources,page9
g.(anythree) too much uncompensated work time, too many problems, not enough
authority to carry out responsibility, loneliness, too many problems involving
people, organizational politics, the pursuit of conflicting goals,page9
h. commitment to a task, concern for people,page10
i. establishing a direction, aligning people and resources, energizing people to
accomplish results,page11

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2. The Leadership Equation
3. Leadership Qualities, Characteristics of Followers,
and Situational Factors

THE EAR OF THE LEADER must ring with the voices of the people. Together they
rise to the challenge of the day.
Woodrow Wilson

Learning Objectives
AfterstudyingPartOne,youwillbeableto:
Describethevariablesthatdetermineleadershipeffectiveness.
Assess10qualitiesthatdistinguishaleader.
Knowhowsusceptibleyouaretoleadershipinfluence.
Identifysituationsinwhichyouarelikelytolead.
Knowyournaturalkindofintelligenceandleadershipstrength.

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Leadership

The Leadership Equation


CHAPTER

2
F

oryears,researchershavebeentryingtoanswerthequestions,Whatdoesittake
tobeasuccessfulleader?andWhatisthemosteffectiveleadershipstyle?The
Encyclopedia of Leadershipidentifiesmorethan40theoriesormodelsoflead
ershipthathaveinfluencedthestudyandpracticeofleadership.1Earlystudieswere
basedontwomaintheoriestrait theory,focusingonqualitiesoftheleader,and
behavior theory,focusingonleadershipactions.

Leadership Trait Theory


SirFrancisGaltoniscreditedwithbeingoneoftheearliestleadershiptheorists,
mentioningthetraitapproachtoleadershipforthefirsttimeinhisbook Hereditary
Genius,publishedin1869.Inkeepingwiththegeneralthinkingoftheperiod,Galton
believedthatleadershipqualitiesweregeneticcharacteristicsofafamily.Qualities
suchascourageandwisdomwerepassedonfromfamilymembertofamilymember,
fromgenerationtogeneration.2
HowdidSteveJobs,acollegedropout,becomeaniconicleaderofthetechnology
world?WhatenabledGeorgePatton,whodidsopoorlyatWestPointthathehadtore
peatayear,tobecomeafourstargeneralandheroofWorldWarII?HowcouldJohn
L.Lewis,acoalminerwithnoformaleducationorleadershiptraining,eitherenergizeor
shutdownanentireindustry?Doindividualssuchastheseshareuniqueleadershiptraits?
Thetraittheoryofleadershipmakestheassumptionthatdistinctivephysicaland
psychologicalcharacteristicsaccountforleadershipeffectiveness.Traitssuchas
height,attractiveness,intelligence,selfreliance,andcreativityhavebeenstudied,
andlistsabound,from The Leadership Traits of the U.S. Marine Corpstothe Leadership Principles of the U.S. Army.Almostalwaysincludedintheseandotherlistsof
importantleadershiptraitsare(1)basic intelligence,(2)clearandstrong values,and
(3)highlevelofpersonal energy.3
Oneofthemostwidelyreportedstudiesofleadershiptraitswasconductedby
EdwinGhiselli,whoevaluatedover300managersfrom90differentbusinessesinthe
UnitedStates.Ghiselliidentifiedsixtraitsasbeingimportantforeffectiveleadership:
1. Need for achievementseekingresponsibility;workinghardtosucceed.
2. Intelligenceusinggoodjudgment;havinggoodreasoningandthinkingcapacity.
3. Decisivenessmakingdifficultdecisionswithoutunduehesitation.
4. Self-confidencehavingapositiveselfimageasacapableandeffectiveperson.
5. Initiativebeingaselfstarter;gettingjobsdonewithminimalsupervision.
6. Supervisory abilitygettingthejobdonethroughothers.4

Topersonalizetheconceptoftraittheory,evaluateyourself(oraleaderyouknow)
onGhisellissixtraitsforleadershipeffectiveness.(SeeExercise21.)
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Exercise 21
Six Traits of
Leadership

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The Art of Leadership, Fourth

Rate yourself (or a leader you know) on the following six traits for leadership effectiveness
by circling a number from 1 to 10 (1 is low; 10 is high).

1. Need for achievement


1

10

10

10

10

10

10

2. Intelligence
1
3. Decisiveness
1
4. Self-confidence

5. Initiative

6. Supervisory ability
1

Scoring and Interpretation:


Add all the circled numbers to find the overall trait score:
Individual Trait Score
Overall Trait Score
High

910

5460

78

4253

16

641

Evaluation
Very good
good
Needs improvement

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AninterestingapplicationoftraittheorywaspracticedbyPaulvonHindenburg,war

Trait Theory Applied heroandsecondpresidentofpostWorldWarIGermany.VonHindenburguseda

formoftraittheoryforselectinganddevelopingleaders.Hebelievedthatleadership
abilitywasdeterminedbytwoprimaryqualitiesintelligence(brightversusdull)
andvitality(energeticversuslazy).Heusedabox(seeFigure21)toevaluate
potentialmilitaryleadersonthesetwodimensions.
Bright

Figure 21
Dimensions of Leadership

Energetic

Lazy

Dull

Ifanindividualwasdeemedtobebrightandenergetic,hewasdevelopedasafield
commander,becauseittakesjudgmentandgumptiontosucceedasaleaderonthe
battlefield.Iftheindividualwasdeemedtobeenergeticbutdull,hewasassignedto
dutyasafrontlinesoldier,becauseasaleader,hecouldactivelyleadhiscommandin
thewrongdirection.Iftheindividualwasbelievedtobebrightbutlazy,hewas
assignedtobeastaffofficer,becauseintelligenceisimportantfordevelopinga
creativestrategythatothersmayimplement.Iftheindividualwasjudgedtobelazy
anddull,hewasleftalonetofindhisownlevelofeffectiveness.5

Leadership Behavior Theory


Duringthe1930s,agrowingemphasisonbehaviorisminpsychologymovedleadership
researchersinthedirectionofthestudyofleadershipbehaviorversusleadershiptraits.A
classicstudyofleadershipbehaviorwasconductedattheUniversityofIowaby Kurt
Lewinandhisassociatesin1939.Theseresearcherstrainedgraduateassistantsinbehav
iorsindicativeofthreeleadershipstyles: autocratic, democratic,and laissez-faire.The
autocraticstylewascharacterizedbythetightcontrolofgroupactivitiesanddecisions
madebytheleader.The democraticstyleemphasizedgroupparticipationandmajority
rule.The laissez-faireleadershipstyleinvolvedverylowlevelsofanykindofactivityby
theleader.Theresultsindicatedthatthedemocraticstyleofleadershipwasmorebenefi
cialforgroupperformancethantheotherstyles.Theimportanceofthestudywasthatit
emphasizedtheimpactofthebehavioroftheleaderontheperformanceoffollowers.6
Bythe1940s,mostresearchonleadershipchangedfocusfromleadershiptraitsto
leadershipbehaviors.Behavioralleadershiptheoriesassumethattherearedistinctive
actionsthateffectiveleaderstake.In1945 Ralph StogdillandothersatOhioState

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UniversitydevelopedanassessmentinstrumentknownastheLeaderBehavior
DescriptionQuestionnaire(LBDQ).7Respondentstothequestionnairedescribed
theirleadersbehaviorstowardthemintermsoftwodimensions:
1. Initiating structuretheextenttowhichleaderstakeactiontodefinethe

relationshipbetweenthemselvesandtheirstaff,aswellastherolethattheyexpect
eachstaffmembertoassume.Leaderswhoscorehighoninitiatingstructure
establishwelldefinedchannelsofcommunicationandwaysofgettingthejob
done.Fiveassessmentitemsmeasuringinitiatingstructureareasfollows:
a.Tryoutyourownnewideasintheworkgroup.
b.Encouragetheslowworkingpeopleinthegrouptoworkharder.
c.Emphasizemeetingdeadlines.
d.Meetwiththegroupatregularlyscheduledtimes.
e.Seetoitthatpeopleinthegroupareworkinguptocapacity.
2. Showing considerationtheextenttowhichleaderstakeactiontodeveloptrust,
respect,support,andfriendshipwithsubordinates.Leaderswhoscorehighon
showingconsiderationtypicallyarehelpful,trusting,andrespectful,andhave
warmrelationshipswithstaffmembers.Fivequestionnaireitemsthatmeasure
showingconsiderationareasfollows:
a.Behelpfultopeopleintheworkgroup.
b.Treatallpeopleinthegroupasyourequals.
c.Bewillingtomakechanges.
d.Backupwhatpeopleunderyoudo.
e.Dolittlethingstomakeitpleasanttobeamemberofthegroup.
AtaboutthesametimetheOhioStatestudieswerebeingconducted,theUniversity
ofMichigansSurveyResearchCenterstartedleadershipstudiesunderthedirection
ofRensisLikert,whogavespecialattentiontotheimpactofleadersbehaviorson
workermotivationandtheperformanceofgroups.8TheMichiganstudiesidentified
twosimilardimensionsofleadershipbehavior:
1. Job-centeredsameasinitiatingstructure.
2. Employee-centeredsameasshowingconsideration.

In1964RobertBlakeandJaneMoutondevelopedamanagerialgridreflectingthe
OhioandMichigandimensionsofinitiatingstructure(jobcentered)andshowing
consideration(employeecentered).9Thismodelidentifiestheidealleaderashaving
a high concern for production and a high concern for people.Ithasbeenusedexten
sivelyinorganizationaldevelopmentandleadershipconsultingthroughouttheworld.
SeeFigure22.
Thehorizontalaxisofthegridrepresentsconcernforproduction,andthevertical
axisrepresentsconcernforpeople.Eachaxisisonascaleof1through9.Lowest
concernis1,andhighestconcernis9.Themanagerial(leadership)gridhas81possi
blecombinations,butidentifiesfivemajorstyles:
(1,1) The Impoverished Managerhaslowconcernforproductionandlow
concernforpeople.Theleaderisuninvolvedintheworkandwithdrawsfrompeople.
(9,1) The Sweatshop Managerhashighconcernforproductionbutlowconcern
forpeople.Theleaderisresultsdriven,andpeopleareregardedastoolstothatend.
(1,9) The Country Club Managerhashighconcernforpeopleandlowcon
cernfortaskaccomplishment.Theleaderfocusesonbeingagreeableandkeeping
humanrelationssmooth.
(5,5) The Status Quo Managerhasmediumconcernforbothproductionand
people.Theleaderemphasizesworkrequirementstoamoderatedegreeandshows
moderateconsiderationfortheneedsofpeople.

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2 / The Leadership Equation 21

Leadership

Figure 22
The Managerial (Leadership)
Grid for Leadership
Effectiveness

Country Club

Fully Functioning
Manager
9,9

ConcerfpPl

ConcerfpPl

Manager
1,9

Status

1,1

Manager

Quo
Concern for Production

9,1

1
Sweatshop
Manager

Impoverished
Manager

(9,9) The Fully Functioning Managerhashighconcernforbothproduction


andpeople.Theleadercaresintenselyabouttaskaccomplishmentandcaresdeeply
aboutpeople.

Inrecentyears,twoadditionalstyleshavebeenseenwithsuchfrequencythatthey
arenowlistedasmajorstyles:
1. The Paternalistic Manageruseshighconcernforproduction(9,1)combined

withuseofrewards(1,9)inexchangeforcomplianceandloyalty.
2. The Opportunistic Manageruseswhicheverstylewillbestpromotehisorher

advancement(1,9topleasesubordinates;5,5ininteractionswithpeers;and9,1to
gainfavorwithbottomlinefocusedbosses).
Topersonalizeleadershipbehaviortheory,useExercise22toevaluateyourself
(oraleaderyouknow)ontwodimensionsofleadershipeffectivenessconcernfor
productionandconcernforpeople.Notethatconcernforproductionisanalogousto
theterms job-centeredand initiating structure,whileconcernforpeopleisanalogous
totheterms employee-centeredand showing consideration.

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Two Dimensions
of Leadership

Exercise 22

31

9
8

32

Leadership

Rate yourself (or a leader you know) on the two dimensions of


leadership effectiveness
indicated in the graph below (1 is low; 10 is high). Then mark the
point where concern for
people and concern for production intersect.

6
5
4

High
10

3
2
1

10

Low

High
Concern for Production

Scoring and Interpretation:


The higher the score on both axes, the higher the expectation for overall leadership
ConcerfpPl

effectiveness. To find the overall score, multiply the scores for the two dimensions. The
best possible score is 100 (10 10). The ideal leader is a caring leader who focuses on job
tasks and results, and is simultaneously concerned with the welfare of employees.

Copyright201TeMcGawHlCompnis,I.Arghtdev

23

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2 / The Leadership Equation

Behavior Theory
Applied

In Shackletons Way: Leadership Lessons from the Great Antarctic Explorer,Margot


MorrellpresentsadetailedaccountofErnestShackletonsenduranceexpeditionand
theleadershiplessonstobelearnedfromit.Thebookisbasedonprimarysources
ontheactualcommentsofthemenwhowereledbyShackleton.Sheusesdiaries,let
ters,andinterviewstounderstandShackletonsleadershipbehavior.Morrellbelieves
thateventodaywecanlooktohisbehaviorsasasourceofinspirationandeducation.
ThefourcornerstonesofShackletonsleadershipbehaviorareleadingbyexample,com
municatingavision,keepingupmorale,andmaintainingapositiveattitude.Morrell
concludesfromherresearchofShackletonandleadership:Ifyoulookcloselyatany
10

Leadership Contingency Theory


Matching Qualities
of Leaders,
Characteristics of
Followers, and the
Nature of the
Situation

Boththetraittheoryandthebehavioraltheoryofleadershipwereattemptstoidentify
theonebestleaderandtheonebeststyleforallsituations.Bythelate1960s,itbecame
apparentthatthereisnosuchuniversalanswer.Leadership contingency theoryholds
thatthemostappropriateleadershipqualitiesandactionsvaryfromsituationto
situation.Effectivenessdependsonleader,follower,andsituationalfactors.Forcesin
theleaderincludepersonalvalues,feelingsofsecurity,andconfidenceinsubordi
nates.Forcesinthefollowerincludeknowledgeandexperience,readinesstoassume
responsibility,andinterestinthetaskorproblem.Forcesinthesituationincludeor
ganizationalstructure,thetypeofinformationneededtosolveaproblem,andthe
successfulleader,youwillfind[heorsheis]executingonthesefourpoints.
amountoftimeavailabletomakeadecision.
11
Inthepast60years,morethan65classificationsystemshavebeendevelopedtodefine
thedimensionsofleadership,andmorethan15,000booksandarticleshavebeenwritten
abouttheelementsthatcontributetoleadershipeffectiveness.Theusualconclusionis
thattheanswerdependsonleader,follower,andsituationalvariables.Aleaderinabank
andaleaderonthefarmwillneeddifferentinterests,values,andskills.Experienced
followersandnewfollowerswillhavedifferentleadershipneeds.Situationalfactorsin
cludethejobbeingperformed,thecultureoftheworkplace,andtheurgencyofthetask.
Nosingleelementexplainswhyleadershiptakesplace.Leadershipresultswhen
theideasanddeedsoftheleadermatchtheneedsandexpectationsofthefollowersin
aparticularsituation.TherelationshipbetweenGeneralGeorgePatton,theU.S.
ThirdArmy,andthedemandsofWorldWarIIresultedinleadership;however,the
sameGeneralPattonprobablywouldnothavemuchinfluenceonthemembership
andgoalsofaPTAmeetingtoday.Eveniftherewereagreementaboutgoals,dis
agreementoverstyleprobablywouldinterferewiththeleadershipprocess.
Amodernexampleofmatchingqualitiesoftheleader,characteristicsoffollowers,
andthenatureofthesituationwouldbeNelsonMandela,thefirstblackpresidentof
SouthAfrica.12Anegativeexample,butoneofhistoricsignificance,isthatofAdolf
Hitler,theGermanpeople,andtheperiod1919to1945:
Hitlergeneratedhispowerthroughtheskillfuluseofsuggestion,collectivehypnosis,andevery
kindofsubconsciousmotivationthatthecrowdwaspredisposedtounleash.Inthisway,the
peoplesoughtoutHitlerjustasmuchasHitlersoughtthemout.RatherthansayingthatHitler
manipulatedthepeopleasanartistmoldsclay,certaintraitsinHitlergavehimtheopportunity
toappealtothepsychologicalconditionofthepeople.
Seeninthislight,Hitlerwasnotthegreatbeginner,butmerelytheexecutorofthepeoples
wishes.Hewasabletofeelthecharacteranddirectionofthepeopleandtomakethemmore
consciousofit,therebygeneratingpowerthathewasabletoexploit.Thisisnotduetohis
personalstrengthalone.Isolatedfromhiscrowd,Hitlerwouldbewithreducedpotency.
Hitlerhadmanypersonalweaknesses,butasonewhosensedthecharacteranddirectionof
thegroup,hebecametheembodimentofpower.Nodoubthisstrengthcamethroughhis
claimingforhimselfwhatactuallywastheconditionandachievementofmany.13

Ultimately,theleader,thefollowers,andthesituationmustmatchforleadership
totakeplace.Onewithouttheothertwo,andtwowithoutthethird,willabortthe
leadershipprocess.14

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26

Case Study:
Mr. Black, Ms. Blue, and Mr. White15
Recentlyyouwerepromotedfromthejoboffirstlevelsupervisortothatofmiddle
management,andyounowhaveunderyoursupervisionseveralofyourformer

equals.Yougetalongwell tobeperfectandis
theirjobsover
withthem,andthereisno alwayspointingoutthe andoveragainandshehastoputonthefinishingtouchesherself.Oftenhersubordi
resentmentaboutyour
defectsinthecompany natesarestandingaroundwaitingforhertogetaroundtocheckingtheirwork.They
advancementbecausethey andfindingfault
knowtheirjobsbutwaitforBluetomakeallthedecisions.
recognizethatyouarethe
withthewaythe
Finally,thereisWhite,thepermissivesupervisor.Insteadofrunninghis
Leadership
3
bestpersonavailablefor
organizationisrun.
employees,heislettingthemrunhim.Hissubordinatesdotheirjobsinanymanner
thejob.
(Conditions,whilenot theywish.TheydonotrespectWhite'sauthority,andtheyraisesomanyobjections
Youknowfrompast
perfect,areaboveaver thatheletsthemdowhatevertheywant.Oftentheyboastofhowtheytellhimoff.
associationsthatyouwill age.)Blackdoeshisjob
Alltheothersupervisorsunderyourjurisdictionaredoingagoodjob.Youwould
havetostraightenout grudginglyanddoesnot liketotaketheeasywayoutandfireBlack,Blue,andWhite,buttheyhavebeenwith
threeofthese
getalongwellwiththe thecompanyforquiteawhile.Besides,youfeelthatifyoucanlicktheseproblems,
subordinates;therestareall otherpeople
youwillreceivequiteabitofrecognitionfromuppermanagement.
right.ThethreeareBlack, intheorganization.
Blue,andWhite.Blackhas
Blue,ontheother
Questions
alwaysbeenagainstthe
hand,issnowedunder
1.HowwouldyouhelpBlackbecomeaneffectivesupervisor?
organization,Bluehas
byherwork;she
alwaysbeensnowedunder
carriesthewholeload
bywork,
ofthedepartmentonher
andWhitehasalwaysbeen shoulders.Her
apermissivesupervisor.
subordinatestakeno
Black,theanticompany initiative,andsheis
supervisor,alwayssides continuallycorrecting 2.HowwouldyouhelpBluebecomeaneffectivesupervisor?
withhissubordinates
theirmistakes.Bluesees
againstthe
thatwhateverlittlework
organizationand
comesoutof
sympathizeswiththem
hersectionisletter
whenthingsgowrong.He perfectevenifshehasto
wantsconditions
haveheremployeesdo
3.HowwouldyouhelpWhitebecomeaneffectivesupervisor?

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2 / The Leadership Equation

Transformational Leadership
Somepeoplehaveanextraordinaryabilitytoinspireothersandbringforthloyalty.A
personwhohassuchapersonalityissaidtohavecharisma.TheGermansociologist
MaxWeberexplainsinhis Theory of Social and Economic Organization:Theterm
charismaappliestoacertainqualitythatcausesonetobesetapartfromordinary
peopleandtobetreatedasendowedwithsuperhuman,oratleastexceptional,powers
orqualities.Inthissense,charismaisagiftorpowerofleadership.16
In1976R.J.Housepublishedatheoryofcharismaticleadershipthathasreceived
agreatdealofattentionbyresearchers.Hetracestheinfluenceofthecharismatic
leadertoacombinationofpersonalcharacteristicsandtypesofbehavior.Thecharac
teristicsofcharismaticleadersincludebeingdominant,ambitious,andselfconfident,
aswellashavingastrongsenseofpurpose.
Charismaticleadersalsodemonstratespecifictypesofbehaviors:(1)Theyarerole
modelsforthebeliefsandvaluestheywanttheirfollowerstoadopt.Forexample,
Gandhiadvocatednonviolenceandwasarolemodelofcivildisobedience.(2)They
demonstrateabilitythatelicitstherespectoffollowers.Leadersinart,science,
religion,business,government,andsocialserviceinfluencefollowersthroughtheir
personalcompetence.(3)Theyhaveideologicalgoalswithmoralovertones.Martin
LutherandMartinLutherKingbothemployedthistypeofcharismaticbehavior.
(4)Theycommunicatehighexpectationsfortheirfollowersandshowconfidencein
theirabilitytomeetthoseexpectations.Militaryhistoryisrepletewithexamplesof
charismaticwarleaders.(5)Charismaticleadersignitethemotivesoftheirfollowers
totakeaction.Motivesandtasksfallbroadlyintothreeareasaffiliation,power,and
achievement.17
ThepsychologistDavidMcClellanddescribesthenatureofcharismaticleadership:
Wesetouttofindexactly,byexperiment,whatkindsofthoughtsthemembersofanaudience
hadwhenexposedtoacharismaticleader.Theywereapparentlystrengthenedandupliftedby
theexperience;theyfeltmorepowerful,ratherthanlesspowerfulorsubmissive.Thissuggests
thatthetraditionalwayofexplainingtheinfluenceofleadershasnotbeenentirelycorrect.The
leaderdoesnotcausefollowerstosubmitandgoalongbyintimidationandforce.Infact,the
leaderisinfluentialbystrengtheningandinspiringtheaudience.Thepersonalityoftheleader

arousesconfidenceinfollowers,andthefollowersfeelbetterabletoaccomplishwhatevergoals
theysharewiththeleader.18

Ineverywalkoflife,anindividualwithcharismamayemerge.Whenthis
happens,thepersonisrecognizedasaleader.See,forexample,theaccountbyWillie
Davis,allprolinemanfortheGreenBayPackers,whichshowshowVinceLombardi
exercisedtremendousinfluenceinthefieldofsportsbecauseofhischarismatic
personality.MenplayedtheirheartsoutforLombardi.Theirgoalwastopleasehim,
tobeequaltotheirunderstandingofhisvaluesandgoals.
TheexampleofLombardishowshowanindividualcangeneratetherespectand
followingofothersthroughpersonalcharisma.AccordingtoWillieDavis,howdid
Lombardidothis?
First,he cared.Noonewasmorecommittedtoachievingthegoalandwinning
thegame.
Second,he worked hard.Nooneworkedharderandmorediligentlytoprepare.
Third,he knew the right answers.Heknewthegameoffootball,heknewthe
teams,andhehadaplantosucceed.
Fourth,he believed.Hebelievedinhimselfandhisplayers,andthatmadethem
believersaswell.
Fifth,he kept the bar high.Hehaduncompromisingstandardsthatraisedthe
prideofhisteamastheyrosetothechallenge.
Sixth,he knew people.Heknewhowtomotivateeachofhisplayers,eachinhis
ownway.

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He Made Me Feel Important


Willie Davis
Football is a game of emotion, and what the old man excels at is motivation.
I maintain that there are two driving forces in football; one is anger and the
other is fear, and he capitalized on both of them. Either he got us so mad we
wanted to prove something to him, or we were fearful of being singled out as
the one guy who didnt do the job.
In the first place, he worked so hard that I always felt the old man was really putting more into the game on a day-to-day basis than I was. I felt obligated to put something extra into it on Sunday; I had to, just to be even with
him. Another thing was the way he made you a believer. He told you what the
other team was going to do, and he told you what you had to do to beat
them, and invariably he was right. He made us believe that all we had to do
was follow his theories on how to get ready for each game and wed win.
Probably the best job I can remember of him motivating us was when we
played the Los Angeles Rams the next-to-last game of 1967. We had already
clinched our divisional title, and the game didnt mean anything to us, and he
was worried about us just going through the motions. Before the game, he
was trembling like a leaf. I could see his leg shaking. I wish I didnt have to ask
you boys to go out there today and do this job, he said. I wish I could go out
and do it myself. Boy, this is one game Id really like to be playing in. This is a
game that youre playing for your pride.
How about the day we beat the Rams 63 in Milwaukee in 1965? Wed broken a two-game losing streak, and we were all kind of happy and clowning
around, and he came in and you saw his face and you knew nothing was
funny anymore. He kicked a bench and hurt his foot, and he had to take something out on somebody, so he started challenging us. Nobody wants to pay
the price, he said. Im the only one here whos willing to pay the price. You
guys dont care. You dont want to win.
We were stunned. Nobody knew what to do, and finally Forrest Gregg
stood up and said, My God, I want to win, and then somebody else said,
Yeah, I want to win, and pretty soon there were forty guys standing, all
shouting, I want to win. If we had played any football team in the world during the next two hours, wed have beaten them by ten touchdowns. The old

Leadership,
man had us feeling so
politicalsociologist
ashamed and angry.
JamesMacGregor
That was his greatest
Burnsstatesthatthe
assethis
term charismahas
Leadership
takenonanumberof
ability to motivate
differentbutoverlapping
people.19

36

Inhisbook

dependenceona
powerfulfigurebythemasses;assumptionsthataleaderisomniscientandvirtuous;
andsimplypopularsupportforaleaderthatvergesonlove.20
Theterm transformational leadershipcanbeusedtodescribetheleadershipof
individualssuchasVinceLombardi.Theseleadersuseoptimism,charm,intelligence,
andamyriadofotherpersonalqualitiestoraiseaspirationsandtransformindividuals
andorganizationsintonewlevelsofhighperformance.21
meanings:leaders
AlthoughtransformationalleadershipwasfirstdiscussedbyJ.V.Downtonin
magicalqualities;an
1973,itsemergenceasanimportanttheoryofleadershipcanbetracedtoBurns,who
emotionalbondbetween
theleaderandtheled; distinguishedtwokindsofleadership: transformationaland transactional.Transac
tionalleadersfocusonexchangesbetweenleadersandfollowers.Anexamplewould

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2 / The Leadership Equation

beamanagerwhoexchangespayandpromotionforworkperformed.Incontrast,
transformationalleadersfocusonthepotentialitiesoftherelationshipbetweenthe
leaderandfollowers.Thisleadertapsthemotivesoffollowerstobetterreachthe
goalsofboth.BurnsusesGandhiasanexampleoftransformationalleadershipbe
causehenotonlyraisedthehopesanddemandsofmillionsofhispeople,butinthe
processwasalsochangedhimself.22
Incontrasttotransactionalleaders,whoemphasizeexchangingonethingforan
other,suchasjobsforvotesandrewardsforfavors,transformationalleadersengage
thefullpersonofthefollower.Theresultiselevationofthepotentialoffollowersand
achievementbeyondpreviousexpectations.23Itisimportanttonotethattransforma
tionalleadershipcanoccuratalllevelsofanorganizationandtransformationalleaders
canemergeinbothformalandinformalroles.24

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CHAPTER

Leadership Qualities,
Characteristics of Followers,
and Situational Factors

ertainqualitiesbelongpotentiallytoeveryone,butleaderspossessthese
qualitiestoanexceptionaldegree.Thefollowingisadiscussionof10qualities
thatmarkaleaderandhelpinfluencetheleadershipprocessvision,ability,
enthusiasm,stability,concernforothers,selfconfidence,persistence,vitality,
charisma,andintegrity.25
Vision. The first requirement for a leader is a strong sense of purpose.Avision
ofwhatcouldandshouldbeisabasicforcethatenablestheleadertorecognizewhat

38

mustbedoneandtodoit.Visioninspiresothersandcausestheleadertoacceptthe
dutiesofleadership,whetherpleasantorunpleasant.Asenseofvisionisespecially
powerfulwhenitembodiesacommoncauseovercomingtyranny,stampingout
hunger,orimprovingthehumancondition.
NativeAmericansbelievethattheleadershouldlooktotheseventhgeneration
whenmakingdecisionstoday,andthiswillensurethatavisionissoundandjust.
AntonedeSaintExupryoncecommentedontheimaginativenatureofvision,
saying,Arockpileceasestobearockpilethemomentasinglemancontemplates
it,bearingwithinhimtheimageofacathedral.26
Examplesofleadershipvisionanditspowercanbeseenincomputerpioneer
SteveJobs,whoforesawacomputeroneverydesktopandineveryhome,andin
businessentrepreneurBillGates,whoaskedtheoptimisticandcompellingquestion,
Wheredoyouwanttogotoday?JobsofAppleandGatesofMicrosofthavealtered
businessandsocietyinirreversibleways.

Leadership

If you are the leader of a work group or an organization, you should ask,
Do I have a plan? What is my vision of what this department or organization should be?
Ability. The leader must know the jobor invite loss of respect.Ithelpsifthe
leaderhasdonethejobbeforeanddoneitwell.Employeesseldomrespecttheindi
vidualwhoconstantlymustrelyonotherswhenmakingdecisions,givingguidance,
orsolvingproblems.Althoughemployeesusuallyshowagreatdealofpatiencewith
anewleader,theywilllosefaithinsomeonewhofailstogainanunderstandingof
thejobwithinareasonableperiodoftime.Also,theleadermustkeepjobknowledge
current.Failuretokeepupleadstolackofconfidenceandlossofemployeesupport.
Finally,aleadermusthaveakeenmindtounderstandinformation,formulatestrate
gies,andmakecorrectdecisions.27

Leaders should ask, How competent am I? Am I current in my field? Do I set


an example and serve as a resource for my employees because I keep job
knowledge current? Mentally, are my perceptions accurate, is my memory
good, are my judgments sound?

Enthusiasm. Genuine enthusiasm is an important trait of a good leader.Enthu


siasmisaformofpersuasivenessthatcausesotherstobecomeinterestedandwilling
toacceptwhattheleaderisattemptingtoaccomplish.Enthusiasm,likeotherhuman

30

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3 / Leadership Qualities, Characteristics of Followers, and Situational
Factors

emotionslaughter,joy,happinessiscontagious.Enthusiasmshownbyaleader
generatesenthusiasminfollowers.AsHarryTrumanoncesaid,Thesuccessfulman
hasenthusiasm.Goodworkisneverdoneincoldblood;heatisneededtoforge
anything.Everygreatachievementisthestoryofaflamingheart.28
If you are a leader, you must ask, Do I care personally and deeply about
what I am doing? Do I show this to my employees? Does my enthusiasm
ignite others to take action?
Stability. The leader must understand her or his own world and how it relates
to the world of others.Onecannotsolvetheequationofotherswhenpreoccupied
withtheequationofself.Empathyforemployeescannotbedevelopediftheleaderis
emotionallyinvolvedwithpersonalproblems.Problemswithalcohol,problemswith
money,andproblemswithrelationshipsarefertilefieldsforemotionalinstability.A
displayofemotionalinstabilityplacestheleaderinaprecariouspositionwithregard
toemployees,becausetheywillquestiontheleadersobjectivityandjudgment.
Leavingpersonalproblemsathomeallowstheleadertothinkmoreclearlyandto
performmoreeffectivelyonthejob.Onecanseetheconsequencesoflossofstability
withexamplesrangingfromthefallofAlexandertheGreattothefallofCaptain
Queegin The Caine Mutiny.

The leader must ask, Do I possess objectivity? Do I convey stability to my


employees? Do they trust that personal problems will not interfere with my
judgment?

Concern for others. At the heart of caring leadership is concern for others.

The

leadermustnotlookdownonothersortreatthemasmachinesreplaceableand
interchangeable.Theleadermustbesincerelyanddeeplyconcernedaboutthewelfare
ofpeople.Thecharacterofcaringstandsinclearcontrasttothecharacterofbullying.
Thecaringleadernevertearsdown,belittles,ordiminishespeople.Theleadermustalso
possesshumilityandselflessnesstotheextentthat,wheneverpossible,othersinterests
areconsideredfirst.Concernforothersrequirespatienceandlistening,andtheresultis
trust,thebedrockofloyalty.Loyaltytofollowersgeneratesloyaltytotheleader;and
whentasksbecometrulydifficult,loyaltycarriestheday.
Leaders must question, Do I truly care about my employees as people, or
do I view them more as tools to meet my goals? Do I ever demean people,
or do I always lift them up? If I value my employees, do they know it?

Self-confidence. Confidence in ones ability gives the leader inner strength

to
overcome difficult tasks.Ifleaderslackselfconfidence,peoplemayquestiontheir
authorityandmayevendisobeyorders.ResearchersattheCenterforCreative
Leadershiphavefoundthatsuccessfulleadersremaincalmandconfidenteven
duringintensesituations.Bydemonstratinggraceunderpressure,theyinspirethose
aroundthemtostaycalmandactintelligently.Accordingtofootballquarterback
RogerStaubach,thekeytoselfconfidenceishowhardtheleaderworks:Confidence
comesfromhours,days,weeks,andyearsofpreparationanddedication.WhenIm
inthelasttwominutesofaDecemberplayoffgame,Imdrawingconfidencefrom
windsprintsIdidthepreviousMarch.Itsjustacircle:workandconfidence.29
A leader must ask, What is my self-confidence level? Do I show confidence
in my actions? Have I done the homework and preparation needed to build
self-confidence?

Persistence. The leader must have drive and determination to stick with

difficult
tasks until they are completed.AccordingtoNiccolMachiavelli,Thereisnothing
moredifficulttotakeinhand,moreperiloustoconduct,ormoreuncertainasto
success,thantotaketheleadintheintroductionofaneworderofthings.30Israeli
primeministerGoldaMeirreferredtothequalityofpersistencewhensheadvised
thatthingsdonotjustoccurinoneslife.Sheencouragedpeopleto believe,be persistent,and struggletoovercomelifesobstacles.31LeadersfromWaltDisneytoRay
Kroc,founderofMcDonalds,haveshowntheimportanceofpersistenceforbusiness
success,andmilitaryleadersfromUlyssesGranttoGeorgePattonhaveprovedits

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importanceonthebattlefield.However,nobetterexampleexiststoshowtheimpor
tanceoffierceresolveasaleadershipqualitythanthatofWinstonChurchill.Histori
ansagreethatthisleader,withhisbulldogwill,wasadeterminingelementinthe
successoftheAlliednationsindefeatingtheAxispowersinWorldWarII.Inthe
faceofimpossibleoddsandseeminglycertaindefeat,Churchillralliedhispeople.
Simply,hewouldnotgivein;hewouldnotgiveup.32
If you are the leader, ask, Do I have self-drive and unflagging persistence
to overcome adversity even when others lose their strength and their will?
Vitality. Even if the spirit is willing, strength and stamina are needed to fulfill
the tasks of leadership.Effectiveleadersaretypicallydescribedaselectric,vigorous,
active,andfulloflife,nomatterhowoldtheyareoriftheyarephysicallydisabled.
ConsiderFranklinRoosevelt,whohadpolio,andHelenKeller,whowasblindanddeaf.
Itisinterestingtonotethatatonepointinrecenthistory,theAmericanPresidentRonald
Reagan,theRomanCatholicPopeJohnPaulII,andtheAyatollahKhomeiniofIran
wereallover70yearsofageandmorevitalthanmanypeoplehalftheirage.Atall
ages,leadersrequiretremendousenergyandstaminatoachievesuccess.Thecaring
leadermusthavehealthandvigortopursuehisorhergoals.Physicalcheckupsand
physicalfitnessarecommonsenseacts.

Leaders must ask, Am I fit for the tasks of leadership? Do I have sufficient
energy? Am I doing everything I can to keep physically strong?
Charisma. Charisma is a special personal quality that generates others interest
and causes them to follow.Napoleonmakesthepointthatgreatleadersareoptimists
andmerchantsofhope.33Optimism,asenseofadventure,andcommitmenttoacause
aretraitsfoundincharismaticleaders.Thesearequalitiesthatunleashthepotentialof

othersandbringforththeir
integritythatis
Integrity. The
energies.Charismaisa
neededforleadingpeoplefromtheboardroom,totheshopfloor,tothebattlefield.34
most important
Greekwordthatmeans
AmodelofintegritywasGeorgeWashington,aboutwhomitwaswritten:
divinely
Endowedbynaturewithasoundjudgment,andanaccuratediscriminatingmind,hewasguided
quality of
inspiredgift.Theresultis
Leadership
4
byanunvaryingsenseofmoralright,whichwouldtoleratetheemploymentonlyofthose
admiration,enthusiasm,and leadership is
meansthatwouldbearthemostrigidexamination,byafairnessofintentionwhichneither
theloyaltyoffollowers.
soughtnorrequireddisguise,andbyapurityofvirtuewhichwasnotonlyuntaintedbut
integrity,
Charismaticleadersin
unsuspected.35
historyincludeJulius
understood as
Washingtonsabilities,hisdetermination,andevenhisimageallfurtheredhis
Caesar,Charlemagne,and honesty, strength of
achievements,buthisgreatestlegacywashisintegrity.Hewasrespectedbyevery
ElizabethI.
character, and
one.Herefusedostentatioustitles,insistingthatinarepublicancountry,heshould
As a leader, ask
courage.Without
yourself, Do I possess integritythereisnotrust, becalledsimplyMr.President.WhenWashingtondiedin1799,Americans
mournedthelossofthemanknownasthefatherofhiscountry.36
a positive outlook and the
As a leader, ask, Do my people trust me? Do they know that I seek the truth
commitment
numberoneelementin
and that I am true to my word? Do they see that I possess strength of charin my demeanor that theleaderfollower
transforms followers equation.Integrityleads acter and the courage of my convictions?
to new levels of
Howdoyourateonthe10qualitiesofleadership:vision,ability,enthusiasm,
totrust,andtrust
performance as
leadstorespect,loyalty, stability,concernforothers,selfconfidence,persistence,vitality,charisma,and
well as personal
andultimately,action.It integrity?Doyouhavethequalitiesthatinspireotherstofollow?Exercise31will
loyalty to me?
istrustcomingfrom
helpyouevaluateyourself(oraleaderyouknow).

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Exercise 31
Ten Leadership
QualitiesHow Do
You Rate?

41

Evaluate yourself (or a leader you know) on the following leadership qualities by circling a
number from 1 to 10 (1 is low; 10 is high).
1. Vision: a sense of what could and should be done

10

10

2. Ability: job knowledge and expertise to achieve results


1

3. Enthusiasm: personal commitment that invigorates and motivates people


1

10

10

4. Stability: emotional adjustment and objectivity


1

5. Concern for others: service to followers and interest in their welfare


1

10

6. Self-confidence: inner strength that comes from preparation and competence


1

10

7. Persistence: determination to see tough tasks through to completion


1

10

10

8. Vitality: strength and stamina


1

9. Charisma: magnetic ability to attract people and cause them to follow


1

10

10. Integrity: honesty, strength of character, and courage that generates trust
1

Scoring and Interpretation:


Add all the circled numbers to find the overall score:

10

Evaluation
Score
10090

42

Leadership

Excellent; exceptional
High; very good

8980

Average; needs improvement

7970

Low; much work needed

6960

Deficient; poor

59 and below

33

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3 / Leadership Qualities, Characteristics of Followers, and Situational
Factors

ResearcherBarbaraKellermanstatesvaluableinsightscanbegainedbyexaminingqual
itiesofineffectiveleaders.Heranalysishasuncoveredsixnegativebehaviorsorflaws:

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

1. Incompetence.Theleaderlackswillorskill(orboth)tosustaineffectiveaction.

2. Rigidity.Theleaderisclosedmindedtonewideas,newinformation,orchanging
times.
3. Intemperance.Theleaderlacksselfcontrolinpersonalhabitsandconduct.
4. Callousness.Theleaderisuncaringandunkind,discountingtheneedsof
others.
5. Corruption.Theleaderputsselfinterestaheadofpublicinterest,andiswilling
tolie,cheat,orsteal.
6. Cruelty.Theleadercommitsatrocitiesinflictingphysicaland/oremotionalpain
onothers.37
SimilarfindingsarereportedbyMorganMcCallandMichaelLombardoin Off the
Track: Why and How Successful Executives Get Derailed,publishedbyTheCenter
forCreativeLeadership.Derailedleaders
1.

Useabullyingstylethatisintimidatingandabrasive.

2.
3.
4.
5.
6.

Areviewedasbeingcold,aloof,andarrogant.
Betraypersonaltrust.
Areviewedasselfcentered,overlyambitious,andthinkingofthenextjob.
Havespecificbusinessperformanceproblems.
Overmanageandareunabletodelegateorbuildateam.38

Topersonalizethesubject,considerindividualswhohavefailedorderailedasleaders
astheresultofnegativebehaviorsorflaws.Whatweretheconsequences?

Characteristics of Followers
Theword followerisrootedintheOldGermanword follaziohan,whichmeansto
help,serve,andassist.Twocharacteristicsoffollowersthatinfluencetheleadership
processare respect for authorityand interpersonal trust.Peoplewhorespectau

44

thorityfiguresandhaveatrustingnatureareledmoreeasilythanpeoplewhodisre
gardauthoritiesandaresuspiciousofothers.(Exercise32,evaluatessusceptibility
tofollow,basedonthetrustyouhaveinothers.)
Ageneraldeclineisevidentintheleveloftrustemployeeshaveinleadership
personnelinAmericansociety.Thetendencytowithholdtrustandbeselfguarded
canbetracedtoanumberoffactors:(1)breakdownofthetraditionalfamily
structure;(2)declineofawiderangeofsocialstructures,suchasschools,churches,
andneighborhoods;(3)lackofsharedvaluesandasenseofcommunityasthe
societyhasfocusedonindividualadvantageandselfabsorption;and,perhapsmost
important,(4)caseaftercaseinwhichhighlyvisibleandinfluentialleadership
figuresarediscoveredputtingselfinterestoverthepublicgoodclearevidencethat
toomanyleadersviolatethetrustthattheyhavebeengiven.39
AttitudestowardauthorityhavebeenchanginginWesternsociety,andeffective
leadershiptodayrequiresadjustmenttotheideasandexpectationsofanewgenera
tionoffollowers.Inthepast,theleaderintheworksettingtypicallywasataskmaster
whoruledwithastrongarmandforcedemployeestoobeyorfacetheconsequences.
Ifemployeesfailedtoshowrespectorfolloworders,theywerethreatenedwith
dismissalorotherpunishment.Overtheyears,employeeshavedevelopeddefensesto
protectthemselves.Theyhaveorganizedunionstorepresenttheirinterests,andlabor
legislationhasbeencreatedtoprotectworkersfromarbitraryfiringormistreatment.
Inaddition,managementhaslearnedthatpeoplewhofeeloppressedusuallyrespond

Leadership

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36

innegativewaysslowingdownproduction,producingpoorqualitywork,andbeing
uncooperative.40
Todayseffectiveleadersdonotusethepowertacticsofthepast.Modernmanagers
findthatthepracticeofthreateningemployeesisusuallycounterproductive.Instead,
theyviewtheirtaskasoneofmotivatingemployeestodotheirbest.Inadoptingthis
approach,leadersfunctionasfacilitatorsandteachersasopposedtoenforcersand
disciplinarians,believingthattrustandrespectshouldbeearned,notdemanded.With
thisapproach,theresponseofthegoodfollowerisinthetraditionoftheapprentice,
disciple,andstudentoneofreliableeffortandloyaltytotheleader.41
Effectiveleadersandeffectivefollowershavemanycommonqualitiesintegrity,
ability,commitment,andsoon.Twoqualitiesthatarenecessaryfororganizational
successarehighinvolvementandcriticalthinking.Leadersandfollowerswhocare
deeplyandthinkwellmakeapowerfulteam.42

The Importance of Trust


ManagementauthorsStuartLevineandMichaelCromwriteaboutbuildingtrustin
theworkplace.Theyidentifysixprinciplesoftrustforleadershipeffectiveness:
1. Deal openly with everyone.Hiddenagendaswillerodepeoplestrustinyou,
whilealsoshowingthatyoudonttrustthem.
2. Consider all points of view.Seesituationsfromtheotherpersonsperspective.
Showthatalthoughyoumaynotagreewiththem,youdorespecttheviewsofothers.
3. Keep promises.Neversayyouwilldoonethingandthendoanother.Ifyou
cantdowhatyouhavepromised,explainwhy;donttrytohidethefactthatyou
couldntkeepyourword.
4. Give responsibility.Asaleader,youhavebottomlineexpectations.Explain
yourexpectationstoemployees;thenletthemusetheirtalent,education,andexperi
encetoachieveresults.
5. Listen to understand.Situationsmayarisethatatfirstappearasthoughsome
oneisuntrustworthy.Misseddeadlines,unreasonableexpenses,anddeviationsfrom
standardpracticesareexamples.Bysimplyaskingwhatishappeninginsteadof
assumingtheworst,youwillbuildatrustingrelationship.
6. Care about people.Thisprinciplewillhaveamajorimpactonhowpeople
reacttoyouandtosituations.Iftheyknowyoucareaboutthem,theywillbehonest
withyouandwilldoalltheycantomeetyourexpectations.43

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45

Exercise 32
Interpersonal Trust
Scale 44

The following is a survey of a number of work and social issues. Respond to each item on
the basis of your own experience and judgment in dealing with people. Many views are
represented in this survey. You may find yourself agreeing strongly with some of the statements, disagreeing with others, and perhaps being undecided about others. Whether you
agree or disagree with any statement, you can be sure that many people feel the same as
you do. Circle the response that shows the extent to which you agree or disagree with
each statement.
1. The best way to handle people is to tell them what they want to hear.
a. Strongly disagree
b. Disagree
c. Undecided
d. Agree
e. Strongly agree
2. It is hard to get ahead without cutting corners here and there.
a. Strongly disagree
b. Disagree
c. Undecided
d. Agree
e. Strongly agree
3. Anyone who completely trusts someone else is asking for trouble.
a. Strongly disagree
b. Disagree
c. Undecided
d. Agree
e. Strongly agree
4. When you ask someone to do something for you, it is best to give the real reasons for
the request rather than giving reasons that might carry more weight.
a. Strongly disagree
b. Disagree
c. Undecided
d. Agree
e. Strongly agree
5. It is safest to assume that all people have a vicious streak and that it will come out
when they are given a chance to use it.
a. Strongly disagree
b. Disagree

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

c. Undecided
d. Agree
e. Strongly agree
6. One should take action only when sure it is morally right.
a. Strongly disagree
b. Disagree
c. Undecided
d. Agree
e. Strongly agree

37

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38

9. Most people forget more easily the death of their father than the loss of their
property.
a. Strongly disagree

46

1 / Leadership Variables

b. Disagree

Leadership

c. Undecided

7. Most people are


basically good and kind.
a. Strongly disagree

d. Agree
e. Strongly agree
10. Generally speaking, people wont work hard unless they are forced to do so.

b. Disagree

a. Strongly disagree

c. Undecided

b. Disagree

d. Agree

c. Undecided

e. Strongly agree

d. Agree

8. There is no valid

e. Strongly agree

reason for lying to


someone else.
a. Strongly disagree

Scoring:

b. Disagree

Complete Steps 1 and 2.

c. Undecided
d. Agree

Step 1:

e. Strongly agree

In the following key, circle the score that corresponds to your answer for each item of the
questionnaire:
1. a. 5

2. a. 5

3. a. 5

4. a. 1

5. a. 5

b. 4

b. 4

b. 4

b. 2

b. 4

c. 3

c. 3

c. 3

c. 3

c. 3

d. 2

d. 2

d. 2

d. 4

d. 2

e. 1

e. 1

e. 1

e. 5

e. 1

6. a. 1

7. a. 1

8. a. 1

9. a. 5

10. a. 5

b. 2

b. 2

b. 2

b. 4

b. 4

c. 3

c. 3

c. 3

c. 3

c. 3

d. 4

d. 4

d. 4

d. 2

d. 2

e. 5

e. 5

e. 5

e. 1

e. 1

Step 2:
Add your scores; then divide the total by 10:
Total score

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47

39
3 / Leadership Qualities, Characteristics of Followers, and Situational
Factors

Interpretation:
Scores on the Interpersonal Trust Scale, which range from 1.0 to 5.0 (see Figure 31),
show your tendency to trust people. Typically, the higher the score on the scale, the more
trust you have in the inherent decency of others. A high score may also reflect susceptibility to suggestion from others. The lower the score on the scale, the less trusting you
would be expected to be of others. A low score may also reflect a tendency to manipulate
others in accomplishing goals.

Figure 31
Interpersonal Trust Scale

M
S

48

Most
Trusting

Leadership

Reprinted with permission from Psychology Today Magazine, copyright 1970,


Sussex Publishers, Inc.
Score

Characteristics

1.02.0

This person believes that most people seek personal advantage, even at the
expense of others; thus, the best course of action is self-protection. The
1.02.0 individual may manipulate others in interpersonal relations and
avoid making personal commitments. Such a person is often difficult to
lead.

2.03.0

This person is generally suspicious of the motives of others and tends


toward skepticism and self-reliance rather than seeking assistance or
direction. The 2.03.0 individual will usually act independently, rather than
ask for help or delegate, believing the best way to get something done is to
do it oneself.

3.04.0

This person has confidence in the basic decency of others, combined with
an evaluation of the merits of the situation. The 3.04.0 individual will
usually trust others temporarily, yet reserve final judgment.

4.05.0

This person believes that people are essentially good and therefore readily
trusts others. Such a person may not look below the surface of things. The
4.05.0 individual is easily persuaded and should be encouraged to look at
all sides of an argument before making a decision.

Review your interpersonal trust scores. What is your tendency? Do you lean toward
suspicion and self-reliance? Do you tend to be trusting and suggestible? Or are you, like
most people, somewhere in the middle? Given your level of trust, are you typically easy or
difficult to lead?

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Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

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3 / Leadership Qualities, Characteristics of Followers, and Situational
Factors

Situational Factors
Inadditiontoqualitiesoftheleaderandcharacteristicsoffollowers,manysituational
factorsinfluencetheleadershipprocess.Thefollowingisadiscussionofimportant
situationalfactors,includingthesizeoftheorganization,thesocialandpsychological
climate,patternsofemployment,andthetype,place,andpurposeofworkper
formed.Alsoincludedisadiscussionofleaderfollowercompatibility.
Size of the organization.Studiesshowthatthesizeofanorganizationdemands
acertaintypeofleadershipskill.Asmallorganizationneedsaleaderwhoisbotha
salespersonandaproductionmanager.Outsidetheorganization,theleaderisthe
organizationschiefadvocate,personallymeetingwithclientsandwinningtheir
loyalty.Ontheinside,theleaderorganizesthework,assignstasks,coachesemployees,
andevaluatesprogress.Incontrast,theleaderofalargeorganizationdevotesefforts
primarilytotheorganizationspublicimageanditsinvestmentandgrowthplans.
Leadersoflargeorganizationsthinkinbroadtermsaboutthecommunityandthe
marketplace,consideringhowtheorganizationcanbeplacedbestinboth.45
Social and psychological climate.Socialandpsychologicalfactorssuchas
confusion,anxiety,anddespaircanalsoinfluencetheleadershipprocess.Consider

preWorldWarIIGermany,whereagreatdepressionandtheinactivityofthepeople
seemedintolerable:
ThestreetsofGermantownswerefullofmillionsofunemployedwaitingforthedole,which

50

wasscarcelysufficienttoprovidefortheindispensableneedsofdailylife.Theseobservations
werecommontoeveryonewholivedinGermanyduringtheyearsprecedingHitlersadventto
power.Thelackofsuchanimportanteducationalfactorascompulsorymilitaryserviceonthe
onehand,andtheplagueofunemploymentontheother,producedtheirinevitableconsequences
intheslopeofadeplorablemoralrelaxationandinanotlessdeplorabledecreaseofpatriotism.
Inthesecircumstancesthatwereripeforleadership,AdolfHitlercametopower.46

Leadership

Patterns of employment.Inhisbook The Age of Unreason,managementauthor


CharlesHandydescribeshowcontemporarypatternsofworkarechangingin
fundamentalways.Hedescribestheshamrockorganization,inwhichtherearethree
workforcessupportinganorganization,butonlyoneleafoftheshamrockispermanent
andfulltime;theothertwoare(1)parttimeortemporaryorboth,and(2)independent
workersandcontractorswhoformallianceswiththeorganizationtoperformspecified
tasks.Handydescribeshowtheseeminglyunusualworkassignmentsofourday
workingathome,flextime,independentcontractors,networksofprofessionals,
associations,virtualofficesandcompanies,andthelikearepartofanewpatternof
workthataddstothechallengeofleadership.47
Type, place, and purpose of work.Thetypeofworktobedoneisanimportant
factorintheleadershipprocess.Leadershipstudiesshowthat,ingeneral,whenthe
worktobedoneisclearcut,routine,ormonotonous,anondirectiveandsupportive
approachisbest.Ifworkdutiesaredefinedloosely,adirectiveandtaskorientationis
neededuntilroles,responsibilities,andrelationshipsareclarified.48
Alsoimportantisthecontextofplaceandpurpose.Whereisthesetting,andwhat
isthegoal?Istheplacethefarm,thefactory,orthelab?Isthepurposesellingor
serving?Isthetaskshipbuildingorsinging?Whatisthechallengestartinga
businessormindingthestore?Allthesefactorsofthesituationhavetremendous
influenceonwhowilllightthepathandhowbrightthelightwillbe.

Different Kinds of Intelligence


Intelligenceismultidimensional. Crystallized intelligencerepresentsoneslifetime
ofintellectualattainments,asshownbyvocabulary,accumulatedfactsaboutthe
world,andabilitytosolveproblemswithinonesareaofexpertise.Itincludes
comprehensionofinformationandtheabilitytocommunicateinoralandwritten
forms.Crystallizedintelligencecanbeincreasedovertime. Fluid intelligence

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involvesmentalflexibility,asshownbytheabilitytoprocessinformationrapidly,as
insolvingproblemsinnewareasofendeavor.Peopledrawuponfluidintelligencein
novelsituationsorwhenconventionalsolutionsfail.Itincludesreasoning,creative
thinking,andmemory.Onecanimagineanancientmarinerwhoisbothseawise
(crystallized)andpeoplesmart(fluid).49
Althoughintelligenceispositivelyrelatedtoleadershipeffectiveness,different
situationsrequiredifferentkindsofintelligence.50OnceHenryFordwasaskedwho
shouldleadtheband.Hisanswerwas,Theonewithrhythm.Exercise33,based
ontheworkofKeithRogers,RobertSternberg,andHowardGardner,measures
multipleintelligencesthatarecombinationsofbothcrystallizedandfluidmental
abilities.Thisexercisecanbeusedtoanswerthequestions,Whatkindofintelligence
doyoupossess?Inwhichsituationsareyoulikelytolead,andinwhichareyou
likelytofollow?Whatisyournaturalleadershipstrength?

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51

Exercise 33
Indicator of Multiple
Intelligences51

For each statement, indicate your most accurate response by placing a check mark in the
appropriate space. Think about your knowledge, beliefs, preferences, behaviors, and experiences. Decide quickly and move on. There is no right or wrong, no good or bad, no
expected or desirable response. Focus on the way you really are, not on the way someone
else may think you ought to be.
Almost
Rarely Occasionally Sometimes Usually Always
1
2
3
4
5
1. I am careful about the direct and
implied meanings of the words
I choose.
2. I appreciate a wide variety
of music.
3. People come to me when they
need help with math problems
or any other calculations.
4. In my mind, I can visualize clear,
precise, sharp images.
5. I am physically well coordinated.
6. I understand why I believe and
behave the way I do.
7. I understand the moods,
temperaments, values, and
intentions of others.
8. I confidently express myself well
in words, written or spoken.
9. I understand the basic precepts
of music, such as harmony,
chords, and keys.
10. When I have a problem, I use a
logical, analytical, step-by-step
process to arrive at a solution.
11. I have a good sense of space
and direction.
12. I have skill in handling objects
such as scissors, balls, hammers,
scalpels, paintbrushes, knitting
needles, and pliers.
13. My self-understanding helps me
make wise decisions for my life.

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

14. I am able to influence other


individuals to believe and/or
behave in response to my own
beliefs, preferences, and desires.
15. I am grammatically accurate.
16. I like to compose or create music.
17. I am rigorous and skeptical in
accepting facts, reasons, and
principles.
18. I am good at putting together
jigsaw puzzles, and reading
instructions, patterns, or
blueprints.
19. I excel in physical activities such
as dance, sports, or games.
43

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music, such
as singing or playing a musical
instrument for an audience.

1 / Leadership Variables

52

24. I require scientific explanations


of physical realities.

Leadership

25. I can read maps easily


and accurately.
Almost

20. My ability to
understand my own

26. I work well with my hands, as


Rarely
Occasiona
would an electrician, plumber,
lly tailor, mechanic, carpenter,
Sometime
or assembler.
s27.
Usually
I am aware of the complexity of
Always
my own feelings, emotions, and
1
2
beliefs
in various circumstances.
3
4
5
28. I am able to work as an effective
intermediary in helping other
individuals and groups solve
their problems.

emotions helps me
29. I am sensitive to the sounds,
decide
rhythms, inflections, and meters
whether or how to be
of words, especially as found
involved
in poetry.
in certain situations.
30. I have a good sense of
21. I would like to be
musical rhythm.
involved in the
31. I would like to do the work
helping professions,
of people such as chemists,
such as
engineers, physicists,
teaching, therapy, or
astronomers, or mathematicians.
counseling,
or to do work such as 32. I am able to produce graphic
depictions of the spatial world,
political
as in drawing, painting, sculpting,
or religious
drafting, or mapmaking.
leadership.
22. I am able to use
spoken or
written words to
influence or
persuade others.
23. I enjoy performing

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33. I relieve stress or find fulfillment


in physical activities.
34. My inner self is my ultimate
source of strength and renewal.
35. I understand what motivates
others even when they are trying
to hide their motivations.

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3 / Leadership Qualities, Characteristics of Followers, and Situational
Factors

Almost
Rarely Occasionally Sometimes Usually Always
1
2
3
4
5
36. I enjoy reading frequently on a
wide variety of topics.
37. I have a good sense of musical
pitch.
38. I find satisfaction in dealing
with numbers.
39. I like the hands-on approach to
learning, when I can experience
personally the objects that
Im learning about.
40. I have quick and accurate
physical reflexes and responses.
41. I am confident in my own
opinions and am not easily
swayed by others.
42. I am comfortable and confident
with groups of people.
43. I use writing as a vital method

of communication.
44. I am affected both emotionally
and intellectually by music.
45. I prefer questions that have
definite right and wrong answers.
46. I can accurately estimate
distances and other
measurements.
47. I have accurate aim when
throwing balls or in archery,
shooting, golf, and the like.
48. My feelings, beliefs, attitudes,
and emotions are my own
responsibility.
49. I have many good friends.

Scoring:
In the Scoring Matrix on the next page, the numbers in the boxes represent the statement
numbers in the preceding survey. You made a rating judgment for each statement. Now
place the numbers that correspond to your ratings in the numbered boxes. Then add the
columns, and write the totals at the bottom to determine your score for each of the seven
intelligence categories.
Once you have calculated your total score for each kind of intelligence, consult the section Interpretation to determine the intensity level that corresponds to each total score.
Record that number in the final section of the Scoring Matrix.

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Scoring Matrix
VerbalLinguistic

MusicalRhythmic

LogicalMathematical

VisualSpatial

BodilyKinesthetic Intrapersonal Interpersonal

10

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

35

36

37

38

39

40

41

42

43

44

45

46

47

48

49

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

Total
Intensity of knowledge, beliefs,
preferences, behaviors, and
experiences: (3) equals low,
(2) equals moderate, and
(1) equals high

Interpretation:
To some degree, everyone possesses all seven kinds of intelligence, and all can be enhanced. We are each a unique blend, however, and we differ in the degree to which we
prefer and have competence to use each of the intelligences. Presented below are interpretations for the total scores for each kind of intelligence. Intensity levels range from
(3) low, to (2) moderate, to (1) high.
Score
715

1626

2735

54

Intensity of Knowledge, Beliefs, Preferences, Behaviors, and Experiences


Tertiary preference (3): Low intensity. You tend to avoid activities in this area.
Unless you are unusually motivated, gaining expertise would be
frustrating and would likely require great effort. Keep in mind, however,
that all intelligences, including this one, can be enhanced throughout
your lifetime.

Leadership

Secondary preference (2): Moderate intensity. You could take or leave the
application of this intelligence. Although you accept it, you do not necessarily
prefer to use it. On the other hand, you would not typically avoid using it.
Gaining expertise in this area would be satisfying, but would require
attention and effort.
Primary preference (1): High intensity. You enjoy using this intelligence. You are
excited and challenged by it, perhaps even fascinated. Given the
opportunity, you will usually select it. Becoming an expert in this area
would be rewarding and fulfilling, and would probably require little effort
compared with the effort required for intelligence in a moderate or low
area of preference.

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The following are the specific characteristics of each of the seven kinds of intelligence:
1. If you have verbal-linguistic intelligence, you enjoy reading and writing, and have a good
memory for names and places. Like the playwright William Shakespeare, you like to tell
stories, and you are good at getting your point across. You learn best by seeing, saying,
and hearing words. People whose dominant intelligence is in the verbal-linguistic area
include poets, authors, speakers, attorneys, politicians, lecturers, and teachers.
2. If you have musical-rhythmic intelligence, you are sensitive to the sounds in your
environment, enjoy music, and prefer listening to music when you study or read. Like
the composer Ludwig van Beethoven, you appreciate pitch and rhythm, and learn best
through melody and music. Musical intelligence is obviously demonstrated by singers,
conductors, and composers, but also by those who enjoy, understand, and use various
elements of music.
3. If you have logical-mathematical intelligence, you like to work with numbers, perform
experiments, and explore patterns and relationships. Like the scientist Marie Curie, you
enjoy doing activities in sequential order and learn best by classifying information,
engaging in abstract thinking, and looking for basic principles. People with welldeveloped logical-mathematical abilities include mathematicians, biologists, geologists,
engineers, physicists, researchers, and other scientists.
Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

4. If you have visual-spatial intelligence, you are likely to engage in imagining things, sensing
spatial changes, and working through mazes and puzzles. Like the artist Michelangelo,
you like to draw, build, design, and create things. You learn best by looking at pictures,
watching videos or movies, and visualizing. People with well-developed visual-spatial
abilities are found in professions such as sculpting, painting, surgery, and engineering.
5. If you have bodily-kinesthetic intelligence, you process knowledge through bodily
sensations and use your body in skilled ways. Like the warrior Achilles, you respond best
in situations that provide physical activities and hands-on learning experiences, and you
are able to manipulate objects with finesse. People who have highly developed bodilykinesthetic abilities include carpenters, soldiers, mechanics, dancers, gymnasts,
swimmers, and other athletes.
6. If you have intrapersonal intelligence, you are a creative and independent thinker. Like the
philosopher Spinoza, you are comfortable focusing inward on thoughts and feelings,
following personal instincts, and pursuing goals that are original. You may respond with
strong opinions when controversial topics are discussed. Pacing your own work is
important to you. People with intrapersonal abilities include both philosophers and
entrepreneurs.
7. If you have interpersonal intelligence, you enjoy being with people, like talking with
others, and engage in social activities. Like Eleanor Roosevelt, you have the ability to
understand people, and people often come to you for help. You learn best by relating,
sharing, and participating in cooperative group environments. People with strong
interpersonal abilities are found in public service, sales, consulting, community
organizing, counseling, teaching, or one of the other helping professions.
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Intelligenceiscomplexandmultidimensional.Youmayfindthatyouhave
strengthsinseveraldifferentareas.Whenneedsforleadershipariseinyourareasof
strength,youcancapitalizeontheseaptitudesforsuccess.
Theconceptofmultipleintelligencesisrelevanttosuccessfulleadership.Leader
shipeffectivenessisindirectproportiontostrengthofcommitment;commitment
comesfrompassion;andpassioncomesfromwithintheperson.Considerexamples
suchasWaltDisneyinentertainmentandSteveJobsintechnology.
Althoughtherearemanymodelsandwaystodescribeandexpresshumantalent,
theideathattherearesevenkindsofintelligenceisinterestinganduseful.Theforce
ofanideaoractionisgreatlydeterminedbythestyleofintelligenceoftheleader.

Styles of Leading
Animportantfactorintheleadershipprocessisleaderfollowercompatibilitybased
onstylesofleading.Exercise34isdesignedtoevaluateyourpreferredstyleof
leadingdirective,participative,orfreerein.52

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Exercise 34
What Is Your

Answer the following questions, keeping in mind what you have done, or think you would
do, in the situations described.

Leadership Style?

Yes
1. Do you enjoy the authority leadership brings?
2. Generally, do you think it is worth the time and effort for a leader
to explain the reasons for a decision or policy before putting the
policy into effect?
3. Do you tend to prefer the planning functions of leadership, as
opposed to working directly with your employees?
4. A stranger comes into your work area, and you know the person is
a new employee. Would you first ask, What is your name? rather
than introduce yourself?
5. Do you keep employees up-to-date on a regular basis on
developments affecting the work group?
6. Do you find that in giving out assignments, you tend to state the
goals, leaving the methods up to your employees?

No

7. Do you think leaders should keep aloof from employees, because in


the long run familiarity breeds lessened respect?
8. It comes time to decide about a company event. You have heard
that the majority prefer to have it on Wednesday, but you are pretty
sure Thursday would be better for all concerned. Would you put the
question to a vote rather than make the decision yourself?
9. If you had your way, would you make communication sessions
employee-initiated, with personal consultations held only at the
employees request?
10. Do you favor the use of audits and performance evaluations as a
way of keeping work standards high?
11. Do you feel that you should be friendly with employees?
12. After considerable time, you determine the answer to a tough
problem. You pass along the solution to your employees, who poke
it full of holes. Would you be annoyed that the problem is still
unsolved, rather than become upset with the employees?
13. Do you agree that one of the best ways to avoid problems of
discipline is to provide adequate punishment for violation of rules?
14. Your way of handling a situation is being criticized by your
employees. Would you try to sell your viewpoint, rather than make
it clear that, as supervisor, your decisions are final?
15. Do you generally leave it up to your employees to contact you, as
far as informal, day-to-day communications are concerned?
16. Do you feel that everyone in your work group should have a certain
amount of personal loyalty to you?
17. Do you favor the practice of using task force teams and committees,
rather than making decisions alone?
18. Some experts say that difference of opinion within a work group is
healthy; others say it indicates basic flaws in the management
process. Do you agree with the first view?

51

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Scoring:
In the Scoring Matrix below, place a check mark next to each question you answered yes.
Add the check marks for each column to find the totals for the leadership styles you prefer.
Scoring Matrix
Directive

Participative

Free-Rein

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

13.

14.

15.

16.

17.

18.

Total

Total

Total

Interpretation:
Your highest score indicates your preferred style of leading. A description of each style is
presented in Figure 32.
Figure 32

Continuum of Leadership Styles53


Directive Style

60

Participative Style

Free-Rein Style

Leadership

Range of Behavior

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Figure33showsthedifferentemphasesintheuseofpowerforthethreestylesof
leadership.
Maximum Area of Freedom
of Followers
Maximum Use of Authority
byFigure
Leader33
Emphasis in the Use of
Power54
Leader decides
Leader attempts to
what is to be done convince followers
and how it is to be of the rightness
done, and presents of decisions.
the decision to
followers, allowing
no questions or
opposing points of
view.
Directive Style
(Leader-centered
decision making)

Directive Style

Participative Style

Leader
Leader
Leader announces Leader presents a
principles and sets problem, asks for
forth methods of followers ideas,
decision making, and makes final
yet
permits ideas, decisions
based
Followers
Followers
questions, and
on their input.
discussion from
followers.
Leader
Work Group
Emphasis
Emphasis
Participative Style
(Leader and followers share
decision making)

Free-Rein Style

Leader
Leader presents
Leader allows
problems with some followers as
boundaries and lets much freedom as
followers make final leader has to
decisions. Followers
define problems
and make
decisions.
Follower
Emphasis
Free-Rein Style
(Follower-centered
decision making)

AccordingtotheideasofHollander,Vroom,andYetton;TannenbaumandSchmidt;
HerseyandBlanchard;DanielGoleman;andothers,therearefivepointstoremem
beraboutstylesofleading:55
1.Peopledeveloppreferredstylesbymodelingothers,goingthroughformal
training,andlearningfrompersonalexperience.
2.Anindividualusuallyprefersthesamestyleofleadingandstyleoffollowing.
Confusionresultswhenthisisnotthecase.GeneralGeorgePattonwasadirective
leaderandafreereinfollower,causingmixedsignalsandmuchcontroversyinhis
relationswithcommandersandsoldiers.
3.Leadershavebeensuccessfulalongallpointsofthecontinuum:ElizabethI
wasdirectiveinherstyle;ThomasJeffersonchoseparticipativeleadership;Dwight
Eisenhowerpreferredthefreereinstyle.ItisinterestingtocontrastItalianpolitical
philosopherNiccolMachiavelli(14691527),whoadvocatedbeingdirectiveto
thepointofbelievingthattheendsjustifythemeans,tosixthcenturyBCChinese
philosopherLaotzu,whoprescribednondirectiveleadershiptothepointofbelieving
intotalselflessness:Ofagoodleaderwhenhisworkisdoneandhisaimsfulfilled,
allwillsay,wediditourselves.
4.Thereisnouniversallyeffectivestyleofleading.Sometimesitisbestforthe
leadertotellemployeeswhattodo;sometimesitisbestforleadersandsubordinates

tomakedecisionstogether;andsometimesitisbestforemployeestodirectthem
selves.Thebeststyleofleadershipdependsonqualitiesoftheleader,characteristics
ofthefollowers,andthenatureofthesituation.
Increasingly,theAmericanworkplaceisbecomingfasterpaced,moreculturally
diverse,andmoreglobalinnature.SeeTable31,whichshowsageneralshiftfrom
Table 31
The Changing Character
of Work Culture and
Changing Focus of Effective
Leadership56

Directive
Decade

Pre-1950
1950s
1960s
1970s
1980s
1990s
Post-2000

Nature of Work Culture

Focus of Leadership

Hierarchy
Organization
Systems
Strategy
Innovation
Diversity
Community

Command and control


Supervision
Administration
Management
Entrepreneurship
Team building
Relationship management

Free-rein

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directive(commandandcontrol)tofreerein(relationshipmanagement)focusof
leadership,andashiftfromahierarchytoacommunitynatureofworkculture,as
innovativeproducts,quickreactiontime,andindividualinitiativearerequirements
forsuccess.
5.Ifstylesofleadingandstylesoffollowingconflict,extrapatienceandcommu
nicationareneeded,especiallyinthefollowingareas:

Decision making.Directiveleadersmaybeupsetbyfreereinfollowerswhoinsist
onchallengingdecisionsandbehavingindependently.Theseleadersmustremember
thatfreereinfollowersusuallydotheirbestworkonspecialassignmentsandinde
pendentprojects.Theyrespondbesttoindividualtreatmentandpersonalfreedom.
Goal setting.Directivefollowersmaybeupsetbyfreereinleaderswhoprovidefew
detailsonhowtodoajob.Theseleadersmustrememberthatdirectivefollowersusu
allydotheirbestworkwhenjobdutiesarespelledoutanddirectordersaregiven.
Communication.Participativefollowersusuallyareupsetbyleaderswhofailto
havestaffmeetings,ignoretheopendoorpolicy,andshowlittleconcernforpeo
plesfeelings.Theseleadersmustrememberthatparticipativefollowerswantopen
communicationandactiveinvolvementinthedecisionmakingprocess.Theyusu
allyperformwellontaskforces,committees,andotherworkteams.

Tounderstandtheimportanceofleaderfollowercompatibility,consideryourown
experience.Haveyoueverhadaleaderwhomissedthemarkinmeetingyourneeds?
Doyou,yourself,havetherangetomeettheneedsofallthreestylesdirective,
participative,andfreerein?

Leadership Effectiveness Today


Becausethereisnouniversalformulaforsuccess,leadershipismore artthanscience
andmoreskillthanknowledge.Aboveall,leadershipisdifficult.InNoEasyTask,
managementauthorandeducatorDouglasMcGregor,originatoroftheterms theory
Xand theory Y,describeshowdifficultleadershipcanbe.

No Easy Task
Douglas McGregor
I believed (before becoming President of Antioch College) that a leader could
operate successfully as a kind of advisor to his organization; I thought I could
avoid being a boss. Unconsciously, I suspect, I hoped to duck the unpleasant necessity of making difficult decisions, of taking the responsibility for one
course of action among many uncertain alternatives, of making mistakes and

62

taking the consequences. I thought that maybe I could operate so that everyone would like methat good human relations would eliminate all discord
and argument.
I couldnt have been more wrong. It took a couple of years, but I finally
began to realize that a leader cannot avoid the exercise of authority any more
than he can avoid responsibility for what happens to his organization. In fact,
it is a major function of the leader to take on his own shoulders the responsibility for resolving the uncertainties that are always involved in important
decisions. Moreover, since no important decision ever pleases everyone in an
organization, the leader must also absorb the displeasure, and sometimes the
severe hostility, of those who would have taken a different course. 57

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Theroleoftheleaderintodayshightech,fastpaced,andeverchanging
workplaceisincreasinglydifficult.Indealingwithawidevarietyofemployees
alongafullrangeofskills,theleadermustaddnewdemandstotraditionalduties
(seeTable32):

Table 32
Leadership Demands
and Duties

Traditional Duties

New Demands

1. Give orders.
2. Implement plans.

1. Empower people.
2. Generate ideas.

Manage individuals.
Do things right.
Organize work.

Coach teams.
Do the right things.
Develop people.

Theeffectiveleadertodaymustbeadirector andmotivator,implementer andinno


vator,mentor andteambuilder,expert andmoralforce,organizer anddeveloperof
people.Thesearegreatchallengesthatbringbothsatisfactionandappreciationfor
caringleaderswhoarewillingandabletomeetthem.

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Part One Summary


AfterreadingPartOne,youshouldknowthefollowingkeyconcepts,principles,and
terms.Fillintheblanksfrommemory,orcopytheanswerslistedbelow.
Historically,thestudyofleadershiphasemphasized(a)theory,
focusingonqualitiesoftheleader,and(b)theory,focusingon
leadershipactions.Almostalwaysincludedasimportantleadershiptraitsare
(c),,and.Leadershipbehavior
theoryhasincludedstylesofleadership(d),,
andstudiedby(e),andothers,aswellas
dimensionsofleadership(f),andstudiedby
(g),andothers.Leadership(h)theoryholdsthat
themosteffectiveleadershipqualitiesandactionsvaryfromsituationtosituation,
dependingonqualitiesofleaders,characteristicsoffollowers,andthenatureofthe

situation.Theterm(i) elevationofthe
beyondpreviousexpectations.Qualitiesthatmarkaleader
isusedtodescribethe
performanceoffollowers
include(j)
,,,,
,and.Characteristicsoffollowersthatinfluence
Leadership
64
theleadershipprocessare(k),and.Principlesfor
developingtrustintheworkplaceinclude(l),,
,and.Manysituationalfactorsinfluencethe
leadershipprocess,including(m),,
,and.Thereisnouniversalformulafor
leadershipsuccess,sowhatiseffectivecanchange,casebycase.Thus,leadershipis
more(n)thanscience.
Answer Key for Part One Summary
a.

trait,page16

b.

behavior,page16

c.

intelligence, values, energy,page16

d.

autocratic, democratic, laissez-faire,page19

e.

Kurt Lewin,page19

f.

initiating structure, showing consideration,page20

g. Ralph Stogdill,page19
h. contingency,page25
i. transformational leadership,pages2728
j.(anysix) vision, ability, enthusiasm, stability, concern for others, self-confidence,
persistence, vitality, charisma, integrity,pages3032
k. respect for authority, interpersonal trust,page35
l.(anyfour) deal openly with everyone, consider all points of view, keep promises,
give responsibility, listen to understand, care about people,page36
m. size of the organization; social and psychological climate; patterns of
employment; type, place, and purpose of work,page41
n. art,page54

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Reflection Pointspersonal thoughts on the leadership


equation, leadership
qualities, characteristics of followers, and situational
factors
CompletethefollowingquestionsandactivitiestopersonalizethecontentofPart
One.Spaceisprovidedforwritingyourthoughts.

Critiquetheideathatleadershipsuccessrequireseffectivenessontwodimensions:
(1)initiatingstructurefocusonthetaskandconcernforproductionaswellas
(2)showingconsiderationemployeesupportandconcernforpeople.Evaluate
anactualleaderseffectivenessusingthesetwodimensions.

Describeanincidentortimewhenthequalitiesoftheleader,thecharacteristicsof
followers,andthenatureofthesituationmatchedandleadershipoccurred.What
tookplace,whowasinvolved,andwhatweretheresults?

Considerthequalitiesthatmarkaleadervision,ability,enthusiasm,stability,
concernforothers,selfconfidence,persistence,vitality,charisma,andintegrity.
Onthebasisofthese10qualities,discussthebestleaderyouhaveeverhad.

Howsusceptibletoleadershipareyou?Areyoubasicallyatrustingpersonora
suspiciouspersonwhenitcomestofollowingothers?

Whatisyournaturalintelligencestrength?Whenandwherehaveyouprovided
leadershipbasedonyourpreferredintelligencearea(s)?

Haveyoueverclashedwithasupervisororsubordinateoverleadershipstyle?
Discussdynamicsandresults.

DiscusstheinfluenceofOprahWinfreyinAmericansociety.Whatfactorsof
Oprah,herfollowers,andthesituationhaveresultedinherleadershipinfluence?

Somethinkleadershipisabornability.Somethinkleadershipcanbelearned.
Somethinkleadershipistheproductofaneedorchallenge.Whatdoyouthink?
Citeexperienceorresearchtosupportyourview.

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Part One Video Case


Toying with Success: The McFarlane Companies
ToddMcFarlane,presidentandCEOoftheMcFarlaneCompanies,isanentrepreneur
whounderstandstheimportanceofproductdevelopment.Comics,sports,toys,and
rockandrollhaveallbenefitedfromhiscreativity.WhenMcFarlanesdreamtoplay
majorleaguebaseballdidnthappen,hefellbackonanotherinteresthedevelopedas
ateenagerdrawingsuperheroes.Hefacedthesamequestionfacedbyallother
entrepreneurs:Couldhemakemoneypursuinghisdreams?Hesenthissketchesto
prospectiveemployers,andafter300rejectionlettersMcFarlanegotajobfreelancing
forMarvelComics.Workingmanyhoursforlowpay,hemadeanameforhimself
andby1990wasthehighestpaidcomicbookartistintheindustry.
Frustratedovercreativedifferencesandhisdesiretoowntherightstohischarac
ters,McFarlanequit,tooksixotherartistswithhim,andstartedhisowncompany.
Hewentfromartisttoentrepreneurovernight.Whileindustryexpertspredictedhe
wouldlastlessthanayear,McFarlanedidnteventhinkaboutthefuture. Spawn,his
firstcomic,sold1.7millioncopies.
Entrepreneurshiprewardsindividualswillingtotakerisks.InToddMcFarlanes
case,theneedtocontrolhisdestinydrovehisaspirations.Hispathissimilartothat

takenbymanyothers:
develop
globalinfluenceonbusinesshasanimpactonalltheotherenvironments.Knowing
receivingtrainingatalarge ingnewproducts.The hecantcontroltheglobalenvironment,McFarlanefocusesonmanagingwhathecan
company,thenleavingwhen competitiveenvironment control.
he
drivesqualityat
ToddMcFarlanespurchaseofMarkMcGwires70thhomerunballfor$3million
decidedhecouldprovidea
McFarlane,which
illustrateshiswillingnesstotakeariskandfocusonwhathecontrols.Whilemany
Leadership
66
betterproductonhisown. produceshighquality
thoughthewascrazy,McFarlanesawanopportunity.Hecombinedtheballwithsev
Todaysdynamic
productseveniftheycost eralothershitbyMcGwireandSammySosatocreatetheMcFarlaneCollection,
businessenvironmenthas more,andthusMcFarlane whichwasdisplayedineverymajorleaguestadiumandgarneredenormouspublicity.
atremendouseffecton gainsan
AportionoftheproceedswasdonatedtotheLouGehrigFoundation.Mostsignifi
thesuccessor
edgeovercompetitors. cant,McFarlanebeganarelationshipwithprofessionalsportsthatledtohisobtaining
failureofentrepreneurslike TheCEOusestheWebto theexclusiverightstonearlyeveryprofessionalsportsteamtoylicense.
ToddMcFarlane.
interactwithhiskey
Economicsplaysakeyrole demographic,
atthe
orasheputsit,thefreaks Questions for Discussion
McFarlaneCompanies.The withlonghairandcool 1.WhatpersonalitytraitsdoleaderslikeToddMcFarlanepossessthatdistinguish
firmmustprotectthemany tattoos.Spawn.com
themfromotherindividuals?
intellectualpropertiesit
providesa
creates
placewherefanscan
2.Howhaveglobalcompetitionandtechnologyadvanceschangedbusinessconditions
andlicenses.Thebusiness interactwitheachother andleadershipchallenges?
usestechnologytosupport andwiththecompany.
andsparkcreativityin
Finally,the
Formoreinformation,seewww.spawn.com.

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Action Assignment
Asabridgebetweenlearninganddoing,completethefollowingactionassignment.
1.WhatisthemostimportantideayouhavelearnedinPartOne?
2.Howcanyouapplywhatyouhavelearned?Whatwillyoudo,withwhom,where,
when,and,mostimportant,why?

69

The Power of Vision

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Part 2 The Power of Vision


4. The Importance of Vision and the Motive to Lead
5. Organizational Climate

MOMENTUM COMES FROM HAVING A CLEAR VISION of what the organization


ought to be, from a well-thought-out strategy to achieve that vision, and from
carefully conceived and communicated directions and plans that let everyone
participate and be accountable in achieving these plans. Momentum is vital and
palpable. It is the feeling among a group of people that their lives and work are
intertwined and moving toward a recognizable and legitimate goal.
Max DePree
Leadership Is an Art

Learning Objectives
AfterstudyingPartTwo,youwillbeableto:
Knowtheroleofvisionforleadershipsuccess.
Describehowaleadercreatesandimplementsapowerfulvision.
Understandtheimportanceofalignmentandprioritization.
Knowyourmotiveforassumingthetasksofleadership.
Developanorganizationalclimatethatattractsandkeepsgoodpeople.
Describetheelementsoftruecommunity.

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Leadership

CHAPTER

The Importance of Vision


and the Motive to Lead

anagementauthorPeterDruckeroncesaid,Thebestwaytopredictthe
futureistocreateit.1Mostleadersagreewiththisstatementcompletely.
Theleaderwantstomakeadifferenceandstrivestocreateathingthatnever
wasbefore.Thisthing,thisdifference,constitutesa vision.
Themostimportantfunctionofaleaderistodevelopaclearandcompelling
pictureofthefuture,andtosecurecommitmenttothatideal.Considerthewords
ofHenryFordashecommunicatedhisvisiontomakeacarforthemasses:Iwill
buildamotorcarforthegreatmultitude...constructedofthebestmaterials,by
thebestmentobehired,afterthesimplestdesignsthatmodernengineeringcan
devise...solowinpricethatnomanmakingagoodsalarywillbeunabletoown
oneandenjoywithhisfamilytheblessingofhoursofpleasureinGodsgreat
openspaces.2
Fordsleadershipsuccessbeganwithavision.Tothis,headdeda strategyto
succeed.Threegreatideasthatgavehisvisionlifewere(1)themovingassembly
line;(2)payingworkersnotaslittleaspossiblebutasmuchaswasfair;and
(3)verticalintegration,whichmadeFordsRiverRougeplantamarvelofthe
industrialworld.
Fordbelievedthatavisionshouldnotbejusttomakemoney.Hesawprofitasthe
byproductofavisionachieved.Fordwrote:Abusinessoughtnottodrift.Itought
tomarchaheadunderleadership.Theeasywayistofollowthecrowdandhopeto
makemoney.Butthatisnotthewayofsoundbusiness.Therightwayistoprovidea
neededproductorservice.Trytorunabusinesssolelytomakemoneyandthebusi
nesswilldie.Profitisessentialtobusinessvitality.Butabusinessthatchargestoo
highaprofitdisappearsaboutasquicklyasonethatoperatesataloss.Shortsighted
businessmenthinkfirstofmoney,butthequalityofaproductorserviceiswhat
makesorbreaksabusiness.Withoutthese,customerssoongoelsewhere.3
Inadditiontodevelopingavisionandastrategytosucceed,theleadermust
haveintensityand staminatoseethesethrough.AsCEOatJohnson&Johnson,
JamesBurkeestimatedthathespent40percentofhistimecommunicatingand
reinforcingthecompanysvision.Muchissaidaboutthevisionofleadersand
abouttheircreativestrategies.However,theincredibleenergytheydisplayasthey
facerepeatedchallengesandevenfailuresmustnotbeoverlooked.Leaders
typicallyhavesubstantialvitality,andtheymanagetotransmitthisenergyto
others.Thisisaforcebornoutofdeepconvictionsandpassionfortheworkor
goal.Suchleadersbreathelifeintotheirorganizations;hencetheterm animatoris
usedtodescribetheleader.4

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Examples of Powerful Visions


ConsiderthestrongandallembracingvisionofJohnson&Johnsonthathashelped
thousandsofemployeesthroughouttheworldunderstandthattheirfirstobligation
istothecustomer:Webelieveourfirstobligationistothedoctors,nurses,and
patients;tomothersandallotherswhouseourproductsandservices.5
ConsiderthemovingvisionofCollisHuntington,founderofNewportNewsShip
buildingandDryDockCompanyin1886:
Weshallbuildgoodshipshere.
Ataprofitifwecan;
Atalossifwemust.
Butalwaysgoodships.6

AndconsideroilmagnateJ.PaulGettywhoidentifiedhisvisionasfollows:getup
early,workhard,findoil.7
Table41isavisionofanorganizationthatimpactseveryAmerican.

Vision

Table 41
United States Central
Intelligence Agency (CIA)

We will provide knowledge and take action to ensure the national security of the United States and
the preservation of American life and ideals.
Mission

We are the eyes and ears of the nation and at times its hidden hand. We accomplish this mission by:
Collecting intelligence that matters.
Providing relevant, timely, and objective all-source analysis.
Conducting covert action at the direction of the president to preempt threats or achieve United
States policy objectives.
Values

In pursuit of our countrys interests, we put Nation before Agency, Agency before unit, and all before
self. What we do matters.
Our success depends on our ability to act with total discretion and an ability to protect sources and
methods.
We provide objective, unbiased information and analysis.
Our mission requires complete personal integrity and personal courage, physical and intellectual.
We accomplish things others cannot, often at great risk. When the stakes are highest and the
dangers greatest, we are there and there first.
We stand by one another and behind one another. Service, sacrifice, flexibility, teamwork, and
quiet patriotism are our hallmarks.
Source: CIA Web site accessed May 25, 2010, at www.cia.gov/information/mission.html.

Whatistheroleofvisioninhelpingorganizationssucceed?AsFigure41shows,
successbeginswithaclear,compellingvision,apictureinthemindsofthemembers
oftheorganizationofhowthingsshouldandcouldbe.Withoutvision,thereisconfu
sion.Alsorequiredareotherimportantingredients:skills,incentives,resources,and
anactionplan.

Vision as an Ideal
Theword visionevokespicturesinthemind.Itsuggestsafutureorientation,implies
astandardofexcellenceorvirtuouscondition,andhasthequalityofuniqueness.
Thesearetheelementsthatgivelifeandstrengthtovision.Visionisanidealimage
ofwhatcouldandshouldbe.Theleadermustaskthreequestionstotesthisorher
vision:(1)Isthistherightdirection?(2)Arethesetherightgoals?(3)Isthistheright
time?Then,theleadermustsharethisvisionandhaveitsupported.Turntopage65
andreadandfeelthepowerofthewordsofMartinLutherKing,Jr.,ashedelivered
hisvisionofcivilrightsbeforetheLincolnMemorialonAugust28,1963.8

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Figure 41
Organizational Success9

Vision

Organizational
Success

Skills

Incentives

Resources

Action Plan

Skills

Incentives

Resources

Action Plan

Confusion

Incentives

Resources

Action Plan

Anxiety

Resources

Action Plan

Gradual
Change

Action Plan

Frustration

Vision

Skills
Vision
Skills

Incentives

Skills

Incentives

Vision

Resources

False Starts

Vision

Leader as Visionary
and Motivator of People
ManagementauthorWarrenBennisstatesthatleadersmustbeclearlyfocusedona
positiveandfuturefocusedgoalorvision.Clarityofpurposeprovidesguidancefor
makingdecisionsabouttimeandresources.Alsorequiredisconstancyofeffort.
Passionandauthoritycometoleaderswhoclearlyknowwheretheyaregoingand
havededicationtosucceed.Whenleadershavepassionandauthority,othersare
inspiredtofollow.10
Theroleofleadershipistochartadirectionthatwillmotivatepeople.Thisisneces
saryateverylevelandwalkofresponsibility.Imagineagovernorwhosays,Icant
createavisiontillthepresidentdoes,oramayorwhosays,Icantcreateavisiontill
thegovernordoes,orapolicechiefwhosays,Icantcreateavisiontillthemayor
does,oracaptainwhosays,Icantcreateavisiontillthechiefdoes.Everysubordi
nateofeveryleaderisthinking:Andwhataboutyou?Nomatterhowuncertaincondi
tionsareabovetheleader,theeffectiveleadermustcreateaclearandcompellingvision
ofwhatshouldbedoneinhisorherareaofresponsibility.Remember,ifavisionisnot
clearintheleadersmind,itwillbeaperfectblurinthemindsofsubordinates.
Visionscanbesmallorlargeandcanexistatanyorganizationallevel.Theimportant
pointsare:(1)avisionisnecessaryforeffectiveleadership;(2)aleadercandevelopa
visionforanyproject,workgroup,ororganization;and(3)manyleadersfailbecause
theydonothaveavisioninsteadtheyfocusonsurvivingonadaybydaybasis.11
ResearchersNoelTichyandMaryDeVannadescribehowsuccessfulleadershelp
theirorganizationsmeetthechallengeofchange.Thedatafromtheirinterviewsshow
thattheyuseathreeactprocess:Act1istorecognizetheneedforchange;act2isto
createaclearandpositivevisionforthefuture;act3istoinstituteempowering
structuresandprocessestoachievethevision.12
Inamajorstudyofleadershipeffectiveness,theForumCorporationreportsonthe
characteristicsofsuccessfulleadersatmiddletoseniorlevelsofresponsibility.The
studyidentifiesthreeleadershipqualities,analogoustoTichyandDeVannasthree
actprocess,thatareneededforsteeringorganizationsthroughperiodsofchange:
1. Taking personal responsibility for initiating change.Amajorfunctionofthe
leaderistomanageattention.Theleadermustbepersonallyinvolvedandcommitted
tomakingadifference.Absoluteidentitywithonescauseisthefirstconditionof
successfulleadership.

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65

I Have a Dream
Martin Luther King, Jr.
So I say to you, my friends, that even though we face the difficulties of today
and tomorrow, I still have a dream. It is a dream deeply rooted in the American
dream that one day this nation will rise up and live out the true meaning of its
creedwe hold these truths to be self-evident, that all men are created equal.
I have a dream that one day on the red hills of Georgia, sons of former
slaves and sons of former slaveowners will be able to sit down together at the
table of brotherhood.
I have a dream that one day, even the state of Mississippi, a state sweltering
with the heat of injustice, sweltering with the heat of oppression, will be transformed into an oasis of freedom and justice.
I have a dream my four little children will one day live in a nation where
they will not be judged by the color of their skin, but by the content of their
character. I have a dream today!
I have a dream that one day, down in Alabama, with its vicious racists, with
its governor having his lips dripping with the words of interposition and nullification, that one day, right there in Alabama, little black boys and little black
girls will be able to join hands with little white boys and little white girls as
sisters and brothers. I have a dream today!
I have a dream that one day every valley shall be exalted, every hill and
mountain shall be made low, the rough places shall be made plain, and the
crooked places shall be made straight and the glory of the Lord will be revealed
and all flesh shall see it together.
This is our hope. This is the faith with which I return to the South. With this
faith we will be able to transform the jangling discords of our nation into
a beautiful symphony of brotherhood. With this faith we will be able to work
together, to pray together, to struggle together, to go to jail together, to stand
up for freedom together, knowing that we will be free one day.
This will be the day when all Gods children will be able to sing with new
meaning, My country tis of thee, sweet land of liberty, of thee I sing. Land
where my fathers died, land of the pilgrims pride, from every mountainside,
let freedom ring.
And if America is to be a great nation this must become true.
So let freedom ring from the prodigious hilltops of New Hampshire.
Let freedom ring from the mighty mountains of New York.
Let freedom ring from the heightening Alleghenies of Pennsylvania.
Let freedom ring from the snow-capped Rockies of Colorado.
Let freedom ring from the curvaceous slopes of California.
But not only that.
Let freedom ring from Stone Mountain of Georgia.
Let freedom ring from Lookout Mountain of Tennessee.
Let freedom ring from every hill and molehill of Mississippi, from every
mountainside, let freedom ring.
And when we let freedom ring, when we let it ring from every village and
hamlet, from every state and city, we will be able to speed up that day when all
of Gods childrenblack men and white men, Jews and Gentiles, Catholics and
Protestantswill be able to join hands and to sing in the words of the old Negro
spiritual, Free at last, free at last; thank God Almighty, we are free at last.
ReprintedbyarrangementwithTheHeirsofEstateofMartinLutherKing,Jr.,c/oWritersHouseasagent
fortheproprietorNewYork,NY.Copyright1963Dr.MartinLutherKing,Jr.,copyrightrenewed1991
CorettaScottKing.

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Leadership
2. Creating a

vision and

strategy for the organization.Thevisionandstrategy


mustbe leader-initiated, shared and supported by followers, comprehensive and
detailed,andaboveall,worthdoing.Theleadermustcreateavisionthatis uplifting
and inspiring to others.
3. Trusting and supporting others.Theleadermusttreatpeoplewithrespectand
dignity,expectingthebestineffortandpersonalresponsibility,andshowingsincere
appreciationforworkperformed.Theleadercombinesindividualincentivewith
groupsuccessasanimportantempowermentprinciple.13
KeyfindingsoftheForumstudyaresummarizedasfollows:
Leadership is important from the boardroom to the shop floor.Inasense,the
leadershipchainisasstrongasitsweakestlink.Withouteffectiveleadershipat
everylevelofresponsibility,frontlineemployeesand,ultimately,customersare
boundtosuffer.
Positions and titles have little or no relationship to leadership performance.People
areoftenskepticalofauthorityfigures.Newleadershavetoearnthetrustand
respectofsubordinates;otherwise,peoplewillresisttheireffortstolead.Indeed,
workerswithstrongleadershipskillscaninspiretheirpeersaswellasany
chiefexecutivecould.
Without leadership, organizations falter in times of change.Thissituationis
analogoustothatofacarwithoutanengineorashipwithoutarudder.The
organizationwillbedormant,oraterriblecrashwilloccurasthegroupgoesin
thewrongdirection.
Organizational leadership involves interdependence more than individualism.The
geniusstrokeoftheindependentcontributorisimportant;butmoreimportantfor
organizationalleadershiparerelationshipskills,suchasdemonstratingconcernfor
membersoftheworkgroup,recognizingotherpeoplescontributions,andbuilding
enthusiasmaboutprojectsandassignments.
Leaders inspire others to take on the tasks of leadership.Givingothersthepower
andencouragementtomakedecisionsfreestheleaderfromtheroleofcontroller,
liberatingcriticaltimeandenergyforchartingandshapingtheoverallfutureof
theorganization.
Leadership is contextual.Effectiveleadershiprequiresanunderstandingofthe
forcesandeventsthathaveshapedanindustry,acompany,oraworkgroup;an
assessmentoforganizationalstrengths,weaknesses,opportunities,andthreats;and
thedevelopmentofaplantomeetcurrentandfuturechallenges.Understanding,
assessment,andplansarespecifictotheorganizationanditsenvironment.14

Leadership Effectiveness
Thefollowingquestionnaire(Exercise41)canbeusedtoevaluateyourleadership
effectiveness(ortheeffectivenessofaleaderyouknow).

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Leadership
Assessment15

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The following 20 practices cluster into four distinct areas that correlate positively with
leadership effectiveness. Using a scale from 1 to 10 (1 is low; 10 is high), evaluate yourself
(or a leader you know) on each practice in the following four areas.

Getting the Facts


The effective leader gains insight into the realities of the world and into him- or herself.
This process includes getting the facts and interpreting conditions affecting the group.
Rate each item separately (from 1 to 10).
1. Determining the facts by seeking information from as many sources as possible
library, field, lab, and so on.
2. Learning the challenges facing the group, including internal strengths and weaknesses,
as well as external opportunities and threats for meeting these challenges.
3. Knowing the capabilities and motivations of the individuals in the group.
4. Analyzing how well the members of the group work together.
5. Knowing the leaders own capabilities and motivations.
Add your ratings and divide by 5 for an overall score on getting the facts. Circle that score

on the scale below.


1

10

Creating a Vision
The effective leader develops a vision and a strategy to give meaning to the groups work,
thus providing purpose and clarity of direction. Rate each item separately (from 1 to 10).
1. Standing up for what is important, including basic principles or core values.
2. Involving the right people in developing the groups vision and strategy.
3. Creating a clear and positive picture of the future of the group.
4. Developing a strategy for the success of the group, including clarity of individual and
group assignments.
5. Adjusting plans and actions as necessary based on changing conditions.
Add your ratings and divide by 5 for an overall score on creating a vision. Circle that score
on the scale below.
1

10

Motivating People
The effective leader is a motivator, possessing the ability to mobilize individuals with
different ideas, skills, and values to achieve a common mission. Rate each item separately
(from 1 to 10).
1. Appealing to peoples hearts and minds to accomplish a worthy endeavor.
2. Communicating clearly the high standards and performance results expected from
others.
3. Demonstrating concern for members of the group.
4. Showing confidence in the abilities of others.
5. Letting people know how they are progressing toward the groups goals, including
giving recognition when milestones are reached.
Add your ratings and divide by 5 for an overall score on motivating people. Circle that
score on the scale below.
1

10

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Empowering Others
The effective leader has the ability to increase effectiveness by sharing power, thus igniting
the energy and liberating the talent of the group. Rate each item separately (from 1 to 10).
1. Recognizing the contributions of others, for example, through performance awards,
letters of commendation, and personal appreciation.
2. Promoting the development of peoples abilities, by providing training and challenging
assignments.
3. Enabling others to feel and act like leaders.
4. Stimulating others thinking and creativity by soliciting suggestions and ideas.
5. Building enthusiasm about projects and assignments, especially through personal
involvement.
Add your ratings and divide by 5 for an overall score on empowering others. Circle that
score on the scale below.
1

10

Scoring and Interpretation:


Add the overall scores for all four areas to determine your leadership effectiveness.
3740
Total Score

2836

Evaluation

1727

Leadership

Excellent; your leadership effectiveness is outstanding.

816

Very good; your effectiveness as a leader is high.

47

Average; you are neither high nor low in your overall leadership
effectiveness.
Below average; your effectiveness as a leader is low.
Failing; much work is needed to improve.

A useful exercise is for the leader to compare his or her self-evaluation on the leadership
assessment with the evaluations of constituents or colleagues. Points of agreement and
disagreement can be explored, and actions can be taken to improve as needed.

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The Concept of Visioning


Theimportanceof visionisanoldidea,firststatedintheBible:Wherethereisno
vision,thepeopleperish(Proverbs29:18,KingJamesVersion).
HenryDavidThoreaudescribestheimportanceofhavingavisionandstrivingtoattain
it:Ifoneadvancesconfidentlyinthedirectionofhisdreams,andendeavorstolivethe
lifewhichhehasimagined,hewillmeetwithasuccessunexpectedincommonhours.16
TheconceptofvisioningasitisusedinorganizationstodayiscreditedtoRonald
Lippitt,who,asearlyas1949,beganreferringtoimagesofpotentialratherthanto
problemsasstartingpointsforchange.17ManagementauthorStephenCoveyiden
tifiescertainprocess,content,andapplicationprinciplesthathavebeenfoundtobe
effectiveincreatingavision.

Visioning Process
Principles

1. Initiate and provide constant vigilance by leaders.Itistheproperroleofleadership


tobegintheprocess,todiscussandarticulatethebasisfordevelopingavision,andtostart
draftingadocument.Thiseffortbeginsthetopdownportionofthevisioningprocess.
2. Be challenging, yet realistic.Setthemarkhigh,butstayintouchwithreality.
Avisionshouldstretchtheabilitiesoftheorganizationbutnotdestroyitsmembers.
3. Seek significant early involvement by other members of the organization.This
aspectincludesdiscussing,writing,andrewritingthevision.Inthisjointeffort
phase,seniorleaders,ineffect,say,Wevebegunbutweneedyourinput.Your
involvementisessential.
4. Encourage widespread review and comment.Includeasmanypeopleaspossi
ble.Thisbottomupperiodofreviewinvitescriticalanalysis.Here,leadersare
saying,Weveworkedhardonthisandlikeitbutwhatdoyouthink?Giveusyour
ideas.Wewantthistobelongtoeveryone.Beopenandshowappreciationfor
suggestions.Incorporatemodificationsandthebestthinkingofallrespondents.
Involvementfosterscommitment.
5. Keep communications flowing.Dontassumeeveryoneknowswhatisgoingon.
Reportonprogressfordevelopingthevision.Giveacknowledgmentandapprecia
tion,andreportontheadoptionofelementsofthevisionagreementonpurpose,
broadgoals,corevalues,stakeholders,strategicinitiatives,andsoon.Providefeed
backasachievementsaremadetowardattaininggoals.
6. Allow time for the process to work.Peopleneedtimetothinkaboutandadjust
tochange,evenpositivechange.Thedevelopmentofavisionmaytakelongerthan
peopleexpect.Topleadersmayspendweeksontheoriginaldraft,monthsonthe
involvementandfeedbackprocess,andayearormoretofinishtheproduct.
7. Demonstrate commitment, follow-through, and concurrent action by leaders.
Leadersmustmakerealitymatchrhetoric.Anysincereefforttoputwordsintoaction
willlendcredibilityandwillreinforcetheactualattainmentofthevision.
8. Maintain harmony of subunits.Thecontentofthevisionstatementsforsub
units(suchasdivisions,plants,departments,andworkteams)shouldbeinharmony
withtheoverallvisionoftheorganization.18

Visioning Content
Principles

Keyelementsofanoverallvisionorstrategicplantypicallyincludethefollowing:
1. Central purpose or mission (reason for existence).Thisisaclear,compelling
statementofpurposethatprovidesfocusanddirection.Itistheorganizationsanswer
tothequestion,Whydoweexist?
2. Broad goals to achieve the mission (enduring intentions to act).Theseare
processorfunctionalaccomplishmentsthatmustbemettoachievethemission.

3. Core values to measure the rightness and

4. Stakeholders and what the attainment of the vision will mean to them (the
wrongness of behavior (hills worth
human element).Thesearethepeoplewhowillbeaffectedbywhattheorganization
dying on).Sometimescalledoperatingprinciples,corevalues doesordoesnotdo.
suchastruth,trust,and
5. Analysis of the organization and its environment, including internal Strengths
respectdefinethemoraltoneorcharacteroftheorganization.
and Weaknesses, as well as external Opportunities and Threats.Thisisa SWOT

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Visioning
Application
Principles

assessmentofcurrentconditionsthatmustbeboththoroughandobjective.Information
thatisunknownandfactsthataredeniedwillhinderandcanevendestroyan
organization.
6. Strategic initiatives (sometimes called critical success factors).Theseareshort
term,intermediate,andlongtermobjectivesnecessarytoachievethegoalsand
mission.Theymaybepersonorgroupspecific,ormayinvolveallmembersofthe
organization.Theyarestrategic,measurable,actionoriented,realistic,andtimely,
withdatesornumberstomeasureaccomplishment.
7. Tactical plans and specific assignments (projects and activities) to support
strategic initiatives, broad goals, and the attainment of the mission.Theseprojects
andactivitiesserveasguidesinperformanceplanningforunitsandmembersofthe
organization,andconstitutetheplanofwork.
Elements1through4provide general directionfortheorganization.Adding
elements5and6involves strategic planning.Thisgivesdefinitiontothevisionand
focusespeopleandresourcesonspecificobjectivesthatcanbemeasured.Element7,
tactical planning,referstoprojectsandactivitiesdesignedtoimplementstrategy,the
playsthatdrivethegametosuccess.Tacticalplanningresultsingroupandperson
specificassignmentsandconcreteactions.19
AnimportantgoalintheSWOTanalysisistoidentifycorecompetenciesintheform
ofspecial strengthstheorganizationhasordoesexceptionallywell.Thesecanbecome
sourcesofcompetitiveadvantage.Corecompetenciesmaybefoundinefficientmanu
facturingtechnologies,specialproductknowledgeorexpertise,oruniquedistribution
systems,amongmanyotherpossibilities.Anothergoalistoidentify opportunitiesinthe
environmentthattheorganizationcanactupon.Examplesincludenewtechnologies,
strategicalliances,andpossiblenewmarketsforproductsandservices.SeeFigure42.
1. Honor and live the vision as the organizations constitution.Thevaluesand
principlesofthevision,notthepersonalstyleofindividuals,shouldgovernorganiza
tionalcultureandbehavior.
2. Encourage new-member understanding and commitment through early introduction.Thosenotinvolvedinthedevelopmentprocesscanidentifywiththevision

Internal Assessment of the Organization

Figure 42
SWOT Analysis of
Organizational Strengths
and Weaknesses and
Environmental
Opportunities and Threats20

What are our strengths?


Manufacturing efficiency?
Experienced workforce?

Market share?
Financial strength?
Product or service reputation?
__________________ ?

What are our weaknesses?


Outdated plant and equipment?
Inadequate research and

development?
Obsolete technologies?
Ineffective management?
Lack of communication or
teamwork?
__________________ ?

SWOT Analysis
What are our threats?
New competitors?
What are our opportunities?
Shortage of resources?
Strong economy?
New regulations?
Weak market rivals?
Substitute products?
Emerging technologies?
New technology?
Possible new markets?
__________________ ?
Strategic alliances?
__________________ ?

External Assessment
of the Environment

Leadership

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fromthefirstassociation:Thisiswhatweareallabout;ifyoucanembracethis
missionandthesevaluesasyourown,thenwemayjointogether.Thevisionshould
bethecenterpieceoftheorientationprogramforallnewmembers.
3. Make it constantly visible.Expressconstancyofpurposethroughawritten
statement.Thevisionshouldbepublicizedtocustomers,employees,suppliers,
ownerseveryone.
4. Create integrity through alignment and congruency.Usethevisionasaleader
shiptoolanddecisionmakingguide;asacheckpointtotestalignmentofstrategy,
structures,systems,andmemberbehavior;andasameanstotrackprogress.
5. Reinforce employee behavior that supports the vision.Thisencouragessimilar
behaviorthathelpsthevisionbeachieved.
6. Review the vision periodically, revising as appropriate to reflect changing
conditions.EventheU.S.Constitutionhasbeenamendedoverthelongterm.View
thevisionasaprogramwithpeopleastheprogrammers.21
Theprocessofcreatingavisionmustbetailoredtoeachorganizationtobemost
effective.Theprocess,content,andapplicationprinciplesareguidelinestoachieve
therequiredobjectiveagreementondirectionandcommitmenttosucceed.

The Importance of Alignment and Prioritization


Visionisimportantandexecutioniscritical.Bothareessentialfororganizational
success.Fromvisiontoexecution,thestoriesofgreatorganizations(whentheyare
great)arestoriesofalignment.SamWaltonalignedeveryresourceofWalmartto
support the box(hisstores).RayKrocalignedeveryprocessatMcDonaldstodeliver
quality, service, cleanliness, and value.WaltDisneyalignedeverypracticeofhis
companytobring wholesome entertainmenttochildrenandtheirfamilies.Fred
SmithalignedeverystructureandsystemofFedExto deliver the package on time.
Thesegreatleadersknewtheattainmentoftheirvisionwouldrequireintegrity
throughalignmentandcongruency.22Practicallyspeaking,alignmentmeansmaking
sureorganizationalstructureandemployeebehaviorsupportthepurposeandvalues
oftheorganization.RayKrocwasfamousforsaying,Ifwevegottimetolean,
wevegottimetoclean,thusemphasizingacoreMcDonaldsvalue.
Thefollowingstoryshowshowimportantitistosetpriorities:
WhenhewaspresidentofBethlehemSteel,CharlesSchwabcalledIvyLee,acon
sultant,andsaid,Showmeawaytogetmorethingsdonewithmytime,andIllpay
youanyfeewithinreason.
Fine,Leereplied.Illgiveyousomethingintwentyminutesthatwillstepup
youroutputatleastfiftypercent.
Withthat,LeehandedSchwabablankpieceofpaper,andsaid:Writedownthe
sixmostimportanttasksthatyouhavetodotomorrow,andnumbertheminorderof
theirimportance.Thenputthispaperinyourpocket,andthefirstthingtomorrow
morninglookatitemoneandstartworkingonituntilyoufinishit.Thendoitem
two,andsoon.Dothisuntilquittingtime,anddontbeconcernedifyouhavefin
ishedonlyoneortwoitems.Youllbeworkingonthemostimportantonesfirstany
way.Ifyoucantfinishthemallbythismethod,youcouldnthavebyanyother
methodeither;andwithoutsomesystem,youdprobablynotevenhavedecided
whichwasthemostimportant.
ThenLeesaid:Trythissystemeveryworkingday.Afteryouveconvincedyour
selfofthevalueofthesystem,haveyouremployeestryit.Tryitaslongasyouwish,
andthensendmeacheckforwhatyouthinkitisworth.
Severalweekslater,SchwabsentLeeacheckfor$25,000withanoteproclaiming
theadvicetobethemostprofitablehehadeverfollowed.Thisconcepthelped
CharlesSchwabearn$100millionandturnBethlehemSteelintothebiggestinde
pendentsteelproducerintheworld.
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YoumaythinkCharlesSchwabwasfoolishtopay$25,000forsuchasimpleidea.
However,Schwabthoughtofthatconsultingfeeasoneofhisbestinvestments.
Sure,itwasasimpleidea,Schwabsaid.Butwhatideasarenotbasicallysimple?
Forthefirsttime,myentireteamandIaregettingfirstthingsdonefirst.23
Useatodolisttoaccomplishorganizationalgoals.Writedownwhatyouwantto
accomplishinorderofimportance.Thesmallamountoftimeyouinvestindoingthis
willrepayyoumanytimesover.Apointtoremember:Makesureyourtodolistis
readilyvisible;itshouldbewhereyouareintheofficeorontheroad.

Why Create a Vision?


PeterDruckerexplainstheimportanceofhavingavision:
Becausethemodernorganizationiscomposedofspecialists,eachwithhisorherownnarrow
areaofexpertise,itspurposemustbecrystalclear.Theorganizationmustbesingleminded,or
itsmemberswillbecomeconfused.Theywillfollowtheirownspecialtyratherthanapplyitto
thecommontask.Theywilleachdefineresultsintermsoftheirownspecialtyandimposeits
valuesontheorganization.Onlyafocusedandsharedvisionwillholdanorganizationtogether
andenableittoproduce.Withoutagreementonpurposeandvalues,theorganizationwillsoon
losecredibilityand,withit,itsabilitytoattracttheverypeopleitneedstoperform. 24

ManagementauthorsJamesCollinsandJerryPorrasreportonthebusiness
benefitsofhavingavision.TheyaskedasampleofCEOsfromFortune500andINC
100companiestoidentifyvisionaryorganizations.Forthe20companiesmostfre
quentlyselected,theyinvestedonedollarinstockin1926orwheneverthefirm
wasfirstlisted.Theyfoundthat,asagroup,thesevisionarycompaniesperformed
55timesbetterthanthegeneralmarket.Theyalsocomparedvisionarycompanies
withnonvisionarycounterpartscompaniesthatstartedatthesametimesuchas
MotorolaandZenith,andDisneyandColumbia.Again,visiondrivencompanies
provedmoresuccessful,performing8timesbetterthantheircompetitors.25
Occupyingcenterstageinexplainingtheimportanceofvisionisauthorandeducator
JoelBarker.BarkersideasaredrawnprimarilyfromthreeindividualsFrederick
Polak,BenjaminSinger,andViktorFrankl.26
HistorianFrederickPolakaskedthisquestion:Isanationspositiveimageofits
futuretheconsequenceofitssuccess,orisanationssuccesstheconsequenceofits
positiveimageofthefuture?Heconcludedthatthefatesofnationsandcivilizations
havedependedprimarilyontheirvisionsforthefuture.Hecitesexamplesinhistory
ofancientGreece,Rome,Spain,England,andAmericatosupportthisthought.Polak
makesthreemainpoints:(1)Significantvisionprecedessignificantsuccess;(2)a
compellingimageofthefutureissharedbyleaderswiththeirfollowers,andtogether
theystrivetomakethisvisionareality;and(3)anationwithvisionisenabled,anda
nationwithoutvisionisatrisk.27
PsychologistBenjaminSingershowedhowchildrenslivesaresimilarlyshaped
bypositiveselfconceptsandexpectationsforthefuture.Childrenwithoutvision
becomepowerless,feelingnocontrolovertheirownfutures.Childrenwithvisionare
focusedandenergized,andthesearestrongandpositiveagentsinaselffulfilling
prophecy.Adultsshouldalwaystakeseriouslyachildsdreamsofwhatheorshe
wantstobe.Theinterestandsupportshowncommunicatesthemessagethatthechild
isworthyandhisorherfutureisimportant.28Considerthepowerofvisionforone
child,somehowconveyedbyherfather:
Iwasfourteenyearsoldthenightmydaddydied.Hehadholesinhisshoesbuttwochildren
outofcollege,oneincollege,anotherindivinityschool,andavisionhewasabletoconveyto
meashelaydyinginanambulancethatI,ayoungblackgirl,couldbeanddoanything;that
raceandgenderareshadows;andthatcharacter,selfdiscipline,determination,attitudeand
servicearethesubstanceoflife.29

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Barkerbelievesthatwhatistruefornationsandwhatistrueforchildrenisespe
ciallytruefororganizations,becauseorganizationshavetheidealsizeandcomplex
itytoputvisionspowerintopractice.
ThethirdindividualwhoinfluencedBarkerwasViktorFrankl,authorof Mans
Search for Meaning,basedonhisexperiencesintheNazideathcampsofWorld
WarII.Franklbelievedthateveryoneneedsapurposeormeaninginlife,some
thingimportantyettobedone.Oftenthiscanbeattainedintheexperienceand
achievementsofoneswork.Franklalsobelievedthateverythingwedogoesdown
inhistoryand,inthissense,isirretrievable.As The Rubiyt of Omar Khayym
states:30TheMovingFingerwrites;andhavingwrit,/Moveson:NorallyourPiety
norWit/ShalllureitbacktocancelHalfaLine,/NorallyourTearswashouta
Wordofit.
InFranklsview,meaningthattranscendsoneselfandextendstopeopleandideals
beyondtheindividualismeaningonitshighestandmosthumanplane.Justasan
airplaneismostlikeanairplanewhenitrisesfromtherunwayandflies,soarewe
mosthumanwhenweseekmeaninginourlives,andcommittoapurposeormission
thattranscendstheself.31

Requirements for an Effective Vision

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Therequirementsforaneffectivevisionareasfollows:32
First, a vision must be developed by leaders, those individuals with
strength
and influence to establish direction and mobilize the organization.
Leadershipis
dreamingadreamandthenmakingitcometrue.Leaderscreateclearandworthy
imagesthatmotivatetheorganization,andthencreateaclimatesothatideasare
transformedintodeeds.Leadershipiscommitmenttopurposealongwithpersistence
toseeitthrough.Theleadersvisionshouldappealtoacommongoodandbebe
lievedpassionately.Ofsixcharacteristicscommontopeakperformers,management
authorCharlesGarfielddescribesasthemostimportantcommitmenttoamission
thatmotivates.33
Second, a vision must be communicated to followers and must be
supported
by them.Leadershavetoletotherssee,hear,taste,touch,andfeeltheirvision.A
pictureinthemindofthegeneralismerelythatuntilitisunderstoodintheminds
andadoptedintheheartsofthesoldiers.Onlythenwillhandsandfeetbeactivated
andthevisionbeimplementedinfact.Itmaytakeleadershiptoarticulateandgive
legitimacytoavision,butittakesthestrengthofanempoweredpeopletogetthings
done.Inthisregard,thevisionofleadersmustbeinharmonywiththenatureand
needsofthepeople.AuthorsJamesKouzesandBarryPosnerwrite,Constituents
wantvisionsofthefuturethatreflecttheirownaspirations.Theywanttohearhow
theirdreamswillcometrueandtheirhopesfulfilled.34
Third, a vision must be comprehensive and detailed, so that every
member of
the organization can understand his or her part in the whole.Rolesand
responsibili
tiesmustbewellunderstoodifthevisionistobefulfilled.Eachpersonmustknow
whatisexpectedandtherewardsthatwillaccruewhenthevisionisachieved.Put
yourselfintheshoesofthesoldier,who,uponhearingthevisionandseeingthe
battleplanofthegeneral,canthelpwondering,Yes,butwhataboutme?Aclearline
ofsightbetweenpersonaleffortandpersonalrewardisamajordeterminantofthe
ultimatefulfillmentofthevision.35
Fourth, a vision must be uplifting and inspiring.Itmustbeworththeeffort;it
mustbebigenough.RelatingtoFranklsmessagethateverypersonneedsmeaningin
lifeandsomethingimportantyettobedone,theorganizationsvisionmustbe
meaningfulandimportantforthememberstodo.36PsychologistAbrahamMaslow
onceremarked,Ifyoupurposefullychoosetobelessthanyoucanbe,thenyouare
surelydoomedtobeunhappy.37Thesameistruefororganizations;themembersof
anorganizationmustseektoachievetheorganizationsfullestpotential.

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Social Motives to Lead


Someonemustprovidethesparkforaction;someonemustprovideenergyand
purposeforleadershiptooccur.Therearethreebasicmotivesforleadership:
(1) powerthedesiretohaveinfluence,giveorders,andhavethemcarriedout;
(2) achievementtheneedtocreateandbuildsomethingofvalue;and(3) affiliation
aheartfeltinterestinhelpingothers.
Tounderstandtheroleofsocialmotivesatwork,imaginethreesupervisorsgiven
thetaskofbuildingahouse:(1)Thepowerorientedleaderfocusesonhowtoorganize
theproductionofthehouse.Shefeelscomfortablebeinginchargeandenjoysbeing
recognizedasthepowerfulfigurewhocausesthehousetobeproduced.(2)The
achievementorientedleaderobtainssatisfactionfromcreatingthehouse.Buildinga
soundstructureandcompletingthetaskontimeisrewarding.(3)Theaffiliation
leaderenjoysworkingwithhiscrew.Heisconcernedwithhumanrelationsand
strivestocreateaspiritofteamwork.Also,heispleasedtothinkofhowmuchthe
homewillmeantothefamilywholivesinit.
Whywouldyouwanttobealeader?Whatwouldbeyourpurposeforassuming
thechallengeofleadership?Doyourjobandpersonallifeallowtheexpressionof
yoursocialmotives?ThequestionnaireinExercise42willhelpyouanswerthese
questions.Rememberthreeimportantpointsaboutscoresonthequestionnaire:
Althoughitisnormalforeveryonetohavesomeofeachsocialmotive,aperson
usuallywillpreferoneortwoovertheothers.Preferencedependsonthevalues
(power,achievement,oraffiliation)promotedbyonescultureandonpersonaltraits
andexperiences.
Peopleexertleadershiptosatisfyoneoracombinationofthesethreemotives.
Allleadershipcanbesaidtobemotivatedbypower,achievement,oraffiliation.
Aseitherleaderorfollower,apersonwillbemosthappyandproductiveina
situationthatallowstheexpressionofpersonalsocialmotives.Ifanindividuals
workprecludesthis,moraleandproductivitycanbeexpectedtogodown.

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Exercise 42
Social Motives in
the Work Setting38

This questionnaire consists of 12 statements. There are no right or wrong answers. For
each statement, indicate which of the three alternativesa., b., or c.is most preferred
by or most important to you by placing a 3 next to that choice. Place a 2 by your second
choice and a 1 by the choice that is least preferred by or least important to you. Do not
debate too long over any one statement. Your first reaction is desired.
1. In a work situation, I want to
a. be in charge.
b. give assistance to my co-workers.
c. come up with new ideas.
2. If I have ultimate responsibility for a project, I
a. depend on my own ability to accomplish tasks.
b. delegate work and oversee progress.
c. use teamwork to accomplish tasks.
3. My co-workers see me as
a. a competent person.
b. a considerate person.
c. a forceful person.
4. When I disagree with a decision, I
a. voice my disapproval immediately.
b. take into consideration other peoples feelings and circumstances.
c. suggest alternatives based on logic.

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5. In a group discussion,

b. stick to my guns.

a. I encourage others to express themselves.

c. use reasoning to seek the best solution.

b. I will change my view only if a better one is

9. As a leader, I would

suggested.

a. permit flexibility, as long as the job gets done.

c. my ideas generally prevail.

b. recognize that workers have good days and bad days.

6. In a labormanagement dispute, I would

c. insist on compliance with my rules and directions.

a. keep human relations smooth.

10. As a member of the board of directors dealing with a problem, I would most likely

b. maintain a position of strength.

a. try to get my ideas adopted.

c. work for a compromise.

b. solicit ideas from all members.

7. I am most satisfied with my job when I

c. review the facts.

a. see progress being made.

11. When hiring a new employee, I would

b. have a strong voice in determining policy.

a. expect future loyalty to me.

c. work with others to achieve results.

b. hire the person who is technically best qualified.

8. When disagreements arise, I usually

c. take into consideration future relations with co-workers.

a. yield a point to avoid conflict.

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12. I am most happy in my work if I
a. am the decision maker.
b. work with good friends and colleagues.
c. make significant achievements.

Scoring:
Step 1:
Scoring is done across the page, from left to right. For each question, put your a., b., and
c. scores in the appropriate columns. Note that a., b., and c. scores do not remain in the
same columns. Continue until all scores are filled in; then total the columns. (The grand
total for the three columns should be 72.)
Column 2

Column 3

1. a.

1. c.

1. b.

2. b.

2. a.

2. c.

3. c.

3. a.

3. b.

4. a.

4. c.

4. b.

5. c.

5. b.

5. a.

6. b.

6. c.

6. a.

7. b.

7. a.

7. c.

8. b.

8. c.

8. a.

9. c.

9. a.

9. b.

10. a.

10. c.

10. b.

11. a.

11. b.

11. c.

12. a.

12. c.

12. b.

Total

Total

Total

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Column 1

Step 2:
Mark the total scores for each column in the appropriate places in Figure 43. Shade in
the areas as shown in the example, Figure 44.

Interpretation:
A high score in column 1 indicates social motives that are power-oriented. A power-oriented
person strives for leadership because of the authority it brings. This persons goal is to
influence people and events. Historical examples are Winston Churchill and Elizabeth I, who
are recognized as outstanding leaders because of their mastery of power politics. Strength,
assertiveness, and dominance are characteristics of power-oriented leaders. Positions involving the expression of power are manager, supervisor, and political officeholder.
A high score in column 2 indicates achievement-oriented social motives. This type of
leader wants to discover, create, and build. Marie Curie and Tim Berners-Lee are good
examples of achievement-oriented people, each succeeding in making valuable contributions to humankind in science and technology. Achievement-oriented leaders are
described as successful, competent, skillful, and productive. Achievement-oriented people
are often found in occupations such as science, business, and the arts.

A high score in column 3 indicates a strong concern for human welfare. Mother Teresa
and Mahatma Gandhi would be such leaders. These individuals care about other people
and desire to serve humanity. This type of leader is likely to have traits similar to those of
Florence Nightingale and Albert Schweitzer in the field of medicine. Common characteristics of these leaders are helpfulness, unselfishness, and consideration of the condition and
well-being of others. Occupations such as teaching and counseling allow the expression of
this social motive.

Leadership

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4 / The Importance of Vision and the Motive to
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Thebasicneedsthatmotivateleadersservetomotivatetheemployeesinacompany
aswell.Considerhowyouasaleadercanuseanemployeesprimaryneedasamoti
vatingforce:
1. The need for power.Theseemployeesgainsatisfactionfrominfluencingothers.
Theyliketoleadandpersuade,andaremotivatedbypositionsofpower.They
arecomfortablewithargumentationanddebate,andarenotreluctantinadvanc
ingtheirviews.Givethemtheopportunitytomakedecisionsanddirectprojects.
2. The need for achievement.Theseemployeeswantthesatisfactionofaccom
plishingprojectssuccessfully.Theywanttoexercisetheirtalentstoattainsuc
cess.Theydesireunambiguousfeedbackonperformanceandrecognitionfor
theiraccomplishments.Theyareselfmotivatedifthejobischallengingenough,
soprovidethemwithmeaningfulworkassignmentsandtheywillconsistently
produce.
3. The need for affiliation.Theseemployeesgainsatisfactionfrominteractingwith
others.Theyenjoypeopleandfindthesocialaspectsoftheworkplacereward
ing.Theyactivelysupportothersandtrytosmoothoutworkplaceconflicts.
Motivatethembygivingthemopportunitiestointeractwithothers:team
projects,groupmeetings,andsoon.39

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Column 1

Figure 43
Your Social Motives

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35

34
33
32
31
30
29
28
27
26
25
24
23
22
21
20
19
18
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Column 2

Column 3
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1

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19
18

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14
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12
11
10
9
8
7
6
5
4
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1

Leadership

Figure 44
Example

Power

Achievement

Affiliation

Column 1

Column 2

Column 3

36
35

36
35

34
33
32
31
30
29
28
27
26
25
24
23
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1

34
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30
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27
26
25
24
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Organizational Climate
CHAPTER

5
ostorganizationsresemblevillagesmorethanthefinelyhoned,clearly
focusedstructurestheytalkaboutintheirannualreportsvillagesthatare

89

mergingwithothervillages;villagesthathavebecomecrosscultural;
villagesthathavericherandpoorerpartsoftown.Organizationsarelikevillagesin
thattheyhaveacertainpaceandstyleofworkingandunspokentaboos.Organiza
tionshavesocialstructures,peckingorders,andpatternsofbehavior,includinghabits
governingdress,language,food,andthelike.Establishednormsofbehaviorgovern
useofresources.Artifactsoftheorganizationalvillageareitsphysicalstructures,
rituals,stories,andlegends,andthesearebasedonsharedanddeeplyheldassump
tions,beliefs,andvalues.Animportantelementinthelifeoftheorganizational
villageisitspsychologicalclimate.40
Evenifanorganizationhasavisionthatisleaderinitiated,membersupported,
comprehensiveanddetailed,andworthdoing,itmustbesustainedbyasupportive
organizationalclimate.Importantdimensionsincludethe reward system, organizational clarity, standards of performance, warmth and support,and leadership
practices.Anevaluationoftheseandotherdimensionsoforganizationalclimatecan
beusedtodeterminewhetherthatorganizationisexploitive,impoverished,
supportive,orenlightened.Keepinmindthefollowingpoints:

Leadership

Justassicksocietiescanmakepeoplesick,socananunhealthyworkclimate
makeemployeessick.Incontrast,apsychologicallyhealthyworkenvironment
bringsoutthebestinemployeeandorganizationalwellbeing.41
Anorganizationisonlyasstrongasitsweakestlink.Anindividualmayhavean
excellentnervoussystem,soundmuscularsystem,andgoodrespiratorysystem,
butifthecirculationsystemispoor,ultimately,thewholeorganismwillfail.
Similarly,anorganizationmaybestronginperformancestandards,organizational
clarity,andwarmthandsupport,butiftherewardsystemispoor,theentire
organizationwillultimatelysuffer.
Organizationalclimateisimportantbecauseitinfluencesboththequalityofwork
andthequalityofworklifeofmembers.Dependingonthenatureofthegroupor
organization,evenlifeanddeathconsequencescanresult.

Consideranexploitiveorimpoverishedhospital:Peoplewhocanfindemployment
elsewherewillprobablyleave,andthosemaybesomeofthebestpersonnel.People
whoremainmayspendmoretimecomplainingaboutworkingconditionsand
managementpracticesthanactuallydoingtheirwork,withtheresultbeing
unattendedpatients,poorhousekeeping,andmedicalandclericalerrors.Exploitive
andimpoverishedhospitalsexperienceunnecessarymistakesduetohumanfactors
untrained,unqualified,anduncommittedworkers.

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Nowconsideranenlightenedorsupportivehospital,wherestandardsof
performancearehigh,leadershipiseffective,goalsandresponsibilitiesareclear,
warmthandsupportprevail,andtherewardsystemreinforcesgoodwork.Givena
choice,wherewouldyouwanttobetreated,andwherewouldyouwanttowork?
Whichtypeoforganizationprovidesthebestqualityofhealthcareandthebestqual
ityofworklife?

Enlightenedandsupportiveorganizationsrepresentgoodinvestmentsbecausethey
attractexcellentpersonnel,whousuallyoutperformtheirdemoralizedcounterparts
inexploitiveandimpoverishedorganizations.
Organizationsarecomposedofinterdependentgroups.Thesuccessofthetotal
organizationdependsonconditionsineachofitssubgroups.Assuch,every
divisionandunitshoulddevelopanenlightenedorsupportiveclimate.

Youcanevaluatetheclimateofyourorganizationbycompletingthequestionnaire
inExercise51.

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For each dimension of organizational climate, circle the number on the scale that represents conditions in your organization (1 is low; 20 is high).

Exercise 51
Organizational
Climate
Questionnaire42

1. Reward systemthe degree to which people are recognized and rewarded for good
work, rather than being ignored, criticized, or punished when something goes wrong.
1 23 4 5 6 7
Rewards are not in line with
effort and performance.

10

11

12

13

14

15 16 17 18 19 20
Effort and performance are
recognized and rewarded positively.

2. Organizational claritythe feeling that things are well organized and that goals and
responsibilities are clearly defined, rather than being disorderly, confused, or chaotic.
1 23 4 5 6 7 8
The organization is disorderly,
confused, and chaotic.

10

11

12 13 14 15 16 17 18 19 20
The organization is well organized, with
clearly defined goals and responsibilities.

3. Standards of performancethe emphasis placed on quality performance and


achievement of results, including the degree to which meaningful and challenging
goals are set at every level of the organization.
1 23 4 5 6 7 8
Performance standards are low.

10

11

12

13

14 15 16 17 18 19 20
Performance standards are high.

4. Warmth and supportthe feeling that friendliness is a valued norm and that people
trust, respect, and support one another; the feeling that good relationships prevail in
the day-to-day work of the organization.
1 23 4 5 6 7 8 9
There is little warmth and support
in the organization.

10

11

12

13

14

15 16 17 18 19 20
Warmth and support are
characteristic of the organization.

5. Leadershipthe extent to which people take leadership roles as the need arises and
are rewarded for successful leadership; the willingness of people to accept leadership
and direction from others who are qualified. The organization is not dominated by or
dependent on just one or two individuals.
1 2 3 4 5 6 7 8 9 10 11
Leadership is not provided, accepted, or
rewarded; the organization is dominated by
or dependent on one or two individuals.

12

13 14 15 16 17 18 19 20
Leadership is provided, accepted, and
rewarded based on expertise.

6. Communicationthe degree to which important information is sharedup, down,


and sideways. Communication channels are open and free-flowing between levels and
areas of the organization.
1 2 3 4 5 6 7 8 9 10
Information is incorrect or unavailable.

11

12

13 14 15 16 17 18 19 20
Information is accurate and available.

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7. Innovationthe extent to which new ideas are sought and used in all areas of the
organization. Creativity is encouraged at every level of responsibility.
1 23 4 5 6 7 8
The organization is closed
and unresponsive to new ideas.

10

11

12

13

14 15 16 17 18 19 20
The organization is innovative
and open to new ideas.

8. Feedback and controlsthe use of reporting, comparing, and correcting procedures,


such as performance evaluations and financial audits. Controls are used for tracking
progress and solving problems, as opposed to policing and punishment.
1 23 4 5 6 7 8
Controls are used for policing
and punishment.

10

11

12

13

14

15 16 17 18 19 20
Controls are used to provide
guidance and solve problems.

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9. Teamworkthe amount of understanding, cooperation, and support demonstrated


between different levels and groups in the organization.

2 / The Power of Vision

Leadership
1 23 4 5
Teamwork is low.

10

11

12

13

14

15

16

17 18 19 20
Teamwork is high.

10. Involvementthe extent to which responsibility for decision making is broadly


shared in the organization. People are involved in decisions that affect them.
1 23 4 5 6 7
There is little participation
in decision making.

10

11

12 13 14 15 16 17 18 19 20
Participation in decision making is high.

Scoring:
Total the scores for all the dimensions; then divide by 10. Circle that number on the scale
below.

Type of Organization
12345

Exploitive

7 8 9 10

11

Impoverished

12 13 14

15

16 17 18 19 20

Supportive

Enlightened

Interpretation:
Results of this questionnaire can be used to reinforce strengths and improve weaknesses.
High scores represent enlightened and supportive organizations. Low scores reflect
exploitive and impoverished organizations.

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5 / Organizational Climate

Leadersandfollowersmayhavedifferentviewsabouttheclimateofagroupor
organization.Peopleinupperlevelsofresponsibilityoftenevaluateconditionsmore
favorablythandopeopleinlowerlevels.SeetheexampleinFigure51.

Top Staff

First-Line
Supervisor
Evaluation of
Top Staff

First-Line
Supervisor
Self-

Employee
Evaluation of
First-Line
Supervisor

Self-Evaluation*

Behavior

Evaluation**

Behavior

Figure 51
Extent to Which Leaders
and Followers Agree on
Organizational Conditions43
Behavior
Always tells
subordinates in
advance about
changes that
will affect them
or their work

70%

27%
100%

40%
63%

22%
92%

47%

Nearly always
tells
subordinates

30%

36%

52%

25%

than not tells


subordinates

18%

2%

13%

Occasionally
tells
subordinates

15%

5%

28%

4%

1%

12%

More often

Seldom tells
subordinates

*Top staff rated themselves 37% higher than they were rated by subordinates.
**First-line supervisors rated themselves 45% higher than they were rated by subordinates.

Patterns of Leadership
Howdoorganizationsbecomewhattheyare?Whodecideswhetheranorganization
willbeenlightened,supportive,impoverished,orexploitive?Althoughmembersmay
haveconsiderableinfluence,organizationalclimateisdeterminedprimarilyby
leaders.Thoseinchargeestablishthecharacteranddefinenormsofbehaviors.
ManagementauthorRensisLikertidentifiesfourpatternsofleadershipthatcorre
spondtothefourtypesoforganizationalclimate.Hisconclusionsarebasedonstudiesof
thousandsofleadersinwidelydifferentkindsoforganizations,bothinsideandoutside
theUnitedStates.Adescriptionofeachofthefourpatternsofleadershipfollows.44
Exploitiveleadershipisautocraticandhierarchical,withvirtuallynoparticipationby
members.Leadersmakedecisions,andmembersareexpectedtocomplywithoutques
Pattern I Leadership tion.Leadersshowlittleconfidenceortrustinothers,andmembersdonotfeelfreeto
(Exploitive)
discussjobrelatedproblemswithleaders.Inafreesocialandeconomicorder,PatternI
organizationsrarelysurvivebecausepeopleavoidthemasmuchaspossible.Where
theydoexist,theyarecharacterizedbyalackofloyaltyandrecurrentfinancialcrises.

Pattern II
Leadership
(Impoverished)

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cratic.Powerremainsatthetop,butmembersaregivenoccasionalopportunities
forparticipationinthedecisionmakingprocess.PatternIIorganizationsfallintotwo

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Pattern III
Leadership
(Supportive)

Pattern IV
Leadership
(Enlightened)

categoriesthatdeterminetheirrelativesuccess.SuccessfulPatternIIorganizations
arebenevolentautocraciesinwhichleadershavegenuineconcernforthewelfareof
members.FailingPatternIIorganizationsareautocraciesthatdonotconsiderthe
interestsorideasofmembers.Someorganizationsarefoundedbyautocraticbut
benevolentleaders,whoachievegoodresults.Then,astimepassesandnewleaders
assumepower,theautocraticstyleofleadershipismaintained,butbenevolenceis
not,andtheorganizationfails.
Supportiveleadershipshowsagreatdealofinterestandconfidenceinmembers.
Powerresidesinleaders,butthereisgoodcommunicationandparticipationthrough
outtheorganization.Peopleunderstandthegoalsoftheorganization,andcommit
menttoachievethemiswidespread.Membersfeelfreetodiscussjobrelated
problemswithleaders.Thisleadershippatterninvolvesbroadmemberparticipation
andinvolvementindecisionmakingactivities.
Enlightenedleadershipdelegatespowertothelogicalfocusofinterestandconcern
foraproblem.Peopleatalllevelsoftheorganizationhaveahighdegreeoffreedom
toinitiate,coordinate,andexecuteplanstoaccomplishgoals.Communicationis
open,honest,anduncensored.Peoplearetreatedwithtrustratherthansuspicion.
Leadersaskforideasandtrytouseotherssuggestions.PatternIVleadershipresults
inhighsatisfactionandproductivity.Absenteeismandturnoverarelow,strikesare
nonexistent,andefficiencyishigh.
LikertdescribesthePatternIVorganizationasfollows:
APatternIVorganizationismadeupofinterlockingworkgroupswithahighdegreeof
grouployaltyamongthemembersandfavorableattitudesamongpeers,supervisors,and
subordinates.
Considerationforothersandskillinproblemsolvingandothergroupfunctionsarepresent.
Theseskillspermiteffectiveparticipationindecisionsoncommonproblems.Participationis
used,forexample,toestablishobjectivesthatareasatisfactoryintegrationoftheneedsofall
themembersoftheorganization.
MembersofthePatternIVorganizationarehighlymotivatedtoachievetheorganizations
goals.Highlevelsofreciprocalinfluenceoccur,andahighlevelofcoordinationisachievedin

theorganization.
1. View human resources as the organizations greatest asset.
Communicationisefficientandeffective.Thereisaflowfromone
2. Treat every individual with understanding, dignity, warmth, and support.
partoftheorganization
toanotherofalltherelevantinformationimportantforeachdecision 3. Tap the constructive power of groups through visioning and team building.
andaction.
Leadership
TheleadershipinthePatternIVorganizationhasdevelopedan 4. Set high performance goals at every level of the organization. 46
effectivesystemfor
Likertrecommendsthatallorganizationsadopttheenlightenedprinciplesof
interaction,problemsolving,andorganizationalachievement.This
leadershipistechnically
PatternIVleadership.HeestimatesthatU.S.organizations,asawhole,arebetween
competentandmaintainshighperformancegoals.45
PatternIIandPatternIII,andthatashifttoPatternIVwouldimproveemployee

Fourprinciplesshouldbefollowedtodevelopan
enlightened,PatternIV
organization:

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moraleandproductivityby20to40percent,ormore.47
ResearchsupportsLikertsideas.Studyafterstudyshowsthatwhenanorganiza
tionmovestoPatternIVleadership,performanceeffectivenessimproves,costs
decrease,andgainsoccurintheoverallsatisfactionandhealthofthemembersof

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theorganization.Inaddition,researchfindingsshowthatPatternIVleadershipis
applicabletoeverysizeandtypeoforganization,includingprivatebusinesses,
notforprofitorganizations,andgovernmentagencies.48
Howimportantareorganizationalclimateandenlightenedleadershippractices?
ManagementauthorJohnHoerrstates:Weareinaglobaleconomy.Tohaveworld
classqualityandcostsandtheabilitytoassimilatenewtechnology,anorganization
musthaveworldclassabilitytodevelophumancapabilities.Thiscantbeadragon
thesystem;ithastobealeadingvariable.49

The Power of Stories


Storytellinghasanalmostinnateappeal.Whenateacherinterruptsaclasswiththe
statement,Letmetellyouastory,attentionintheroomdoubles.Storiescanbe
usedinasimilarwaytodevelopandreinforceapositiveworkclimate.Theyserveas
prescriptionsofthewaythingsshould(orshouldnot)bedone.Theyhavethegreatest
impactonanorganizationwhentheydescriberealpeopleandareknownbyemploy
eesthroughouttheorganization.50
Morethanadecadeago,SouthwestAirlinesintroducedanadcampaignwiththe
phraseJustPlaneSmart.Unknowingly,theDallasbasedairlinehadinfringedon
thePlaneSmartsloganatStevensAviation,anaviationsalesandmaintenance
companyinGreenville,SouthCarolina.Ratherthanpayingbucketsofmoney
tolawyers,StevensschairmanKurtHerwaldandSouthwestCEOHerbKelleher
decidedtosettlethedisputewithanoldfashionedarmwrestlingmatchatarun
downwrestlingstadiuminDallas.AboisterouscrowdwatchedtheMalicein
DallaseventasSmokinHerbKelleherandKurtseyHerwaldbattledtheir
designates,andtheneachother.WhenKelleherlostthefinalroundtoHerwald,he
jested(whilebeingcarriedoffonastretcher)thathisdefeatwasduetoacoldand
thestrainofwalkingupaflightofstairs.StevensAviationlaterdecidedtolet
SouthwestAirlinescontinuetouseitsadcampaign,andbothcompaniesdonated
fundsfromtheeventtocharities.
MaliceinDallasisalegendarystorythatalmosteverySouthwestemployee
knowsbyheart.Itisatalethatcommunicatesoneoftheairlinescorevaluesthat
havingfunispartofdoingbusiness.51

Building Community in the Workplace


Theword corporationconjuresupimagesofauthority,bureaucracy,competition,
control,andpower.Theword communityevokesimagesofdemocracy,diversity,co
operation,inclusion,andcommonpurpose.Themodelunderwhichanorganization
choosestooperatecandetermineitssurvivalinacompetitiveandchangingworld.
Theideaofcommunityatworkisparticularlysatisfyingtothemakeupandchal
lengesoftodaysdiverseworkforce.52
Communityisexperiencedintwoways:asagroupofpeopleandasawayof
being.Thefirsttypeofcommunityisformedbybringingpeopletogetherinplace
andtime.Thesecondiscreatedwhenbarriersbetweenpeopleareletdown.Under

suchconditions,peoplebecomebonded,sensingthattheycanrelyonandtrusteach
other.Whenpeopleexperienceafeelingofcommunity,theirpotentialforachieve
mentbecomesenormous.53
ThomasCarlyle,theScottishphilosopher,thoughtthateachpersonwantedtobe
treatedasauniqueandvaluableindividual.Healsobelievedweeachhaveasimulta
neousneedtobelongtosomethinggreaterthanself,somethingmorethanonealone
candoorbe.54Formanypeople,feelingsofselfworthandtranscendencetosome
thinggreaterthanselfoccurintheexperienceofcommunity.

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Thebenefitsofinterrelationshipcanbefoundeverywhereinnature.Ifagardenerplaces
twoplantsclosetogether,therootscommingleandimprovethequalityofthesoil,thus
helpingbothplantsgrowbetterthaniftheywereseparated.Ifacarpenterjoinstwo
boardstogether,theywillholdmuchmoreweightthanthetotalheldbyeachalone.
Inthehumansphere,ourchallengeistoapplythecreativecooperationwelearn
fromnatureindealingwiththosearoundus.Theessenceofthisistovaluediffer
ences,buildoneachothersstrengths,transcendindividuallimitations,andachieve
thefullpotentialofcommunity.
WriterandeducatorJohnGardnerstates,Weareacommunitybuildingspecies.
Hegoesontodescribetheconditionsnecessarytoexperiencetruecommunity:55

Shared vision.Ahealthycommunityhasasenseofwhereitshouldgo,andwhatit
mightbecome.Apositiveandfuturefocusedroleimageprovidesdirectionand
motivationforitsmembers.
Wholeness incorporating diversity.Agroupislessofacommunityiffragmenta
tionordivisivenessexistsandiftheriftsaredeep,itisnocommunityatall.We
expectandvaluediversity,andthereisdissentinthebestofgroups.Buttrue
communityrequiresfacingandresolvingdifferences.
Shared culture.Successisenhancedwhenpeoplehaveasharedculturethatis,
sharednormsofbehaviorandcorevaluestoliveby.Ifacommunityislucky,it
hassharedhistoryandtraditionsaswell.Thisiswhydevelopingcommunities
mustformsymbolsofgroupidentityandgeneratestoriestopassoncorevalues,
customs,andcentralpurpose.
Internal communications.Membersofawellfunctioningcommunitycommuni
catefreelywithoneanother.Thereareregularoccasionswhenpeoplegatherand
shareinformation.Thereareopportunitiesandmeansforpeopletogettoknow
andunderstandwhatothersneedandwant.Communicationisuncensoredand
flowsinalldirectionswithinthecommunity.
Consideration and trust.Ahealthycommunitycaresaboutitsmembersandfos
tersanatmosphereoftrust.Peopledealwithoneanotherhumanely;theyrespect
eachotherandvaluetheintegrityofeachperson.
Maintenance and government.Afullyfunctioningcommunityhasprovisionfor
maintenanceandgovernance.Roles,responsibilities,anddecisionmakingprocesses
areconducivetoachievingtaskswhilemaintainingasupportivegroupclimate.
Participation and shared leadership.Thehealthycommunityencouragesthe
involvementofallindividualsinthepursuitofsharedgoals.Allmembershavethe
opportunitytoinfluenceeventsandoutcomes.Thegoodcommunityfindsa
productivebalancebetweenindividualinterestsandgroupresponsibilitiesas
communitytasksareaccomplished.
Development of younger members.Opportunitiesforgrowtharenumerousand
variedforallmembers.Maturemembersensurethatyoungermembersdevelop
knowledge,skills,andattitudesthatsupportcontinuationofthecommunitys
purposeandvalues.
Affirmation.Ahealthycommunityreaffirmsitselfcontinuously.Itcelebratesits
beginnings,rewardsitsachievements,andtakesprideinitschallenges.Inthis
way,communitymoraleandconfidencearedeveloped.
Links with outside groups.Thereisacertaintensionbetweenthecommunitys
needtodrawboundariestoaccomplishitstasksanditsneedtohavefruitful
allianceswithexternalgroupsandthelargercommunityofwhichitisapart.A
successfulcommunitymastersbothendsofthisspectrum.
In Productive Workplaces,MarvinWeisbordwritesthatwehungerforcommunity

andareagreatdealmoreproductivewhenwefindit.Ifwefeedthishungerinways
thatpreserveindividualdignity,opportunityforall,andmutualsupport,wewill
harnessenergyandproductivitybeyondimagining.56

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Theplaqueoutsidethetwofamilyhouseat367AddisonStreetinPaloAlto,California,

Community Building identifiesthedustyonecargarageoutbackasthebirthplaceofSiliconValley.But


and the Role of the thesite,whereDavePackardandBillHewlettfirstsetupshop,in1938,ismore
thanthat.Itsthebirthplaceofanewapproachtomanagement,aWestCoastalternative
Leader

tothetraditional,hierarchicalcorporation.Morethansevendecadeslater,themeth
odsofHewlettandPackardremainthedominantDNAfortechcompaniesanda
majorreasonforU.S.preeminenceintheinformationage.
ThepartnershipbeganwhenthepairmetasstudentsatStanfordUniversity.Packard,
anopinionatedstarathletefromthehardscrabbletownofPueblo,Colorado,hadacom
mandingpresencetomatchhis6foot5inchframe.Hewlett,whosetechnicalgeniuswas
obscuredfromteachersbyundiagnoseddyslexia,favoreddormroompranksandbad
puns.Whiledifferentintemperament,thetwosoondiscoveredasharedpassionfor
campingandfishingandforturningengineeringtheoryintobreakthroughproducts.
Theresultwasoneofthemostinfluentialcompaniesofthe20thcentury.
HewlettPackardCo.(theyflippedacointodecidewhosenamewouldgofirst)
crankedoutablizzardofelectronictoolsthatwerecrucialtothedevelopmentof
radar,computers,andotherdigitalwonders.Still,thepairsgreatestinnovationwas
managerial,nottechnical.Fromthefirstdaysinthegarage,theysetouttocreatea
companythatwouldattractlikemindedpeople.Theyshunnedtherigidhierarchyof
companiesbackEastinfavorofanegalitarian,decentralizedsystemthatcametobe
knownastheHPWay.Theessenceoftheidea,radicalatthetime,wasthatem
ployeesbrainpowerwasthecompanysmostimportantresource.
Tomaketheideaareality,theyoungentrepreneursinstitutedaslewofpioneering
practices.Startingin1941,theygrantedbigbonusestoallemployeeswhenthecompany
improveditsproductivity.Thatevolvedintooneofthefirstallcompanyprofitsharing
plans.WhenHPwentpublicin1957,thefoundersgavesharestoallemployees.Later,
theywereamongthefirsttooffertuitionassistance,flextime,andjobsharing.
EvenHPsofficeswereunusual.Toencouragethefreeflowofideas,employees
workedinopencubicles.Evensupplyclosetsweretobekeptopen.Once,Hewlett
sawedalockoffaclosetandleftanote:HPtrustsitsemployees.InPackardsown
words,Thecloserelationshipamongpeopleencouragedaformofparticipative
managementthatsupportedindividualfreedomandinitiativewhileemphasizing
commonnessofpurposeandteamwork.Wewereallworkingonthesameproblems
andweusedideasfromwhereverwecouldgetthem.
IfHPspolicieswereprogressive,therewasnothingcoddlingabouteitherman.
Untilhisdeathin1996,Packardwasafearsomeparagonofcorporateintegrity.Hewas
famousforflyingtodistantbranchestomakeashowoffiringmanagerswhoskirted
ethicallines.Neithermanwouldhesitatetokillabusinessifitwasnthittingitsprofit
goals.Theresult:HPgrewnearly20percentayearfor50yearswithoutaloss.
Today,thebehaviorofthetwofoundersremainsabenchmarkforbusiness.Hewlett,
whodiedin2001,andPackard,whodiedin1996,expectedemployeestodonatetheir
timetociviccauses.Andtheygavemorethan95percentoftheirfortunestocharity.
MyfatherandMr.Packardfelttheydmadethismoneyalmostasafluke,says
HewlettssonWalter.Ifanything,theemployeesdeserveditmorethantheydid.Its
aninsightthatchangedcorporateAmericaandthelivesofworkerseverywhere.57
In A World Waiting to Be Born,ScottPeckidentifiestheleaderwithinagroupor
organizationtobeapotentialobstacletocreatingcommunity.Specifically,nomatter
howdeeplythoseatthebottomormiddledesireit,communitywillbedifficultto
achieveifthoseatthetopareresistant.Conversely,iftheleadersarethekindsof
peoplewhowantcommunity,theycanprobablyhaveit.Theymayhavetoworkhard
forit.Itmayrequiretimeandresources.Butifleaderswanttoachieveapositiveand
healthyhumanenvironment,itcanbedoneunderalmostanycircumstances.58
InanarticleentitledTheBraveNewWorldofLeadershipTraining,JayConger
describes building communityasthemostimportanttaskfacingleaderstoday.He
viewsthisasaspecialassignmentthatcombinestwobasicleadershipcompetencies
visioningandempowermentwhicharerelated,sincevisionitselfmustbe
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The Mouse and


the Web

empowering.Thevisionspurposeisnotonlytoachieveameaningfulstrategicor
companygoal,butalsotocreateadedicatedcommunityofpeople.59
Whatdoes Charlottes Webhavetodowiththemostfamousresearchmouseinthe
world?Itisafascinatingstoryoftworemarkablemenoneofscienceandoneof
literature.60
TheJacksonLaboratory,theworldsforemostmammaliangeneticsresearchcen
ter,wasfoundedbyClarenceLittlein1929.Littlelefthispositionaspresidentofthe
UniversityofMichigantopursuehisloveofbiologicalstudiesalongthesternand
craggyshoresofAcadiainBarHarbor,Maine.
ResidentssaythatwhenLittlemethisneighbor,E.B.White,famousforhisessays
inthe New Yorkerandforhischildrensbook Charlottes Web,twomindsignited
withideasandinsights.
Whitenotedthatthecoloredcoatsofthemicecouldexplaindeeperbiological
secrets,anobservationthatprofoundlyinfluencedLittlesresearch.
Forhispart,thewriternamedasmallmouseofhisown,Stuart,afterhisgood
friend,Little.Theirpartnershipandintellectualcollaborationlastedmorethan25years.
WhatdoClarenceLittleandE.B.Whitehavetodowithbuildingcommunityinthe
workplace?Thesparkthatwasignitedmorethan80yearsagolivesoninthescholarship,
creativity,andcultureoftheJacksonLaboratorytoday.Scientiststhroughouttheworld
dependonJacksonLaboratorymiceintheireffortstoconductthehighestlevelofre
search,andthelaboratorythrivesasacenterforgeneticstudiesandscientificendeavors.
TodaysleadersarecommittedtopreservingtheJacksonLaboratorycultureand
buildingonitsrecordofachievement.Elementsoftruecommunityaremonitored,
strengthsarecelebrated,andareasforimprovementareaddressed.Itiswhimsical,
buttrue,tosaythatadedicatedcommunityofpeoplecontinuesthespiritofthe
mouseandtheweb.LittleandWhitewouldbepleased,indeed.

The Struggle to Stay Flat


Animportantelementoforganizationalcultureandclimateisstructure.Asorganiza
tionsgrowinsize,thereisaneedforlayersanddivisionsofresponsibility.Midlevel
leadersareneededtoguideworkactivities,coachsubordinates,andmanageorgani
zationalgrowth.Sufficientresourcesmustbeallocatedtoperformthesefunctions
well.61Pastanoptimumpoint,organizationscanhavetoomanylayersofmanage
mentwithcorrespondingreductionincreativityandperformance.ThecaseofNucor
Corporationshowsthevalueofbeingflat:
WhenKenIversonbecameCEOofNucorCorporationinthemid1960s,heinsistedthatthe
Charlotte,NorthCarolina,steelmakerhaveonlythreelayersofmanagementbelowhim:Crew
supervisorsreportedtotheirfunctionalmanager(production,shipping,andmaintenance),who
reportedtoaplantmanager,whoreportedtoIverson.Byallowingeachplanttooperateasan
independentbusiness,thisflatstructurewasmanageableevenasNucorgrewtomorethantwo
dozenplants.ButtodayNucorisAmericaslargeststeelmakerintermsofshipments,employing
20,000peopleatmorethanfourdozenfacilitiesworldwide.Managing50ormoredirectreports
wouldbeafulltimejob,soNucorscurrentchairmanandCEO,DanDiMicco,reluctantlyadded
anotherlayerofmanagement(fiveexecutivevicepresidents).Ineededtobefreetomake
decisionsontradebattles,saysDiMicco,addingthathecontinuestostayinvolvedbycheckinghis
ownemailandmeetingwithstaffateveryopportunity.Evenwithfivelayersofhierarchy,Nucoris
incrediblylean.Manyothercompaniesthesamesizehavetwiceasmanylevelsofmanagement. 62

Therearestrongargumentsforbeingasflatasitispracticaltobe:
1.Tallorganizationalstructureshavehigheroverheadcostsduetothecostofman
agersversusemployeeswhoactuallymaketheproductorsupplytheservice.
2.Layersofhierarchytendtoslowdownthetransmittalofinformationandthe
speedofresponseevenintodaysebusinessenvironment.
3.Tallstructurestendtoundermineemployeesatisfactionandorganizationalcom
mitmentbecausetheyfocuspoweraroundmanagersratherthanemployees.63

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Part Two Summary


AfterreadingPartTwo,youshouldknowthefollowingkeyconcepts,principles,and
terms.Fillintheblanksfrommemory,orcopytheanswerslistedbelow.
Themostimportantfunctionofaleaderistodevelopaclear,compelling
(a)andtosecurecommitmenttothatideal.Inaddition,theleader
musthavea(b)tosucceed.Finally,theleadermusthave
(c)toseethesethrough.Thesethreeitemsaretherequirementsfor
leadershipsuccess.Fourdistinctareasthatcorrelatepositivelywithleadership
effectivenessare(d),,,and
.Aneffectivevisionmustbe(e),
,,and.Thethreemotivesfor
assumingleadershipresponsibilityare(f),,and
.Theclimateofanorganizationincludesthe(g),
,,,and.The
climateofanorganizationisdeterminedprimarilybythequalityofleadership.
Leadersinthebestorganizationsfollowfourenlightenedprinciples:
(h),,,and.
Answer Key for Part Two Summary
a.

vision,page62

b.

strategy,page62

c.

stamina,page62

d.

getting the facts, creating a vision, motivating people, empowering others,


pages67,68

e. leader-initiated, shared and supported by followers, comprehensive and


detailed,
uplifting and inspiring,page66
f. power, achievement, affiliation,page74
g.(anyfive) reward system, organizational clarity, standards of performance,
warmth and support, leadership, communication, innovation, feedback and
controls, teamwork, involvement,pages81,82
h. view human resources as the organizations greatest asset; treat every
individual
with understanding, dignity, warmth, and support; tap the constructive power
of
groups through visioning and team building; set high performance goals at
every
level of the organization,page84

Reflection PointsPersonal Thoughts on the Importance of Vision, the


Motive to Lead, and Organizational Climate
CompletethefollowingquestionsandactivitiestopersonalizethecontentofPart
Two.Spaceisprovidedforwritingyourthoughts.
Describethevisionofasuccessfulleaderyouhaveknown;discusstheroleof
staminainachievingthatvision.

Haveyouevertakenresponsibilityforinitiatingchange?Haveyouevercreateda
visionandastrategyforsuccess?Discuss.

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DiscussMartinLutherKing,Jr.s,speechIHaveaDream.Whyisthespeechso
powerful?Considerthemessage,wordsthatareused,imagesthatareconjuredup,
feelingsthatareevoked,andrepetitionofkeyideas.

Leadership

TheFrenchphilosopherJeanPaulSartre(19051980)believedeverypersonneeds
aprojectinlife,andtheAustrianpsychiatristViktorFranklbelievedweeachneed
apurpose.Whatisyourprojectorpurposeyettobedone?

Whywouldyouwanttobealeaderpower,achievement,oraffiliation?Does
yourworkorpersonallifeallowtheexpressionofyoursocialmotives?

Evaluatetheclimateofanorganizationyouknow,includingtherewardsystem,or
ganizationalclarity,performancestandards,warmthandsupport,leadership,and
otherdimensions.Discussstrengthsandareastoimprove.

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Part Two Video Case


Andre Thornton
AndrThornton,aretiredprofessionalbaseballplayer,isnostrangertothebusiness
world,norisheastrangertobeingaminoritybusinessman.Thorntonispresident
andCEOofGPIProcurementServices,asmallsourcingandprocurementservice
companythatprovidesitsclientswithawidevarietyofpromotionalandincentive
itemsaswellasuniformsandhospitalapparel.
Thorntonbecameinvolvedinthisbusinessafterasuccessfulrunatmanaginga
chainofApplebeesrestaurants.Hedescribeswealthasbeingdistinctivelydifferent
frommoney.Wealth,accordingtoThornton,isanassortmentofassets,whereas
moneyisjustanassettobeusedtomakeandacquireotherassets.
Afterleavingthebigleagues,Thorntonandtwootherretiredprofessionalath
letesdecidedtoentertherestaurantindustry.Theirdesirewastooperaterestaurant
locationsinswankareasinFlorida,suchasOrlandoorMiami.Muchtotheir
dismay,thefranchisingcompanytheyweregoingtobeworkingwith,Applebees,
wouldprovidethepartnerswithaterritoryonlyintheSt.Louisarea.Theydecided
togoforitandmadethemostofthesituation,makingtheirchainofstoresverysuc
cessful.Infact,thestorestheymanagedwereconsistentlyrankedinthetop10percent
andfrequentlywereinthetop5percentofalltheApplebeeslocations.Aftera
shortperiod,theApplebeescompanyapproachedthepartnerswithabuyoutoffer,
andtheytookit.
Thorntonlefttherestaurantindustrywithawealthofknowledgeanddecidedthat
therewereplentyofwayshecouldcapitalizeonitinabusinesssetting.Thorntonput
hisknowledgetoworkatGPI.Thishasnotbeenaneasyroadforhim,especially
becauseheisaminoritybusinessman.Hewillbethefirsttotellyouthatbeingan
entrepreneurisatoughtaskandsellinginanopenmarketrequirestremendous
perseveranceanattributehedevelopedduringhisprofessionalbaseballcareer.
Thorntonwasabletotranslatehisknowledgeoftherestaurantindustryintoa
sourcingandprocurementcompanythatservestheneedsofbothsmallandlarge
clientsinthreebusinesssectorsfinancial,healthcare,andbusinessandindustry.
GPInotonlyprovidespromotionalandincentiveitemstoitsclients,butalsodesigns
programs,sourcesproducts,andmanagesprocessestoassistinbringingcosteffi
cienciestoitscustomers.Andbecauseofitssize,GPIisabletobemuchmoreflexi
blethanitslargercounterpartsintermsofpricing,customizing,andproviding
customerservice.
GPIisaminorityvendorinwhatThorntondescribesasarestrictiveandcontrolled
industry,butaccordingtoThornton,diversityisheretostay.Heacknowledgesthat

10

becauseheisaminoritybusinessman,manypeoplewontaccepthimandfeelthat
hisbusinessissecondrate,orthathehasinadequatefinancingorproducts.He
statesthatheacknowledgesthatwomenandotherminoritiesfacethesameissues.To
combattheseviews,Thorntonpreparespresentationsthatdispelthesemyths.
AccordingtoThornton,thereisacorrelationbetweenbusinessandsports.He
feelsthatanytimeyouhaveagroupofpeopleworkingtowardacommonobjective,
youhaveateam.Asaresult,wecommonlyhearsportsanalogiesusedtodescribe
business.AccordingtoThornton,businesspressuresdrivebusiness,notlikesand
dislikes,especiallyinaglobalworldthatisrapidlychangingdemographically.

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Questions for Discussion


1.HowdoThorntonsexperiencesinprofessionalsportsandinrestaurantmanage
mentassisthiminrunningGPI?Doesthefactthatheisaminorityhelporhinderhim
personallyinbusiness?
2.WhatdoesGPIhavetoofferitsclients?Doesthefactthatitisaminorityvendor
helporhinderthecompany?
Formoreinformation,seehttp://www.aswglobal.com/leadership/AndreThornton.htm.

Action Assignment
Asabridgebetweenlearninganddoing,completethefollowingactionassignment.
1.WhatisthemostimportantideayouhavelearnedinPartTwo?
2.Howcanyouapplywhatyouhavelearned?Whatwillyoudo,withwhom,where,
when,and,mostimportant,why?

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Part 3 The Importance of Ethics


6. Leadership Ethics
7. The Role of Values and Ethics at Work

UNTIL PHILOSOPHERS ARE KINGS, or the kings and princes of this world have
the spirit and power of philosophy, and political greatness and wisdom meet in
one, and those commoner natures who pursue either to the exclusion of the other
are compelled to stand aside, cities will never have rest from their evilsno, nor
the human race, as I believeand then only will this our State have a possibility of
life and behold the light of day.
Plato (428347 BC)
The Republic: An Ideal Commonwealth

Learning Objectives
AfterstudyingPartThree,youwillbeableto:
Knowtheimportanceofethicsatwork.
Identifythelevelsandstagesofmoraldevelopment.
Understandwhyleadershipbyvaluesisimportant.
Describethevaluesthatguideyouinmoraldilemmas.
Knowtheroleoftheleaderinsettingthemoraltoneandethicalclimate
oftheworkplace.

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Leadership Ethics
CHAPTER

6
W

ithoneafteranotherhighprofilescandalinbusinessandgovernment,interest
inthenatureofethicalleadershiphasgrownproportionally.1Prominent
scholars,includingRonaldHeifetz,JamesMacGregorBurns,andRobert
Greenleaf,haveprovidedperspectiveonthisimportantsubject.Acommonthemeisthe
needforleadershipthatisbasedonhonesty,servicetoothers,andmoralcourage.
ForHeifetz,leadershipinvolvestheuseofauthoritytohelpfollowersuphold
importantvaluesintheworkplace.Burnsstheoryoftransformationalleadership
emphasizesthemoraldevelopmentoffollowersandmaintaininghighstandardsof
ethicalconduct.Greenleafsapproachtoleadershiphasstrongethicalovertones,with
thecentralpremisebeingthattrueleadershipisservicetoothers.2
Leadersmustunderstandthesubjectofethicswhatitisandwhyitisimportant.
Ethicsisthebranchofphilosophyconcernedwiththeintent,means,andconsequences
ofmoralbehavior.Itisthestudyof moral judgments and right and wrong conduct.
Somehumanjudgmentsarefactual(theearthisround);othersareaesthetic(sheis
beautiful);andstillothersaremoral(peopleshouldbehonestandshouldnotkill).
Moraljudgmentsarejudgmentsaboutwhatisrightandwrong,goodandbad.3The
SpanishwriterCervanteswroteaboutethicsin Don Quixote:
Iknowthatthepathofvirtueisstraightandnarrow,andtheroadofvicebroadandspacious.I
knowalsothattheirendsandrestingplacesaredifferent;forthoseofvice,largeandopen,end
indeath;andthoseofvirtue,narrowandintricate,endinlife;andnotinlifethathasanend,
butinthatwhichiseternal.4

Theword ethicsisderivedfromtheGreekword ethos,referringtoapersons


fundamentalorientationtowardlife.Originally, ethosmeantadwellingplace.For
thephilosopherAristotle, ethoscametomeananinnerdwellingplace,orwhatis
nowcalledinnercharacter.TheLatintranslationof ethosismos,moris,from
whichcomestheEnglishword moral.InRomantimes,theemphasisshiftedfrom
internalcharactertoovertbehavioracts,habits,andcustoms.5
Inmorerecenttimes,ethicshasbeenviewedasanoverallhumanconcern:
Oneofthechiefproblemsistodeterminewhatthebasisofamoralcodeshouldbe,tofindout
whatoneoughttodo.IsrightthatwhichisthewordofGodgiventomanintheTen
Commandments?Isitwhatisrevealedtousbyconscienceandintuition?Isitwhateverwill
increasethesumofhumanhappiness?Isitthatwhichisthemostreasonablethingtodo?Isit
whatevermakesforthefullnessandperfectionoflife?Aboveall,isthereanyabsoluteright,
anythingembedded,sotospeak,inthenatureoftheuniverse,whichshouldguideouractions?
Orarerightandwrongsimplyrelative,dependentontimeandplaceandculturalpattern,and
changingwithenvironmentandcircumstance?What,inshort,isthebasisofourmoralvalues?
Thesequestionsareofvitalimportanceinadaywhenintellectualpowerthreatenstooutrun
moralcontrolandthusdestroyhumankind.6

Ethicalquestionsareimportantinallareasoflifeworkandpersonal.Putyour
selfintheshoesoftheindividualsinExercise61.
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In each dilemma, what would you do? Place a check mark by your response; then provide
the rationale for your answer in the space provided.

Exercise 61
Moral Dilemmas

1. The citizen. You are driving your car when you come upon the scene of an accident.
One person will die without immediate medical care. You take the victim and speed to
the hospital. The extra speed causes another accident, in which another person dies.
How should you be judged? Was your act right because your motive was good, or was
your act wrong because its consequences were bad?
Check one:

Right; motive
was good

Wrong; consequences
were bad

Alternative response

Rationale:

2. The salesperson. You learn that your company is selling faulty equipment that could be
dangerous. Your spouse needs medical treatment that costs a large percentage of your
income. You have reason to believe that if you confront your employer, you will lose
your job. What would you do?
Check one:

Confront
employer

Avoid
confrontation

Alternative response

Rationale:

3. The administrative assistant. You are an executive administrative assistant who has been
with the company for 20 years. You provide sole support for your family (boy, 12; girl,
10; mother, ailing). Your new boss, the company president, has made it clear to you
that continued employment depends on occasional sexual favors. What would you do?
Check one:

Provide
favors

Refuse to provide
favors; risk losing job

Alternative response

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

Rationale:

4. The parent. You have two daughters. One always complains when you send her on
errands. The other doesnt like going either but usually goes without arguing. Typically,
you send the daughter who does not complain more often than the one who does. Is
this right or wrong?
Check one:

Right; continue to
send noncomplaining
daughter

Wrong; send both


daughters equally

Alternative response

Rationale:

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5. The firefighter. It is World War II, and you are a firefighter in a city in Germany that is
under constant bombing. One day, after an especially heavy attack, you leave the bomb
shelter to go to your fire station. On the way, you decide to see whether your family is
safe. Although your home is quite distant, you go there first. Is this right or wrong?
Check one:

Right; check
family first

Wrong; go to fire
station first

Alternative response

Rationale:

6. The friend. You promise to keep your best friends secret; then she tells you that her son
is selling drugs and even has sold them at a nearby grade school. Your friend is upset
but plans on taking no action. What would you do?
Check one:

Notify
authorities

Keep friends
secret

Alternative response

Rationale:

7. The supervisor. Your company is reducing the workforce, and you must dismiss one of
your engineers. You have narrowed the choices to T. J., an older employee who has
been coasting for years, but who is capable of outstanding performance, and Morgan,
a new employee who tries his best, but who almost certainly will never perform at the
same level as T. J. Who would you let go?
Check one:

T. J.

Morgan

Alternative response

Rationale:

These dilemmas show the range of ethical questions that people face and the consequences
moral judgments can have. As a human being, you are constantly making decisions about
what is the best or right action to take with family, friends, and colleagues. For leaders,
the number and gravity of dilemmas are intensified because of the role and influence they
have.

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No Easy Subject
Ethicsisadifficultsubject,forcingpeopletothinkaboutmoralissueswithelusive
answers.Thisistruenowmorethaneverbefore.Considerthequestionsthatpeople
arebeingfacedwithtoday:

The conscious creation of new forms of life.Whatarethe exploringspace?Arethe


hugefinancialsumsspentonspaceexplorationjustifiedinviewofthehuman
benefitsandpenaltiesof
miseryonearth?
creatingnewformsoflifethroughrecombinantgenetics?Should
Nuclear energy.Whatshouldbedonewithourknowledgeaboutatomicenergy?
peoplebe
Shouldwebuildbombsthatcandestroylife,orshouldweapplythisknowledgeto
cloned?Ifso,whoshouldbecloned?
humanwelfare?Whatshouldbedone,andwhoistodecide?
Exploration and the use of outer space.Shouldpeoplebe
Information technology.Shouldeverythingthat canbeknown beknownby
anybodyanytime?ShouldchildrenseethesurfaceofMarsonacomputerscreen
beforetheyfeelthesurfaceoftheearthitsrocks,sand,water,andgrass
firsthand,withtheirownbodies?Whatshouldwedoinresponsetotheadmonition
nottobecometoolsofourtools?
Asidefrommoralissuescreatedbydevelopmentsinscienceandtechnology,there
aremanyethicalproblemscommontotheworkplaceissuesofquality,safety,
property,andhumanrelationships.Itisthetaskoftheleadertounderstandandmake
judgmentsonthesedifficultsubjects.7

The Roots of Ethics


Ethicshasbothreligiousandsecularroots.Religiousethicsisbasedonatheistic
understandingoftheworld.Whatisreal,true,andgoodisdefinedbyGod.Secular
ethicsisbasedonascientificunderstandingoftheworld.Reality,truth,andgoodness
donotdependontheexistenceofagod.Bothreligiousandsecularethicsmay
endorsemanycommonvalues,suchasthepreservationoflifeandtheimportanceof
theGoldenRule.Theprimarydifferenceishowvaluesarejustified.
Aristotle(384322BC)wasoneofthefirstandperhapsmostinfluentialofallpeopleto
shapetheethicsofWesterncivilizationfromasecularorientation.Hebelievedthat
everytypeofanimalhasacommonessenceornature,andthathumanbeingsareessen
tially,orbynature,rational.Heviewedrationalityasthecentralandmostsignificant
traitdistinguishinghumankindfromothercreatures.Further,Aristotletaughtthatthe
goodpersonistheonewholivesmostrationallyandwhosemoraljudgmentsandsocial
conductarebornofcontemplationandreason,incontrasttospontaneityandemotion
ality.Today,whenweaddressamoraldilemmabysaying,Letususereason;letususe
logic;letusthinkrationallyaboutthis,wearebeingethicalintheAristoteliansecular
tradition.8ConsidertheshortessayonthenextpagebytheEnglishmanBertrand
Russell(18721970),amodernphilosopherwhoseviewsweresecular.

The Secular
Tradition

Alltheworldsreligionsmakeprescriptionsformoralbehavior.St.Augustine
(354430),forexample,whogenerallyisagreedtohavehadagreaterinfluenceon
Westernreligiousthoughtthananyotherwriteroutsidebiblicalscripture,maintained
thatthenaturallyevilinclinationsofhumanitycouldbeovercomeonlybydivine
grace.St.AugustinesynthesizedPlatosphilosophywithChristianity.Hebelievedthat
ifweallowourselvesthroughfaithtobedrawntoGod,wewillovercomeourbasic
immoralnatureandeventuallybereconciledinthecityofGodinheaven.9
AnotherChristianphilosopher,ThomasAquinas(12241274),integratedthe
philosophyofAristotlewithChristiantheology.Aquinastaughtthatallpeopleare
endowedwithanaturaldesiretobegood.Hebelievedthatthisinclinationcouldbe
dormantinanindividualandcouldevenbeperverted.Nonetheless,hebelievedit

The Religious
Tradition

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What I Have Lived For


Bertrand Russell
Three passions, simple but overwhelmingly strong, have governed my life: the
longing for love, the search for knowledge, and unbearable pity for the suffering of mankind. These passions, like great winds, have blown me hither and
thither, in a wayward course, over a deep ocean of anguish, reaching to the
very verge of despair.
I have sought love, first, because it brings ecstasyecstasy so great that I
would often have sacrificed all the rest of life for a few hours of this joy. I have
sought it, next, because it relieves lonelinessthat terrible loneliness in which
one in shivering consciousness, looks over the rim of the world into the cold,

unfathomable, lifeless
Love and
worth living, and would gladly live it
abyss. I have sought it,
knowledge, so far
again if the chance were offered me.10
finally, because in the
as they were
union of
possible, led
love I have seen, in a Leadership
upward toward the tobepresentinallpeopleandimpossibletodestroy.Aquinastaughtthattoresist
mystic miniature, the
heavens. But always Godspulliscontrarytohumannatureandthatifweallowourselvestofollow
prefiguring vision of
pity brought me back God,wewillfulfillournatureandwewillbepurelygood.Further,byactingout
the heaven
to earth. Echoes of thisgoodnessinourdaytodaylives,wewillbemoralandwillexperiencethe
greatestmeaningofwhichwearecapable.11
that saints and poets
cries of pain
Themajorityofpeoplewhohaveeverlivedhavebeeninfluencedbyreligions
have imagined. This is
reverberate in my
suchasChristianityandindividualssuchasSt.AugustineandThomasAquinas.
what I sought, and
heart. Children in
ConsidertheexampleofBenFranklin,whobelievedthatthesoulofmanisimmortal
though it
famine, victims of
andwillbetreatedwithjusticeinanotherliferespectingitsconductinthis.12
might seem too good
torture by
for human life, this is
oppressors,
whatat lastI have
helpless old people a Ethics, Humankind, and Other Animals
found.
hated burden to their Whetherbasedonreligiousbelieforsecularthought,ethicsisaconcernuniqueto
With equal passion I
sons, and the whole humankind.Peoplearetheonlycreatureswhocombineemotion(feelings)with
knowledge(information)andthroughabstractreasoning(thought)produceamoral
have sought
world of loneknowledge. I have
liness, poverty, and conscience,orasenseofwhatshouldbe.
wished to
pain make a mockery Someideasaboutrightandwrongareofprehumanorigin.Indeed,suchsocial
virtuesasselfsacrifice,sympathy,andcooperationcanbeseenamongmanyother
understand
of what human life
species,suchaselephants,porpoises,andlions.However,morethan40,000yearsago,
the hearts of men. I
should be. I long
thehumanraceevolvedintobeingswhocoulddistinguishbetweenwhatisandwhat
have wished to know
to alleviate the evil,
oughttobe,anditisthisattributethatseparatespeoplefromallotheranimals.13
why the stars shine. A
but I cannot, and I
In The Descent of Man,biologistandsocialphilosopherCharlesDarwincon
little of this,
too suffer.
cludesofethics,humankind,andotheranimals:
but not much, I have
This has been my
Ifullysubscribetothejudgmentofthosewriterswhomaintainthat,ofallthedifferences
achieved.
life. I have found it

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Itissummedupbythatshortbutimperviousword,ought,sofullofhighsignificance.Itisthe
mostnobleofallattributesofman,leadinghimwithoutamomentshesitationtoriskhislife
forthelifeofafellowcreature,orafterduedeliberation,impelledsimplybythedeepfeeling
ofrightorduty,tosacrificeitinsomegreatcause.14

Moral Development
Howismoralitydeveloped?TheEnglishphilosopherJohnLocke,oneofthemost
importantphilosophersofmoderntimes,viewedthenewbornchildasatabularasa,
orblanktablet,onwhichalifescriptwouldbewritten.Hebelievedthatexperience
andlearningwouldshapethecontent,structure,anddirectionofeachpersonslife.
Inthissense,theethicsoftheinfantareamoralthatis,thereisnoconceptofgood
andbadorrightandwrongthatisinborn.
Afterbirth,babiessoondiscoverthattheyarerewardedforcertainthingsand
punishedforothers.Asaresultofthisearlyprogramming,theydevelopan
understandingofwhattheadultworldconsidersgoodandbad.Thusasocialcon
scienceisbegun,andthisbecomesthefoundationforfuturemoraldevelopment.15
Throughmodelingandsocialization,theoldercommunitypassesonethicsto
youngpeople.Thewordsandactionsofparents,teachers,andoldercompanions
teachandreinforcemoralitybeforechildrendeveloptheirowncriticalfaculties.Ben
Franklinsadvicetoteachchildrenobediencefirstsothatallotherlessonswill
followtheeasiercapturesthespiritinwhichmoralvaluesaretaught.16
Whenpracticedovertime,ethicalbehaviorbecomeshabitualandpartofpeople
themselves.Bytellingthetruth,peoplebecometrustworthy;byservingothers,
peoplebecomekind;bybeingfair,peoplebecomejust.17
Onasocietywidescale,theethicsofadultsaresimilarlyprogrammed.Swiss
psychologistJeanPiagetwritesthatheteronomy(rulesassacredexternallawslaid
downbyauthorities)istheunifyingfactorinadultsocieties,andthatineverysociety
thereareleaders(governmental,religious,andeducational)whobelieveincertain
moralideals,andwhoseetheirtasktobeoneofimprintingtheseidealson
succeedinggenerations.18

Practicallyspeaking,thethreemostimportantinfluencesoncharacterformationare:
Associations.Family,friends,androlemodelshelpshapeourfuturelives.The
exampleandencouragementofsomepeoplemayimproveus,whilethatofothers
maypullusdown.Wheneverpossible,avoidtoxicpeopleandkeepcompanywith
agentsofgoodness.
Books.Theprintedpageandothermediacanpoisonuswithwrongaccountsand
harmfulthoughts,orcanenlightenandliftupourliveswithreasonandspirit
fundamentaltoahealthyperson.Considertheinfluenceofjustonebook, Don
Quixote,aculturallandmarkoftheSpanishspeakingworldandsecondonlytothe
Bibleintermsoftotalnumberofcopiesprinted.Cervantesscourageousherore
fusestoconformandseekstorightthewrongsoftheworld,providinginspiration
togenerationsofpeople.
Self-concept.Whenourthoughtsandactionsarenotconsistent,theresultis
dissonancethatthemindcannottolerate.Wedowhatwedotobeconsistent
withwhowethinkweare.Ourprimarymotivationisnotselfpreservation,but
preservationofthesymbolicself.Whoeverconsidershimorherselftobe
honest,brave,andworthyislikelytobeso,asourouterlivesarefirstdecided
inourinnerhearts.19
ConsidertheABCsofyourowncharacterdevelopment:
1. Associations.Whoinyourlifehasinfluencedyourcharacterdevelopment?

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2. Books.Whatbooks,films,andothermediahavehelpedyoubecomeabetter

person?

3. Self-concept.Whatimageofyourselfhasshapedyourvaluesandguidedyour

life?

Levels of Morality
Apersonslevelofmoralityisoneofthemostimportantdimensionsofleadership,
determiningwhetherpeoplewilltrustandrespecttheleader.Regardlessofthecode
ofethicsasocietyteachesandregardlessofonespersonalvalues,onwhatbasisdoes
theindividualmakeethicaldecisions?Whatmotive,goal,orframeofreferencedoes
thepersonbringtomoraldilemmas?Therearemanyideasonthisquestion,butthe
workofsocialpsychologistLawrenceKohlbergoccupiescenterstage.20
Kohlbergexplainsthateachpersonmakesethicaldecisionsaccordingtothree
levelsofmoraldevelopmentpreconventional, conventional,and postconventional.
Table61describestheselevels,definestwostageswithineachlevel,andpresents
examplesofmoralreasoningateachstage.Asyoureadthechart,evaluateyourown
ethics.Atwhichleveldoyouusuallyoperate?Atwhichlevelwouldyouwantleaders
tobehave?
Differentpeoplegothroughthesixstagesofmoraldevelopmentatdifferentrates,
andsomepeopleneverreachtheprincipledmoralityofstages5and6.Individuals
whoremainatlowerlevelsofmoralityexperiencearresteddevelopmentalintegrity.
Theegocentricorientationofstages1and2ismostcharacteristicofpreadolescent
children,whereasthecommunityorientedmoralityofstages3and4iscommonin
teenagersandmostadults.Theselfdirectionandhighprinciplesofstages5and6are
characteristicofonly20percentoftheadultpopulation,withonly5percentto
10percentofthepopulationoperatingconsistentlyatstage6.21
Thecaseandanalysisthatfollowshowhowlevelsofmoralityinfluencehuman
conductinthefaceofmoraldilemmas:

sametownhad
Thesickwomanshusband,Heinz,wenttoeveryoneheknewtoborrowthemoney,buthe
recentlydiscovered.Thedrug couldonlygettogetherabout$1,000,whichwashalfofwhatitcost.Hetoldthedruggistthat
The
Stolen
wasexpensivetomake,butthe hiswifewasdyingandaskedhimtosellitcheaper,orlethimpaylater.Butthedruggistsaid,
Drug
druggistwaschargingtentimes No,IdiscoveredthedrugandImgoingtomakemoneyfromit.Heinzbecamedesperateand
whatthedrugcosthim.Hepaid brokeintothemansstoretostealthedrugforhiswife.22
InEurope,awomanwasneardeathLeadership
$200fortheradiumand
fromararekindofcancer.Therewas charged$2,000forasmalldose
Whenconfrontedwiththemoraldilemmaofeitherlettinghiswifedieorstealing
onedrugthatthe
of
thedrug,Heinzstolethedrug.Washerightorwrong?Table62presentsexamples
doctorsthoughtmightsaveher.Itwas
thedrug.
ofmoralreasoningHeinzmayhaveusedateachstageofmoraldevelopment.
aformofradiumthatadruggistinthe

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Levels, Stages, and Examples of Moral Development23
Table 61

Level of Moral Development

Stage of Moral Development

Level I
Stage 1
Preconventional morality. The individual At this stage, physical consequences
is aware of cultural prescriptions of right determine moral behavior. Avoidance of
and
punishment and deference to power are
wrong behavior. Response is based on
characteristics of this stage.
two
Stage 2
concerns: Will I be harmed (punishment)?
Individual needs are the primary motives
Will I be helped (pleasure)?
operating at this stage, and personal
pleasure dictates the rightness or
wrongness of behavior.

Example of Moral Reasoning at Each Stage

I wont hit him because he may hit me


back.

I will help her because she may help me in


return.

Stage 3
Level II
Conventional morality. Morality is
characterized by group conformity and
allegiance to authority. The individual
acts
in order to meet the expectations of
others
and to please those in charge.

Level III
Postconventional morality. This is the
most
advanced level of moral development. At
this level the individual is concerned with
right and wrong conduct over and above
self-interest, apart from the views of
others,
and without regard to authority figures.
Ethical judgments are based on selfdefined
moral principles.

The approval of others is the major


I will go along with you because I want you
determinant of behavior at this stage,
to like me.
and
the good person is viewed as the one who
satisfies family, friends, and associates.
Stage 4
I will comply with the order because it is
Compliance with authority and upholding wrong to disobey.
social order are primary ethical concerns
at
this stage. Right conduct is doing ones
duty,
as defined by those in authority positions.
Although I disagree with his views, I will
uphold his right to have them.
Stage 5
Social ethics are based on rational
analysis,
community discussion, and mutual
consent. There is tolerance for individual
views, but when there is conflict between
individual and group interests, the
There is no external force that can compel
majority
to do an act that I consider morally
rules. This stage represents the official me
wrong.
morality of the U.S. Constitution.
Stage 6
At this stage, what is right and good is
viewed as a matter of individual
conscience,
free choice, and personal responsibility
for
the consequences. Morality is seen as
superseding the majority view or the
prescriptions of authority; rather, it is
based
on personal conviction.

Heinzs Reasoning: Should I Steal the Drug? 24


Table 62
Moral Stage

Stage 1: Orientation to
punishment
Stage 2: Orientation to pleasure

Stage 3:
Orientation
to social
approval
Stage 4:
Orientation
to social
order

Stage 5: Orientation to
social
rights and responsibilities
Stage 6: Orientation to
ethical

principles

Argument For

Argument Against

It isnt wrong to take the drug. It is really

It is wrong to take the drug. After all, it is


worth $2,000. Besides, I would probably get
caught and be punished.
I should not risk myself for my wife. If she
dies, I can marry somebody else. It would be
wrong for me to give up my well-being for
her well-being.
I must not steal the drug. People wont blame
me for not stealing the drug; it is not the kind
I have no choice. Stealing the drug is the only of thing people would approve of.
thing for a good husband to do. What would
my family and friends say if I didnt try to save
Stealing is illegal. I have to obey the law, no
my wife?
matter what the circumstances. Imagine
When I got married, I vowed to protect my
what society would be like if everybody
wife. I must steal the drug to live up to that
broke the law.
promise. If husbands do not protect their
wives, the family structure will disintegrate,
As a member of society, I have an obligation to
and with it, our society.
respect the druggists right to property.
I should steal the drug. The law is unjust
Therefore it would be wrong for me to steal
because it does not protect my wifes right to the drug.
life. Therefore, I have no obligation to obey
The principle of justice and the greatest good
the
for the greatest number prevents me from
law. I should steal the drug.
The principle of the sanctity of life demands stealing the drug, even for the good of my wife.
that I steal the drug, no matter what the
consequences.
worth
only $200, and I probably wont get caught
anyway.
If I dont want to lose my wife, I should take
the drug. It is the only thing that will work.

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Thefollowingexamplesshowtheimportanceoflevelsofmoralityinhistory:
Nazi death camps.InApril1961,AdolfEichmann,accusedexecutioneroffive
millionJewsinNaziGermanyduringWorldWarII,testifiedathistrialinJerusalem:
Inactualfact,Iwasmerelyalittlecoginthemachinerythatcarriedoutthedirectivesofthe
GermanReich.Itwasreallynoneofmybusiness.Yetwhatistheretoadmit?Icarriedout
myorders.25

LevelII,stage4moralreasoningisreflectedinEichmannsstatement.
Civil disobedience.InMarch1922,MohandasGandhi,theIndianspiritualand
politicalleader,addressedaBritishcourtwiththesewords:

Nonviolenceisthefirstarticleofmyfaith.Itisalsothelastarticleofmycreed.ButIhadto
makeachoice.IhadtoeithersubmittoasystemthatIconsideredhaddoneirreparableharm
tomycountry,orincurtherisk....Iamhere,therefore,toinviteandcheerfullysubmittothe
highestpenaltythatcanbeinflicteduponmeforwhatinlawisadeliberatecrimeandwhat
appearstometobethehighestdutyofacitizen.26

LevelIII,stage6moralityisseeninthelifeandteachingofGandhi.Withsimilar
moralreasoning,Socratesrefusedtoadmitsocialwronginhisfarewelladdresstothe
Athenianpeople.Instead,hedrankthelethalhemlock,settinganexampleofmoral
heroismthathasinspiredWesterncivilizationforover2,000years.
Topersonalizethesubjectoflevelsofmorality,considerthesequestions:Atwhat
levelofmoralreasoningdoyouoperate?Areyoustage1or2(egocentric),3or4
(communityoriented),or5or6(principled)inyourresponsetoethicaldilemmasat
work,inyourcommunity,andinyourpersonallife?Thinkoftheleadersyourespect.
Atwhatlevelofmoralitydotheyoperate?

Lessons in Obedience
Inthe1960s,StanleyMilgram,apsychologistatYaleUniversity,performedaseries
ofexperimentsonobedience.Milgramdemonstratedhowasituationcanoverpower
anindividualsconscience.Hisfindingshavebeenusedtoexplainthegreatatrocities
ofourtime:theHolocaust,theMyLaimassacre,thegenocideinRwanda,andAbu
GhraibinIraq.
Milgramdrewhissubjectsfromallwalksoflife,includinglawyers,firefighters,and
constructionworkers.Theyallagreedtoaccept$4.50perhourtoparticipateinanex
perimentonlearningandpunishment.Intheexperiment,theyweretoldbyadoctorin
awhitecoattoactasteachersbyreadingalistofassociationstoalearner,whowas
outofsightbutcouldhearinthenextroom.Ifthelearnergotanassociationwrong,the
teacherwasinstructedtogivehimanelectricshock,increasingthevoltageaftereach
incorrectanswer.ThefirstshockwaslabeledSlightshock15volts.Thelastwas

labeledDanger:severe
300volts,herefusedto theteacherswere
shock450volts.
participate;at330volts, seriouslyupsetsweatingprofusely,bitingtheirlipsbutwiththeproddingofthe
Ofcourse,thereal
therewassi
whitecoatedexperimenter,theycontinuedinspiteoftheirmoralqualms.
experimentwasonthe
lence.ToMilgrams
Milgramsresearchdemonstratedhowordinarypeoplecouldbeinducedtoper
teacherstoseehowmuch
surprise,65percentof forminhumaneactssimplybythepresenceofanauthorityfigure.Milgramalso
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114
punishmentthey
theteacherspushedon foundthatthemorepsychologicaldistancethesubjectshadfromthevictim,the
wouldadminister.At180
totheend,450volts,
morelikelytheyweretofolloworderstothebitterend.Iftheteacheronlyreadthe
volts,thelearner,whowasan eveniftheyweretold questionsbutdidnotadministertheshocks,90percentfinishedtheexperiment.
actor,wouldcryoutthathe thelearnerhadamild However,iftheteacherhadtotouchthelearnertoadministertheshocks,thenonly
couldnotstandthepain;at heartcondition.Manyof 30percentwentupto450volts.

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MilgramsstudieshavebeenreplicatedinAustralia,Germany,Jordan,andother
countriesaroundtheworld,allwithsimilarresults.Milgrambeganhisexperiments
becausehewantedtoproveWilliamShirerstheoryadvancedin Inside the Third
Reich,thatHitlercouldhappenonlyinGermany.HisexperimentsatYaleandNew
HavenshowedthatHitlercouldhappeninAmericaaswell.27

Virtue: The Nature


of Level III, Stage 6 Morality
Moralevolutionhasfollowedapathfrompreconventional(levelI,stage1)topost
conventionalethics(levelIII,stage6).Increasingly,peopleasindividualsversus
peopleassocietyhavebecomethebasisofmoraljudgments.Thesentimentthatjust
becausethemajorityofagrouporsocietyjudgesanacttoberightorwrongdoesnot
makeitsoreflectsthisorientationtowardindividualconscience(personalprinciples),
asopposedtocollectivethought(communitystandards)orselfservice(egocentric
morality).28
AtlevelIII,stage6morality,apersonsviewofrightandwrongdependsonthe
meaningsheorheattachestopersonalexistence,andthatmeaningisbasedonself
discoveredandselfacceptedvalues.ThisistheorientationofGermanwriter
HermannHessesyoungSiddhartha,evenafterhehadlistenedtotheteachingsof
BuddhaSiddarthaGuatama(Shakyamuni):
Donotbeangrywithme,OIllustriousOne,saidtheyoungman.Ihavenotspokentoyou
thustoquarrelwithyouaboutwords.Youarerightwhenyousaythatopinionsmeanlittle,but
mayIsayonethingmore?Ididnotdoubtyouforonemoment.NotforonemomentdidI
doubtthatyouweretheBuddha,thatyouhavereachedthehighestgoalthatsomanythousands
ofBrahminsandBrahminssonsarestrivingtoreach.
Youhavedonesobyyourownseeking,inyourownway,throughthought,through
meditation,throughknowledge,throughenlightenment.Youhavelearnednothingthrough
teachings,andsoIthink,OIllustriousOne,thatnobodyfindssalvationthroughteachings.To
nobody,OIllustriousOne,canyoucommunicateinwordsandteachingswhathappenedtoyou
inthehourofyourenlightenment.
TheteachingsoftheenlightenedBuddhaembracemuch,theyteachmuchhowtolive
righteously,howtoavoidevil.Butthereisonethingthatthisclear,worthyinstructiondoesnot
contain;itdoesnotcontainthesecretofwhattheIllustriousOnehimselfexperiencedhealone
amonghundredsofthousands.
ThatiswhatIthoughtandrealizedwhenIheardyourteachings.ThatiswhyIamgoing
onmywaynottoseekanotherandbetterdoctrine,forIknowthereisnone,buttoleaveall
doctrinesandallteachersandtoreachmygoalaloneordie.ButIwilloftenrememberthis
day,OIllustriousOne,andthishourwhenmyeyesbeheldaholyman.29

In1884,MarkTwainwrote The Adventures of Huckleberry Finn,amovingstory


thatappealstoreadersofallages.ThenovelcentersonHucksstrugglestoreconcile
thedictatesofsocietywithhisownfeelingsregardingslavery.Intheend,Huckde
cidesthatasocietysrulescanbeunjustandthathisownsenseofrightandwrong
mustbefollowed.
ThefollowingexampledepictslevelIII,stage6moralityintheworldofwork.It
showshowimportantitisforpeopletodeterminetheirownmoralprinciples,
whetherreligiousorsecular,andtodecideonethicalconductinthelightofthe
meaningtheyattachtotheirownlives.Italsoshowsthatanindividualsactionsare
mostvirtuouswhentheyproceedfromthehighestmotives,utilizethebestmeans,

andachievethebestconsequences.Theabsenceofanyoneofthesequalitieswill
resultinlessthanlevelIII,stage6moralityandlessthanonespotentialformoral
virtue.30

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Level III, Stage 6 Morality: A True-Life Case


Susan is an art student about to graduate from college. She is offered a position with a daily newspaper. The position pays well and she is interested in
that type of employment, but to work on the newspaper staff, she must draw
cartoons that express the sentiments of the papers owners and managers, not
her own sentiments or convictions. The paper is jingoistic and isolationist,
whereas Susan wishes to promote international machinery for the peaceful
settlement of disputes. The paper also stresses property rights, while Susan
wishes to emphasize human rights. Should she accept the position?

How the Problem Is Handled


Susan is very pleased with the job offer. She feels that it is an honor and a
compliment. But she does not accept at once. There are some questions in her
mind that she wishes to think over. She begins to weigh the pros and cons.
During this process, she talks with friends and consults a number of older people whose judgment she respects.
In favor of accepting the position, Susan reasons that it is a good position,
it pays well, and she may not get another offer as goodin fact, no other
position of this nature may be open in the near future. Furthermore, the position
will give her experience and contacts, and she would like to take up this type
of work as a profession.
When her friend, Donna, hears about the offer, she says, Susan, youre in
luck. Grab it while you can. Why in the world would you even hesitate? Another
friend adds, What if you dont accept the position? Someone else will, so
whats the difference?
The older people with whom Susan talks are less simplistic in their advice.
They suggest that she think the issue through carefully. While they are not all
in agreement in the advice they offer, they do bring to light some aspects that
Susan has not considered. Susan asks for an interview with the manager of the
newspaper to gain more information about the position and what would be
expected of her.
By this time, some of the arguments against accepting the offer are beginning to take shape in Susans mind; most important is the fact that when
working for the newspaper, she must express and promote sentiments opposite to her own. This means that she will be promoting social attitudes and
movements in which she does not believe. She asks, What will this position do
to me? Can I be successful in work that is promoting a cause in which I do not
believe? Do I want my reputation and my influence to count on behalf of the
issues I will be asked to promote?
As Susan weighs the relative merits of the two courses of action, certain
convictions emerge. First, if she accepts the position, she may not be able to
throw all of her mind and heart into the work. Consequently, she is not likely
to be as creative as she would be if she were promoting causes in which she
believed. Second, if she does manage to give her whole energy to the work,
she will soon become a different type of person, with different sentiments and
convictions. As her name becomes identified with causes and as she forms
friendships in these circles, the possibility of breaking away will be increasingly
difficult. Wouldnt it be better, she reasons, to accept another position with a
lower salary if need be and retain her personal integrity?
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After a few days of uncertainty, Susan declines the offer and asks the placement bureau to keep her name on the active list for new openings.

Analysis
Motives. Susans motives undoubtedly are good. She wants to do the right
thing if she can discover it. This is evident in her approach to the problem and
in the questions she asks as she considers the alternatives. Also, her desire to
get a good position so that she may be able to earn a living and practice her
profession is commendable. The problem centers on the means to be chosen
and the general consequences to her and to society of the use of these means.
Means. The problem is handled by Susan in a highly moral way: (1) She
thinks about the problem before making a decision. She makes a genuine and
intelligent attempt to discover all the relevant factors in the situation. As a
result, her decision is made with more facts in mind than would have been the
case otherwise. (2) She weighs the relative merits of the alternative possibilities. She judges the case on the basis of long-term considerations, not merely
on the basis of immediate interests. (3) She takes into account the social effects
of her decisions, not merely her personal interests. (4) She seeks advice from
the people who she thinks may throw additional light on the problem. (5) The
final decision is her own. It is made on the basis of principle and on the basis
of her personal value system.
Consequences. The essence of level III, stage 6 morality is the ability and willingness to weigh all relevant facts in moral dilemmas and to base actions on
the results of such reflection at the point of decision making. In Susans case, time
will tell the moral consequences of her decision. With the passage of time, the
knowledge of the results of her actions may lead to new moral dilemmas and
the necessity for new moral decisions.
In summary, level III, stage 6 morality begins with good motives, is affected
by good means, and results in good consequences. At this level and stage of
morality, the saying that the ends justify the means is no more acceptable than
to say methods are most important, or that good intentions are all one needs
to ensure good results. This is because any one of these qualities without the
other two will result in lowered morality.

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Allthreemotives,means,andconsequencesarenecessaryingredientsofvirtu
ous,levelIII,stage6moralleadership.Weusethesecriteriatojudgethecharacterof
aleaderbothintheinstanceandoverthespanoftime.Wehavehighestrespectfor
thoseleaderswhobehavewithhonoroverthecourseoftheirlives.Theirrecordsare
known,andtheverdictisgiventhesearethegreatleaders.Whenfacedwitha
moraldilemma,theydonotask,WillIgotojail?(levelImorality),orWillmyreputa
tionsuffer?(levelIImorality),butWhatistherightthingtodo?(levelIIImorality).
Virtuousleadersknowthedifferencebetweenreputationandcharacter:thefirstis
whatpeoplesayaboutthem;thesecondiswhattheydowhennooneiswatching.

Ethics and the


Legal
Department

compromises,itis
notmeanbeingmoral.Legalityincludeseverythingthelaw
importanttoknowwhen permitsordoesntexpresslyforbid.Moralityisanevenolderidea,predatingeven
anaction
legislatedlaws.
maytakeyouoveraline Byallmeans,youshoulddowhatthepeopleinthelegaldepartmentadviseto
ThephilosopherLou
youdonotwanttocross. abidebythelaw,butyoumustneverloseyourownmoralcompass.Ifsomething
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118
Inthesesituations,your makesyoumorallyupset,somuchsothatyouknowwhatyouaredoingisclearly
Marinoffgivespractical
con
wrong,dontletlegalityaloneappeaseyou.TheargumentthatIwasonlyfollowing
adviceaboutleadershipand scienceshouldguide
orderswontabsolveyouifyoumakeamoralerror.Remember,everysocietyhas
you.31
laws,butnotalllawsarejust.
moral
dilemmas:Everyonesethical Intheworldofwork, Sowhatisapersontodo?Thebestadviceistofollowthedictumnonharmto
ethicsistypicallythe sentientbeings.Thisisthebasisofeveryprofessionalcodeofethicsandevery
warninglightsgooffat
purviewofthelegal moralsociety.Ifyouractionscauseharmtoothers,theyareimmoral.Systemsof
differenttimes.Although
moralityandthelawsofasocietycangetcomplicated,butifyoulivebythis
workingwillalwaysinvolve department.But
beinglegalmayormay basicrequirement,youwillhaveaclearconscience.32

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The Role of Values


and Ethics at Work

n1727BenjaminFranklinformedtheJunto,aforerunnerofmoderndaycivic
clubs.Itwasdominatedbybusinessmenhavinggoalsofcommunityfellowshipand
service.Chartermemberswereashoemaker,asurveyor,awoodworker,aglazier,
andfouryoungprinters.Characterwasasignificantconcernofthatorganization.
Franklinsownvaluesincludedtemperance,order,resoluteness,industry,sincerity,
justice,moderation,cleanliness,andhumility.Clearly,thesearepolesapartfrom
currentdayexpressionssuchasoneupmanship,lookingoutfornumberone,and
assertiveness,whichhavecapturedconsiderablepublicfollowing.33
Someorganizationsviewvaluesasafundamentalrequirementforsuccess.James
Burke,formerchairmanofJohnson&Johnson,statesthatJ&Jscredo,firstarticulated
in1945,wasresponsibleforthecompanysrapidactionintakingTylenoloffthe
marketafterpoisoningincidentsinwhichsevenpeopledied.Tosupporttheimportance
ofvalues,hecitesastudyofthefinancialperformanceofU.S.companiesthathave
hadwrittenvaluestatementsforatleastageneration.Thenetincomeofthose
companiesincreasedbyafactorof23duringaperiodwhenthegrossnational
productgrewbyafactorof2.5.34
Formanyorganizations,valuesareasocialglue.Globalenterprisesrequiring
longdistancemanagementmayusevaluestoprovidestructureandstabilityfor
peopleofdiversebackgroundsinfarflunglocations.JackWelch,formerCEOof
GeneralElectric,seesmanagementvaluesasaprimarysourceofcorporateidentity,
addingtoasenseofcohesionamongGEshighlydiversebusinessunits.Also,values
canprovideguidanceformemberswhofunctionasindependentdecisionmakers
forexample,thefactoryteamwiththepowertostopproductionifacoreprinciple
isviolated.35
Itshouldbenotedthatvaluestatementscanmaskhypocrisy.Ifacompanyespouses
qualityinitswrittenvisionorpromotionalliterature,butsacrificesitforshortterm
profits,cynicismwillprevailamongcustomersandemployees.Tobemeaningful,
valuesmustenterintothedailypracticesoftheorganization.Valuesmustreflect
enduringcommitments,notvaguenotionsandemptyplatitudes.Thus,leaderswho
seektomanagethroughvaluesmustexaminetheirownvaluesystemsandputgood

intentionsintoconcreteactionsthatotherscanwitness.
Anorganizationcanhaveanabundanceofvalues,butlack
clarityandreinforcement
ofthosethatarethemostimportant.Alackofagreementon
corevaluesthatall
memberswilllivebywillreducethecharacterandstrengthof
theorganization.Author

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LeonWieseltierwrites,ThecontemporaryprobleminAmericansocietyisnotthat
peoplebelieveintoolittle,itisthattheybelieveintoomuch.Toomuchofwhattoo
manypeoplebelieveistooeasilyacquiredandtoothoughtlesslyheld.Wieseltier
believesAmericansarechokingonidentities.Notthelackofmeaning,butthe
glibnessofmeaningisthetrouble.36
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Howcananorganizationknowifitneedstoclarifyorreinforceitsvalues?Red
flagsarethefollowing:

Memberslackclearunderstandingabouthowtheyshouldbehaveastheyattempt
tomeetorganizationalgoals.
Differentindividualsandgroupshavefundamentallydifferentvaluesystems.
Topleaderssendmixedmessagesaboutwhatisimportant.
Daytodaylifeisdisorganized,withthelefthandandtherighthandoften
workingatcrosspurposes.
Memberscomplainabouttheorganizationtoneighbors,friends,andfamily.
Likethepersonwhohasears,buthearsnot,theorganizationhasvalues,butdoes
notpracticethem.

ManagementauthorPeterDruckerstates:
Eachorganizationhasavaluesystemthatisinfluencedbyitstask.Ineveryhospitalinthe
world,healthistheultimategood.Ineveryschoolintheworld,learningistheultimategood.
Ineverybusinessintheworld,theproductionofgoodsandservicesthatpleasethecustomeris
theultimategood.Foranorganizationtoperformatitshighestlevel,itsleadermustbelieve
thatwhattheorganizationisdoingis,inthelastanalysis,animportantcontributiontopeople
andsociety,onethatisneededoraddssomevalue.37

In A Business and Its Beliefs: The Ideas That Helped Build IBM,ThomasWatson,
Jr.,explainstheimportanceofvalues:(1)Tosurviveandachievesuccess,an
organizationmusthaveasoundsetofvaluesonwhichitpremisesallpoliciesand
actions;(2)thesinglemostimportantfactorinanorganizationssuccessisitsleaders
faithfuladherencetothosevalues;and(3)ifanorganizationistomeetthechallenges
ofachangingworld,itmustbepreparedtochangeeverythingaboutitselfexceptits
corevalues.Theneedistobeopentochangeinstructure,tasks,technology,and
people,butalwaysguidedby,andremainingtrueto,basicorcorevalues.
WatsongoesontosaythatwhenIBMhasbeensuccessful,ithasbeentruetoitsthree
corevaluesrespectingtheindividual,givingthebestcustomerservicepossible,andper
formingeveryjobwithexcellence.AndwhenIBMhasgoneastrayattimesinitshis
tory,itisbecauseitlostsightofordeviatedfromthosethreebasicbusinessvalues.38

The Starbucks Story


AgoodexampleoftheimportanceofvaluesforbusinesssuccessisStarbucks.In
1971,TheStarbucksCoffee,Tea,andSpicestoreopenedforbusinessinSeattle,
Washington.Today,Starbucksisaglobalenterprisewith11,000storesin37countries
andmorethan100,000employees.Itaverages35millioncustomervisitseachweek
andhascustomerswhoreturnanaverageof18timesamonth.Since1992itsstock
hasrisen5,000percent.
In The Starbucks Experience,JosephMichellidescribesfiveleadershipprinciples
thatarethefoundationofStarbucksgreatnessmakeityourown,everythingmatters,
surpriseanddelight,embraceresistance,andleaveyourmark.
Theseprinciplesareputintopracticethroughthe Green Apron Book,apocketsize
jobaidthatdescribespartner(employee)waysofbeinginordertobesuccessful
bewelcoming,begenuine,beknowledgeable,beconsiderate,beinvolved.Theseare
simpleinstructionsprovidedinanappealingwaythatcapturestheessenceofthe
companysculture.
Starbuckswaysofbeingareexpectedbehaviorsateverylevelofresponsibility,
andtheyformthebasisforselecting,training,andpromotingpartners.Itisinterest
ingtonotethatStarbucksspendsmoremoneyontrainingthanitdoesonadvertising.
Toensurethatleadersareupholdingthecompanysespousedvalues,allpartners

areencouragedtobringtheirconcernstoa Mission Review Committeewhenthey


thinkpolicies,procedures,orleadershipbehaviorsarestrayingfromStarbucks

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principles.The Green Apron Bookandthe Mission Review Committeehavebeen


instrumentalinStarbucksvisiontobeavaluebasedcompanythatcaresaboutcoffee
andcaresaboutpeople.39
In2008MichaelGillwrote How Starbucks Saved My Life.Itisastoryaboutlife
andworkwithvaluableleadershiplessons.

Values and the


Importance of Courage
CertainvaluesarementionedmostoftenintheAmericanworkplace:

Honestyinalldealings,asafoundationforallothervalues.

Respectforothers,asshownbyconsiderationfortheirbeliefsandneeds.
Servicetoothers,guidedbytheprincipleofdoingforothersasyouwouldhave
themdoforyou.
Excellenceinallworkperformed,reflectingtheGreekidealofexcellenceasa
virtue,andresultinginbothpublicadmirationandpersonalpride.
Integrity,havingthecouragetoactandlivebyonesconvictions.

Whenpeopledefinecharacter,whattheysayisimportant,whattheydoismoreim
portant,butwhattheysacrificeforismostimportant.Thesearethelayersofidentity
andcharacterformationforindividualsandgroups.Initshighestform,characteris
basedonavaluesystemthatisknown,cherished,stated,lived,andlivedhabitually.
Caringtothepointofpersonalsacrificeisthehighestformoflivingbyonesvalues.
Characterandleadingbyvaluesrequire courage,asuperordinatequalityofthe
person.PhilosopherpsychologistRolloMayexplainstheimportanceofcourage:
Courageisnotavirtueorvalueamongotherpersonalvalueslikeloveorfidelity.Itisthe
foundationthatunderliesandgivesrealitytoallothervirtuesandpersonalvalues.Without
courageourlovepalesintomeredependency.Withoutcourageourfidelitybecomesconformism.
ThewordcouragecomesfromthesamestemastheFrenchwordcoeur,meaningheart.
Thusjustasonesheart,bypumpingbloodtoonesarms,legs,andbrainenablesalltheother
physicalorganstofunction,sodoescouragemakepossibleallthepsychologicalvirtues.
Withoutcourage,othervalueswitherawayintomerefacsimilesofvirtue.
Anassertionoftheself,acommitment,isessentialiftheselfistohaveanyreality.Thisisthe
distinctionbetweenhumanbeingsandtherestofnature.Theacornbecomesanoaktreebymeans
ofautomaticgrowth;nocourageisnecessary.Thekittensimilarlybecomesacatonthebasisof
instinct.Natureandbeingareidenticalincreatureslikethem.Butamanorwomanbecomesfully
humanonlybyhisorherchoicesandhisorhercommitmenttothem.Peopleattainworthand
dignitybythemultitudeofdecisionstheymakefromdaytoday.Thesedecisionsrequirecourage.40

Manyleadershipsituationsarecharacterizedbyambiguity,uncertainty,andeven
danger.Theleadermustbeabletoactinspiteofthesefactors.Manydecisionswill
requireovercomingfear,grittingonesteeth,anddoingwhatmustbedone.True
leadershiprequirescouragetoactandlivebyonesconvictions.

Traditional Definitions of Good


TheEnglishphilosopherAlfredNorthWhiteheadwrote,Weareintheworld,not
theworldinus.41Heexplainsthatwhileaconcernforrightandwrongmaybe
universaltoallpeople,whatisconsideredrightandwrongdependsontheuniverse
andapersonsplaceinit.Weareevolvingcreaturesinanevolvingworld,andhuman
ethicsarechangingaswell.
InthehistoryofWesterncivilization,what ought to behashaddifferentmeanings
indifferenttimesandcircumstances.Generally,theculturesoftheWesternworld

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condemnsuchpracticesasslavery,witchcraft,andduelingtoday,eventhoughthese
wereonceconsideredacceptable.
TherehavebeenmanydefinitionsoftheethicalpersoninWesternculture. Good
and righthavebeendefinedintermsofpower,personalintegrity,naturalsimplicity,
willofGod,pleasure,greatestgoodforthegreatestnumber,pragmatism,anddutyand
rightaction.Asyoureadthefollowing,evaluateyourownideasonthesecentral
conceptsofgood.42
Iflifeisastruggleforsurvivalandhumanbeingsarefundamentallyselfishand
greedy,thenthebestindividualsarethosewhoadapttothesemarketforcesand
becomemastersofmanipulativerelations.SobelievedNiccolMachiavelli,
(14691527),anItaliandiplomatandpoliticalwriter.Machiavelliarguedforwinning
andretainingpowerinaworldcontainingextensivepoliticalfactionalismandlustfor
dominion.Hemaintainedthatflattery,deceit,andevenmurdermaybenecessaryifa
personistowinandretainpower.Hestatedthatapersonshouldnevercultivate
privatevirtuesthatinpubliclifecanprovepoliticallysuicidal;instead,oneshould
developvicesifthesewillhelpperpetuateonesrule.Machiavellibelievedthatends
justifymeansandtaughtthatmightmakesright.43

Power

Personal Integrity

Natural Simplicity

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TheGermanphilosopherFriedrichNietzsche(18441900)believedthathuman
resoluteness,bornofindependentjudgment,wasthehighestgood.Nietzschewasa
championofindividualismandencouragedtheindividualtobeindependentin
thoughtandstronginconviction,eveninthefaceofgrouppressureandgovernment
authority.Nietzschebelievedthatnatureisfilledwithconflictspillingoverinto
society,andthebesthumanbeingsarethosewhoexhibitmoralvirtuewisdom,
justice,courage,andotheridealsregardlessofpersonallossorgain.44
Inthisvein,MartinHeidegger(18891976),theGermanexistentialphilosopher,
pointedtotheGreekidealofnobilityandtaughttheimportanceoffreelyandresolutely
adheringtopersonalprinciplesratherthansuccumbingtosocialpressurestoconform.
Personalintegrity,hebelieved,isinherentlygoodregardlessoftheresults.Practicing
personalintegrity,though,meansthatonemaynotcomfortablycoexistwitheveryone,
soeachpersonmustchoosehisorherlifestyleandcommitmentscarefully.45
Intheeighteenthcentury,theFrenchmanJeanJacquesRousseau(17121778)wrote
thatnatureinessenceisgood,andbecausehumanityispartofnature,humanbeings
tooarenaturallygood.Itfollowsthattoachievethehighestgood,onemuststriveto
bemostpurelynatural.Rousseaualsoheldthatcorruptioncomesonlywithcivilization,
andthatchildrenshouldberaisedinastateofsimplicity.46
WriterphilosopherHenryDavidThoreau(18171862)wroteinaspiritofnatural
nessandsimplicityin Walden,IwenttothewoodsbecauseIwishedtolivedeliber
ately,tofrontonlytheessentialfactsoflife,andseeifIcouldnotlearnwhatithadto
teach,andnot,whenIcametodie,discoverthatIhadnotlived.Everymorningwasa
cheerfulinvitationtomakemylifeofequalsimplicity,andImaysayinnocence,with
Natureherself.47Thoreaubelievedindevelopingonesinnerselfwhileleavingthe
exteriorenvironmentpristine.In Economy from Walden,hewrotethatmostofthe
luxuries,andmanyofthesocalledcomfortsoflife,arenotonlydispensable,but
positivehindrancestotheelevationofmankind.Inthissamespirit,manypeopleto
dayresisttechnologicalchanges,complexlifestyles,andartificialcreations.
TheFrenchwriterVauvenarguessummarizestheimportanceofnaturalness:
Naturalnessgetsabetterhearingthanaccuracy.Itspeaksthelanguageoffeeling,
whichisbetterthanthatoflogicandrationality,becauseitisbeautifulandappealsto
everyone.48

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Religiousleadersannouncevisionsandmakemoraljudgments,drawingonthe
authorityofasupremebeing(ormanygods).Saying,ItisthewillofAllah,the
prophetMuhammad(about570632)decreedthefivepillarsofIslamicfaith:
(1)therepetitionofthebelief,ThereisnoGodbutAllah,andMuhammadisthe
prophetofAllah,(2)prayerfivetimesdaily,(3)the30dayfastofRamadan,(4)alms
giving,and(5)pilgrimagetoMecca.Thesebeliefsandthereligiousandmoral
teachingsofthe Quran,theholybookofMuslims,areheldmostsacredbyover
723millionMuslimstoday.Similarly,nearlythreebillionadherentsofmanyother
religionsdefinetheethicalgoodasthewillofGod.49
Nootherbodyofthoughthasbeenembracedbysomanypeople,norhasanybeen
soinfluentialinhistory,ashasChristianity.AtthecoreofChristiancharacterformation
arethelifeandteachingsofJesusofNazareth.TheethicJesustaughtwastolove
Godandtolovehumanity:ThoushaltlovetheLordthyGodwithallthyheart,and
withallthysoul,andwithallthymind.Thisisthefirstandgreatcommandment.
Andthesecondislikeuntoit,Thoushaltlovethyneighborasthyself.Thereisno
othercommandmentgreaterthanthese.50WhetherbasedonChristianteachingor
not,abeliefinloveistheethicalidealofmillionsofpeople.

Will of God

Theideathatpleasure,broadlyinterpretedasphysicalenjoymentandavoidanceof
pain,isthehigheststateofgoodnessdatesbackatleasttoAristippus(about
435366B.C.).ThispupilofthephilosopherSocratesbelievedthatexperiencing
pleasureandavoidingpainshouldbethegoalsofhumanexistence,andthatdefinite
pleasureofthemomentshouldnotbepostponedforuncertainpleasureofthefuture.51
Tounderstandtheimportanceofthisbelief,considerthewarsthathavebeenfought
becauseofpassionbetweenmanandwoman,thestepspeopletaketoavoid
discomfortandpain,andthevaluepeopleplaceonselfsatisfactionindaytoday
affairs.In Reflections and Maxims,Vauvenargueswrote:

Pleasure

Theindifferencewedisplaytowardmoraltruthisduetothefactthatwedeterminetoindulge
ourpassionsinanyevent,andthatiswhywedonothesitatewhenactionbecomesnecessary,
notwithstandingtheuncertaintyofouropinions,tosatisfydesire.Itisoflittleconsequence,say
men,toknowwheretruthlies,ifweknowwherepleasurelies.52

Greatest Good for


the
Greatest Number

Twooftheprincipalarchitectsofthebeliefthatwhatisbestbringsthegreatestgood
forthegreatestnumberwerethenineteenthcenturypoliticalphilosophersJeremy
Bentham(17481832)andJohnStuartMill(18061873).53Theirmoralphilosophy,
utilitarianism,reflectstheofficialethicsofbothAmericandemocracyandMarxistcom
munism.Benthamwrote,Thegreatesthappinessofallthosewhoseinterestisinques
tionistherightandproper,andtheonlyrightandproperanduniversallydesirable,endof
humanaction.54Whenweweightheconsequencesofmoralbehaviorbyconsideringthe
bestinterestsofeveryoneinvolved,wearebeingethicalaccordingtoutilitarianideals.
PragmatismisaphilosophicalbeliefthatoriginatedintheUnitedStateswiththe
workofCharlesSandersPeirce(18391914),WilliamJames(18421910),and
JohnDewey(18591952).ManyregardpragmatismtobeAmericasmostoriginal
contributiontophilosophy.Manyalsoseeitasareflectionofasuperficialsociety.
Pragmatistsmaintainthatwhatistruemustbebasedonevidence,andthatphilosophical
beliefsshouldbeevaluatedintermsoftheroletheyplayinsolvinglifespractical
problems.Forpragmatists,theterm practicalappliestoallaspectsoflife,including
social,political,economic,andreligious.Ideasandactionsareconsideredgoodto
thedegreetheyhelpussolvelifesproblems.Pragmatismissummarizedinthissaying:
Thatwhichisgoodisthatwhichworks.

Pragmatism

Duty and Right


Action

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2

In Criticism of Practical Reason(1788)and Fundamental Principles of the


Metaphysics
of Morals(1785),theGermanphilosopherImmanuelKant(17241804)detaileda

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3 / The Importance of Ethics

agoodandethicalperson.Ontheotherhand,ifapersonseekstoharmanother,but
indoingsoactuallyhelpstheother,thisactisnonethelessimmoral.55
TheimportanceofpersonalconscienceanddutycanbeseeninthewordsofIsraeli
stateswomanGoldaMeir:IcanhonestlysaythatIwasneveraffectedbythequestion
ofthesuccessofanundertaking.IfIfeltitwastherightthingtodo,Iwasforit,
Leadership
regardlessofthepossibleoutcome.56
Inthefaceofethicalquestions,apersonwithcharactertriestosortoutrightfrom
viewofrightandwrong
wrong.Inthiseffort,traditionaldefinitionsof
goodhaveguidedWesternculture.Asyou
thathashadsignificant
influenceonthethinking considerthesubjectofcharacter,whatisyourmoralideal?Areyourvaluesreflectedin
ofWestern
bothyourpersonallifeandyourpubliclife?Individualsmustrememberthetruthofthe
civilization.Kant
saying,Peoplemuststandforsomething;otherwise,theywillfallforanything.
believedthatpeople
mustbetheirown
lawgivers,freely
Honesty as a Leadership Value
choosing
Honestyisthemostimportantleadershipvalue.Itisthesinglemostimportantingre
theirobligations,and
dientintheleaderfollowerrelationship.Theeffectiveleaderholdstruthasacentral
thatthese,inturn,
valueandfoundationforallothervalues.57ThisisamessageasoldastheBible
becometheirduty.
Knowthetruthanditwillsetyoufree.58ItisthemessageofShakespeare,whoad
Becausepeoplearefree
vised,thisaboveall:tothineownselfbetrue,anditmustfollowasthenightthe
todetermineethical
day,thoucanstnotthenbefalsetoanyman.59Anditisthemessageofsuccessful
beliefsandhavefree
leaderstoday.HerbKelleher,formerCEOofSouthwestAirlines,wasadmiredfor
choiceinmoral
bothhisbusinesssuccessandhisbasichonesty.Whenasked,Whatisthesecretto
dilemmas,allpeople
buildingagreatorganization;howdoyoucreateacultureofcommitment?Kellehers
must
answerwas:Beyourself.60
beresponsiblefortheir
TheBible,Shakespeare,andKelleheragreethatcharacterbeginswithtruth,that
ownactions.
truthisinsidetheperson,andthattheleadermustbetruetohisorhervalues.Thisis
Kantbelievedthata
whatThomasJeffersonmeantwhenhewrote:Inmattersofstyle,swimwiththe
personwithcharacter
currents;inmattersofprinciple,standlikearock.Characteriswhatyouare.Itis
willchoosedutyto
differentthanreputationwhichisfromotherpeople.Truecharacterisinyou.61
conscienceandwill
Inhisbook The Ethical Imperative,JohnDallaCostamakesthepointthatbeing
notsuccumbtobaseor
honestmeansmorethannotdeceiving.Italsomeansnotmakingpromisesyoucannot
expedientdesires.
keep,notmisrepresentingfactsanddata,nothidingbehindhalftruthsandevasions,
Further,hebelievedthat
notavoidingaccountabilityforyouractions.Theleadermustlivebytheprincipleof
ifanindividual
honestyandmustrewardhonestbehaviorinothers.62
actsfromagoodmotive
andasenseofduty,the
actisgoodregardlessof
Full-Swing Values
the
consequences.Thus,ifa Thereisaconceptinethicsthatcanbeusedtoassessthestrengthofonesvalues.It
personseekstohelp
isespeciallyimportantforpeopleinleadershippositions.Thisconceptis full-swing
another,butbecauseof values.Thinkaboutthesportofbaseball,inwhichafullswingisneededtohita
unforeseen
homerun.Anarrestedswingwillresultinlesssuccessatriple,double,single,or
circumstancestheresult foulball.Thesameistrueforquestionsofrightandwrong,andgoodandbad:In
isaworsenedcondition ethicaldilemmas,avalueshomerunresultsonlywhenonecompletesafullswing
fortheother,thehelper anddoesnotsufferaxiologicalarrest.Axiologyisthebranchofphilosophydealing
isnonetheless
withvalues,andethicsisappliedaxiology.63

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Afullswingcomprisesfivepoints,frombeginningthroughcompletion:64

Point1isto knowonesvalues.

Point2isto
Point3isto
Point4isto
Point5isto

cherishonesvalues.
declareonesvalues.
actononesvalues.
act habituallyononesvalues.

ConsiderthecasesofJim,Jane,Jack,Jill,andJohn,eachfacinganethicaldilemma
(suchaswhattodoaboutsafety,whattodoabouttaxes,whattodoaboutquality):
Jimknowswhathevaluesbuthasnotexaminedotheralternatives.Hisisan
unthinkingstancewithlittleornopersonalcommitment.Hehitsafoulball.
Janeknowswhatshevaluesandcherishesthisprivately.Sheexperiencesself
satisfactionwithhervalues.Shehitsasingle.

Jackknowswhathevalues,cherishesthispersonally,anddeclareshisvalues.
Hehitsadouble.
Jillknowswhatshevalues,cherishesthispersonally,declareshervalues,andacts
onhervaluesystem.Shetakesactionandacceptstheconsequences.Shehitsatriple.
Johnknowswhathevalues,cherishesthispersonally,declareshisvalues,acts
onthem,anddoesthishabitually.Johnhitsavalueshomerun,demonstrating
maximumstrengthofvaluesconviction.
SeeTable71foradepictionofthecasesnotedabove.

Points on the Swing

Knows values
Cherishes values

Table 71
Full-Swing Values

Jim

Jane

Jack

Jill

John

X
X

X
X

X
X

X
X

X
X

X
X
X

Declares values
Acts on values
Acts habitually on values

Topersonalizethesubjectofvaluesstrength,evaluateyourownvaluesfreedom,
responsibility,love,justice,andsoforth.Consideranethicaldilemmaforexample,
discriminationaccordingtogender,race,orreligioninwhichyourvaluesplayapart.
Askyourself,Areyourvaluesfullswing,ordoyouexperienceaxiologicalarrest?
Ineveryfieldscience,art,government,business,service,religionthehighest
levelofleadershipisfullswing.Atthislevelofleadership,theleaderisimpelledto
actbecausetheactitselfisdeemedgood,andfornootherreasonnotselfgainor
publicacclaim,butonlybecauseconsciencedictatesthattheactistherightthingto
do.Thequalityofdoingtherightthingfortherightreasoniscalledintegrity,anditis
possessedbyalltrulygreatleaders.
Anidealexampleoftheimportanceofvaluesandthepoweroffullswingleader
shipisthatofClaraBarton,founderoftheAmericanRedCross:
WhentheU.S.CivilWarbrokeoutinthe1860s,ClaraBartonwasworkingasaclerkinthe
U.S.PatentOffice.Hercompassionforsoldiersonthebattlefielddrovehertogetinvolvedby
organizingandundertakingsupplydeliveriestothefrontlines.Oncethere,thecouldntleave.
SheactedasanursetoUnionfieldsurgeons,earningherthenicknameTheAngelofthe
Battlefield.Afterthewar,sheheardabouttheInternationalRedCrosswhileonavisitto
Switzerland.Ittookher13yearsoflobbyingCongressforfundingbeforeshewasableto
establishtheAmericanRedCrossin1882.Sherantheagencyfor22years,fulfillingthe
promiseofaRedCrossthatwouldserveAmericansinwarandpeace.

Leadership and Values


Whyisitimportantforanorganizationtohavevalues,andwhatistheroleofthe
leaderinestablishingandenforcingvalues?Therearemanyideasonthesequestions,
butfewareasinfluentialasthoseofthephilosopherPlato.

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Platoanswersthesequestionsashelaysthegroundworkforhisbook The Republic.


HeretellsthemythofGygesandtheinvisiblering:Ayoungshepherdstumblesupona
magicringthathasthepowertomakethewearerinvisible.Immediately,hetakesadvan
tageoftheringtodothingshecouldneverdobeforeeavesdrop,steal,trespassand
inashorttime,heamasseswealth,killstheking,seducesthequeen,andrulestheland.65
Themoralofthestoryisthat,givenpowerwithoutaccountability,anindividual
maydoterribledeedsthatareharmfultoothers.Peopleneedthevaluesofajust
societyandtheoversightofwiseleaderstogoverntheiractions;otherwise,theymay
engageinselfishanddestructivebehavior.
Platos Allegory of the Cave
Seehumanbeingsasthoughtheywereinanundergroundcavelikedwellingwithitsentrance,
alongone,opentothelightacrossthewholewidthofthecave.Theyareinitfromchildhood
withtheirlegsandnecksinbondssothattheyarefixed,seeingonlyinfrontofthem,unable
becauseofthebondtoturntheirheadsallthewayaround.66

Inthisallegory,peopletrappedinthecaverepresenttheworldsignorant
masses.Theyseeonlyrepresentationsofobjects,thesightsandsoundsthatcanbe
discernedbythephysicalsenses.Theindividualwhoescapesthecavetowitness

thetruenatureofthingsis
administered
shapestheleadersvalues,whichinfluence
thephilosopher.Using
byphilosopherkings. hisorheractions.Forexample,wovenintothefabricofAfricansocietyistheconcept
intellect,philosophersare Theargumentcanbe of ubuntu. Ubunturepresentsacollectionofvalues,includingharmony,compassion,
ableto
madethat,inasimilar respect,humandignity,andcollectiveunity.ItisthatprofoundAfricansensethat
discernformsabstract,
way,every
eachofusishumanthroughthehumanityofotherhumanbeings,explainsformer
Leadership
12
immutabletruthsthatarethe workplaceneedshigh SouthAfricanPresidentNelsonMandela. UbuntuisoftendescribedthroughaZulu
realfoundationoftheuni
ethicalvaluesupheldby maxim:umuntu ngumuntu ngabantu.ArchbishopDesmondTutuoffersthis
verse.Thephilosopherwho strongandcaring
translation:Webelievethatapersonisapersonthroughotherpersons;thatmy
escapesthecaveknowsthe leaders.
humanityiscaughtupandboundupinextricablyinyours.68
truenatureofreality.
Itmustberecognized
The Republicis
thataleadermay
How Leader Behavior Influences
ultimatelyconcernedwith havefalseorharmful Employee Conduct and Organizational
thequestionofjustice.
valuesthatare
Platobelieved
injurioustoothers.The Reputation
thattoestablishjustice,one examplesofHitler,
Studiesshowthatpeoplewhoexcelinleadershiphaveasenseofpurpose,adeep
mustknowwhatisgood.
Stalin,andmanyother commitment,andafeelingthatwhattheydohasmeaningandcontributestoaworth
Therefore,philosopherswho tyrantsinhistory
whilecause.Theiractionsaredeeplyrootedinvalues.Leadingwithanunderstand
understoodtheformofthe canbecited.Thesecases ingofwhoyouareandwhatisimportantcanbetermedleadingfromwithinor
goodshouldruleaskings. onlypointmoreclearly managingbyvalues.69
Therestofsocietyshouldbe totheneedforcaring
Peoplewillforgivetheleaderwhofailstomanagebyobjectives,orisinefficient
organizedtofulfillthose
leaderswho
intheuseoftime,orfailstoachievethesmoothesthumanrelations;buttheyfindit
rulersdemands.67
arebothgoodand
difficulttoforgivetheleaderwhoisimmoralandnonprincipled.Suchapersonlacks
Platobelievedthat,forthe strong.
moralauthorityandisnottrustedorrespected.Evenasimportantasvisionisto
goodofallindividuals,a
Weneedtokeepin leadershipsuccess,moreimportantarevalues,becausethevaluesoftheleaderwill
republicisneeded,
mindthatculture
determinetherightnessandwrongnessofallthatheorshedoes.

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Whataleadersaysanddoesregardingvalueshasenormousinfluenceonothers.
Morethananymemo,directive,orbrassband,the actionsoftheleadercommunicate.
Theleadersactionssetthetoneforpeoplesbehaviortowardoneanotherandfor
performanceonthejob.Aneffectiveleaderaccomplishes,throughpersonalexample,
thebuildingofindividualcommitmentandgroupcooperationtowardaccomplishment
ofthetaskormission.Theleaderwhoishonest,unselfish,anddedicatedinhisown
actionshelpsthegroupsucceed.70
WhenWarrenBuffetttookoverasinterimchairmanofSalomonaftertheTreasury
auctioncrisis,hisfirstactionwastoinstructseniormanagerstoreportinstantaneously
anddirectlyanylegalviolationsormoralfailuresbySalomonemployees.Hetold
thefirmsassembledpersonnel:Losemoneyforthefirm,Iwillbeveryunderstanding;
loseashredofreputationforthefirm,Iwillberuthless.ExecutiveslikeBuffett
understandinstinctivelywhatresearchershavedocumentedacommitmenttobasic
valuessuchashonestyandresponsibilityiscrucialforbuildingtrust,andtrustisthe
bedrockoforganizationalsurvivalandgrowthoverthelongterm.71
Althoughhistoricallynegligent,itisinterestingtonotethatmoreandmorebusi
nessschoolsareteachingbasicprinciplesofethicalleadership.Almosthalfofall
businessschoolsnowrequireoneormorecoursesinethics,andbusinessethicsdoc
toralprogramshavebeenestablishedattheUniversityofPennsylvaniasWharton
SchoolandtheUniversityofVirginiasDardenSchoolofBusiness.72
Itissafetosaythataleadersvaluesystemwillbeknown.Itwontbeasecret
becauseitwillrevealitselfinthepoliciesanddecisionsshemakes,thewayshe
spendshertime,andforwhatshesacrifices.Ingeneral,aleadersbelieforvalue
systemwilldeterminehersuccess.Thefollowingaresixvaluesofcaringleadersin
everyfieldandlevelofresponsibility:
1. Honestyknowingoneselfandbeinghonestinalldealingswithothers.
2. Considerationdoinguntoothersasyouwouldhavethemdountoyou.
3. Responsibilitytakingtheattitudethatlifeiswhatyoumakeitandchoosingto

makeadifference.
4. Persistencebeingdetermined;ifatfirstyoudontsucceed,try,tryagain.
5. Excellencelivingbythemotto,Anythingworthdoingisworthdoingwell.
6. Commitmentviewingthegreatessentialsoflifeassomeonetoloveandsome

thingtodo.73

128

Theoverallvalueofthecaringleaderistoserveguidedbythe Golden Ruleof


treatingothersasonewouldliketobetreated.Inthebusinessworld,thismeans
servicetofourgroupsofpeople.Thecaringleaderfocusesonthewelfareof
(1) customersanticipatingtheirneedsandprovidingstateoftheartproducts;
(2) employeesprovidingahealthyworkenvironment,treatingthemwithfairness,
andhelpingthemachievetheirprofessionalpotential;(3) shareholdersmaintaining
astronggrowthrateandreturnoninvestment;and(4) communityexemplifyingthe
higheststandardsofethicalbehaviorandcontributingtothewellbeingofsociety.74
Valuesareimportantelementsofleadershipcharacterbecausetheyaffecteverything
apersondoesoris.Themoreyouunderstandyourvalues,thecleareryoucanbein
yourideasaboutlife,themoreconfidentyoucanbeinyouractions,andthemore
developedyouwillbeasaleader.Becauseoftheabilitytoinfluencemoralbehavior,
theleadershouldaddresstwoquestions:(1)WhatvaluesorprinciplesdoIwishto
promote?(2)Aremyactionshelpingaccomplishthatgoal?

Leadership

Personal Values
Allaspectsandinstitutionsofsocietyrequireleaderswhoarecompetent,caring,and
valuebasedcommittedtocertainidealsandgoals.Ausefulmodelandtoolthat
addressesthisissueis The Study of ValuesbyGordonAllport,PhillipVernon,and
GardnerLindzey,basedonEduardSprangers Types of Men.CompleteExercise71
todiscoveryourownvalueorientation.

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Exercise 71
Personal Values
What
Is Important to You?75

129

Each of the following questions has six possible responses. Rank these responses by
assigning a 6 to the one you prefer the most, a 5 to the next, and so on down to 1, the
least preferred of the alternatives. Sometimes you may have trouble making choices, but
there should be no ties; you should make a choice.
1. Which of the following branches of study do you consider most important?
a. philosophy
b. political science
c. psychology
d. theology
e. business
f. art
2. Which of the following qualities is most descriptive of you?
a. religious
b. unselfish
c. artistic
d. persuasive
e. practical
f. intelligent
3. Of the following famous people, who is most interesting to you?
a. Albert Einsteindiscoverer of the theory of relativity
b. Henry Fordautomobile entrepreneur
c. Napoleon Bonapartepolitical leader and military strategist
d. Martin Luther-leader of the Protestant Reformation
e. Michelangelosculptor and painter
f. Albert Schweitzermissionary and humanitarian
4. What kind of person do you prefer to be? One who
a. is industrious and economically self-sufficient
b. has leadership qualities and organizing ability

c. has spiritual or religious values

6. In which of the following would you prefer to participate?

d. is philosophical and interested in knowledge

a. business venture

e. is compassionate and understanding toward others

b. artistic performance

f. has artistic sensitivity and skill

c. religious activity

5. Which of the following is most interesting to you?

d. project to help the poor

a. artistic experiences

e. scientific study

b. thinking about life

f. political campaign

c. accumulation of wealth
d. religious faith
e. leading others
117

f. serving others

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7. Which publication would you prefer to read?
a. History of the Arts
b. Psychology Today
c. Power Politics
d. Scientific American
e. Religions Today
f. The Wall Street Journal
8. In choosing a spouse, whom would you prefer? One who
a. likes to help people
b. is a leader in his or her field
c. is practical and enterprising
d. is artistically gifted
e. has a deep spiritual belief
f. is interested in philosophy and learning
9. Which activity do you consider more important for children?
a. scouting
b. Junior Achievement
c. religious training
d. creative arts
e. student government

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

f. science club
10. What should be the goal of government leaders?
a. promoting creative and aesthetic interests
b. establishing a position of power and respect in the world
c. developing commerce and industry
d. supporting education and learning
e. providing a supportive climate for spiritual growth and development
f. promoting the social welfare of citizens
11. Which of the following courses would you prefer to teach?
a. anthropology
b. religions of the world
c. philosophy
d. political science
e. poetry
f. business administration
12. What would you do if you had sufficient time and money?
a. go on a retreat for spiritual renewal
b. increase your money-making ability
c. develop leadership skills
d. help those who are less fortunate
e. study the fine arts, such as theater, music, and painting
f. write an original essay, article, or book

13. Which courses would you

governmenta

and occupational skills

promote if you were able to

l studies

d. social problems and issues

influence educational

b. philosophy

e. spiritual and religious studies

policies?

and science

f. music and art

13

a. political and

Leadership

c. economics

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7 / The Role of Values and Ethics at
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14. Which of the following news items would be most interesting to you?
a. Business Conditions Favorable
b. Relief Arrives for Poor
c. Religious Leaders Meet
d. President Addresses the Nation
e. Whats New in the Arts
f. Scientific Breakthrough Revealed
15. Which subjects would you prefer to discuss?
a. music, film, and theater
b. the meaning of human existence
c. spiritual experiences
d. wars in history
e. business opportunities
f. social conditions
16. What do you think the purpose should be for space exploration?
a. to unify people around the world
b. to gain knowledge of our universe
c. to reveal the beauty of our world
d. to discover answers to spiritual questions
e. to control world affairs
f. to develop trade and business opportunities
17. Which profession would you enter if all salaries were equal and you felt you had equal
aptitude to succeed in any one of the six?
a. counseling
b. fine arts
c. science
d. politics
e. business
f. ministry
18. Whose life and works are most interesting to you?
a. Madame Curiediscoverer of radium
b. Katherine Grahambusinesswoman
c. Margaret ThatcherBritish prime minister
d. Mother Teresareligious leader
e. Martha Grahamballerina and choreographer
f. Harriet Beecher Stoweauthor of Uncle Toms Cabin
19. Which television program would you prefer to watch?
a. Art Appreciation
b. Spiritual Values
c. Investment Opportunities
d. Marriage and the Family
e. Political Power and Social Persuasion
f. The Origins of Intelligence
20. Which of the following positions would you like to have?
a. political leader
b. artist
c. teacher
d. theologian

e. writer
f. business entrepreneur

13

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Scoring:
Step 1:
For each lettered response to each question, insert your score in the appropriate space in
the following chart. Note that the letters are not always in the same column.
Example: a. 2

b.

c.

d.
III

II

e. 3
IV

f. 1
V

VI

1.

a.

e.

f.

c.

b.

2.

f.

e.

c.

b.

d.

d.
a.

3.

a.

b.

e.

f.

c.

d.

4. d.

a.

f.

e.

b.

c.

5. b.

c.

a.

f.

e.

d.

6.

a.

b.

d.

f.

c.

f.

a.

b.

c.

e.
e.

e.

7. d.
8.

f.

c.

d.

a.

b.

9.

f.

b.

d.

a.

e.

c.

c.

a.

f.

b.

e.

10. d.
11.

c.

f.

e.

a.

d.

b.

12.

f.

b.

e.

d.

c.

a.

c.

f.

d.

a.

e.

a.

e.

b.

d.

c.

e.

a.

f.

d.

c.
d.

13. b.
14.

f.

15. b.
16. b.

f.

c.

a.

e.

17.

c.

e.

b.

a.

d.

f.

18.

a.

b.

e.

f.

c.

d.

19.

f.

c.

a.

d.

e.

b.

20.

e.

f.

b.

c.

a.

d.

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

Totals
Step 2:
Add the scores for each column, and record the total in the appropriate space.
Step 3:
Mark the total for each personal value column in the appropriate place in Figure 71.
Connect the scores with straight lines to form a profile of your overall value orientation.
See the example in Figure 72.

Interpretation:
A description of each personal value follows:
Theoretical. The primary interest of the theoretical person is the discovery of truth. In the
laboratory, field, and library, and in personal affairs as well, the purpose of the theoretical
person is to know the truth above all other goals. In the pursuit of truth, the theoretical
person prefers a cognitive approach, one that looks for identities and differences, as
opposed to the beauty or utility of objects. This persons needs are to observe, reason, and
understand. Because the theoretical persons values are empirical, critical, and rational, this
person is an intellectual and frequently is a scientist or philosopher. Major concerns of such
a person are to order and systematize knowledge and to understand the meaning of life.
Economic. The economic person is interested in what is useful. Based originally on the
satisfaction of bodily needs and self-preservation, the interest in usefulness extends to the
practical affairs of the business worldthe production and marketing of goods, and the
accumulation of wealth. This type of person is enterprising and efficient, reflecting the
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7 / The Role of Values and Ethics at
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Score
120

Figure 71
Your Personal Value
Orientation

Score
I

II

III

IV

VI

120

110

110

100

100

90

90

80

80

70

70

60

60

50

50

40

40

30

30

20

20
Economic

Aesthetic

Social

Political

Religious

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

Theoretical

stereotype of the average businessperson. Economic values sometimes come into conflict
with other values. The economic person wants education to be practical and regards
unapplied knowledge as wasteful. Great feats of engineering and application result from
the demands economic people make on people in science. Economic values may conflict
with aesthetic values, such as in the advertising and promotion of products and services,
except when art meets commercial ends. In relationships with people, the economic
person is more likely to be interested in surpassing others in wealth than in dominating
them politically or in serving them socially.
Aesthetic. The aesthetic person finds highest satisfaction in form, harmony, and beauty.
The value of each single experience is judged from the standpoint of grace, symmetry,
and fitness. The aesthetic person regards life as a procession of events, with each
impression to be enjoyed for its own sake. An aesthetic person may or may not be a
creative artist; the aesthetic person finds chief interest in the artistic episodes of life. Unlike
the theoretical person, the aesthetic person usually chooses, with the poet John Keats, to
consider truth as equivalent to beauty, or agrees with H. L. Mencken that to make a
thing charming is a million times more important than to make it true. 76 In the
economic sphere, the aesthetic person often sees the process of manufacturing,
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Score
Figure 72
Example: Personal Value
Orientation

Score

120

120
I

II

III

IV

VI

110

110

100

100

90

90

80

80

70

70

60

60

50

50

40

40

30

30

20

20

Theoretical

Economic

Aesthetic

Social

Political

Religious

advertising, and trade as a destruction of important aesthetic values. In social affairs, the
aesthetic person may be said to be interested in people, but not necessarily in their
welfare. The aesthetic person tends toward individualism, self-sufficiency, and idealism in
personal relations.
Social. The highest value for this type of person is love. The altruistic or philanthropic
aspect of love is the interest of the social person. Humanistic by nature, the social person
prizes other people as ends in and of themselves, and not as tools or means to other
goals. Therefore, the social person is kind, sympathetic, and helpful toward others. Such a
person may find the economic and political values to be cold and inhumane. In contrast
to the political type, the social person regards love instead of power as the most suitable
form of human relationship. In purest form, social values are totally unselfish.
Political. The political person is interested in power and influence, although the persons
activities may not fall within the narrow field of politics. Whatever the vocation, the
political person seeks to be a Machtmensch, an individual who is powerful. Leaders in any
field usually will have a high interest in power and status. Because competition and
struggle play a large part in all of lifebetween the sexes, between groups, between
nations, and between individualsmany philosophers have viewed power as the most
universal and most fundamental of human motives. In certain people, however, the desire
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for direct expression of power is uppermost, and their primary values are social influence
and the exercise of authority.
Religious. The highest value of this type of person is spiritual peace. A religious person may
or may not belong to an organized religion; people are religious if they but seek to
comprehend the cosmos as a whole and to relate themselves to its embracing totality.
Religious people have as their goal the creation of the highest and most satisfying value
experience. Some people who are religious focus on events, people, and experiences in
this world; that is, they experience meaning in the affirmation of life and active
participation therein. With zest and enthusiasm, they see something divine in every event.
On the other hand, some religious people are transcendental mystics, seeking to unite
themselves with a higher reality by withdrawing from life. This type is ascetic, and like the
holy men of India, finds inner peace and unity through self-denial and meditation. In
many individuals, the affirmation and negation of human existence alternate to yield the
greatest value satisfaction.

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7 / The Role of Values and Ethics at
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Inevaluatingyourpersonalvalues,rememberthefollowingpoints:

Copyright201TeMcGawHlCompnis,I.Arghtdev

andwomen?Dotheyreflectyourpersonalvalues?
Byforcingchoicesamongsixpersonalvalues,thequestionnaireprovidesan
notmeasure
overallvalueorientation.Thismeansthatyourlowestpersonalvaluemaybemore
negativevalues,suchasgreedorviolence.
importanttoyouthanthehighestpersonalvalueofanotherindividual.Similarly,
Leadership
Cultureinfluencespersonalvalues.Throughtheprocessesof
yourhighestmaybelessimportanttoyouthanthelowestofanotherindividual.
138
Thequestionnairemeasurestherelativestrengthofsixpersonalvalues,sothatyou
imprinting,model
ing,andsocialization,peoplelearntoplacehigherimportanceon obtainapictureof youroverallvalueorientation,oranunderstandingofwhatis
mostimportanttoyou.
somevalues
Ideally,apersonslifewillallowmaximumexpressionofpersonalvalues.This
overothers.Thus,theprestigeaffordedthemonarch,priest,
businessperson,
helpsexplaintheachievementsandsatisfactionsoftheoreticalAlbertEinstein,
economicJohnD.Rockefeller,aestheticLeonardodaVinci,socialJane
scientist,artist,andteacherdependsonthevaluespromotedby
eachsociety.Inthe
Addams,politicalElizabethI,andreligiousMartinLuther.
Pygmyculture,forexample,themalewiththegreatestsocial
Basicvaluesystemsarefairlyfirmbythetimemostpeoplereachadulthood.Ideas
esteemusuallyisnot
aboutwhatisimportantarewellestablishedandareunlikelytochangeunlessa
thestrongest,wealthiest,mostspiritual,mostartistic,ormost
significantemotionaleventtakesplace.Formostpeople,fewexperiencesare
intelligent;rather,he
significantoremotionalenoughtodisruptbasicvaluesformedduringchildhood
istheonewhosharesmostgenerously.ConsiderAmericansociety: andadolescence.Asarule,ifapersonchangesbasicvaluesduringtheadultyears,
Whatarethe
itisonlybecauseasituationisexperiencedthatpreviousvaluescannotresolve.77
primaryvaluesforpeopleintheUnitedStatestoday?Aretheythe
Differentorganizationsreflectandendorsedifferentvalues,andeachorganiza
sameformen
tionssuccessdependsonhavingpeopleinit,especiallyleaders,whopromoteits
valuesystem.Somepeoplemaybeideallysuitedfor theoreticalorganizations
suchasuniversities, economicorganizationssuchascorporations, aestheticorgani
zationssuchasperforminggroups, socialorganizationssuchashumanservice
agencies, politicalorganizationssuchaspoliticalparties,or religiousorganiza
tionssuchaschurches,synagogues,andmosques.Mismatchescanbestressfulfor
boththeindividualandtheorganization.Examplesincludethesocialpersonwho
givesawaythestore,theindividualwhousesreligiouspositionforpersonal
power,andtheartcuratorwhosepriorityisprofit.Consideryourownvalues.
Whattypeoforganization,ifany,wouldbemostappropriateforyou?78
Allsixvaluesonthequestionnairearepositive.Thequestionsdo

Remember,thepersonalvaluesquestionnairedoesnotmeasureotherimportant
factors,suchasaptitude,personalinterests,andindividualtemperament,nordoesit
measurelevelsofmorality,acriticalelementinleadershipandhumanrelationships.
Finally,rememberthatdifferentvaluescanactuallyenrichagrouporanorganization.
Inthisspirit,usethefollowingthoughtasaguide:Ourerrorsandourcontroversies
inthesphereofhumanrelationsoftenarisefromlookingonpeopleasthoughthey
couldbealtogetherbad,oraltogethergood.79
Exercise72canbeusedtoclarifyindividualandorganizationalvalues.

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Exercise 72
Values Auction

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We are not born with values, but we are born into cultures and societies that promote,
teach, and impart their values to us. The process of acquiring values begins at birth. But it
is not a static process. Our values change continually throughout our lives. For example,
as children, our highest value might have been play; as adolescents, perhaps it was peer
relationships; as young adults, our highest value may be raising children or the work we
do. For many older people, service to others is the highest value. We are formed largely by
the experiences we have, and our values form, grow, and change accordingly.80
Because values are important in an individuals personal, social, and occupational
adjustment, it is important to understand basic value patterns. This exercise will help you

Determine those life values that are of greatest importance to you.

Explore the degree of trust you have in the group.

Examine how well you compete and cooperate.

Consider how your values affect your decisions regarding personal and professional life
goals.

Auction Rules:

During this values auction, you will have the opportunity to buy, and thus own, any of the
values listedif your bid is highest. Owning a value means you have full rights and privileges to do with the value whatever you choose at the conclusion of the exercise. Follow
these rules:
1. Gather in a group for the purpose of having an auction for the 20 values listed on the
Values Auction Sheet.
2. Choose one person to be the auctioneer.
3. Each person should receive 10 tokens valued at $100 each to be used for bidding.
Only these tokens will be accepted as payment for any value purchased.
4. You may elect to pool your resources with other group members in order to purchase a
particularly high-priced value. This means that two, three, four, or more people may
extend a bid for any one value. You are allowed to participate, and win, in such a pool
one time only. If you pool, but lose, you are allowed to pool again.
5. The auctioneers task is to collect the highest number of tokens possible in the course
of the auction. After the auction has begun, no further questions will be answered by
the auctioneer. Allow 5 to 10 minutes for participants to budget desired amounts for
preferred values. Notice that these amounts may change during the course of the
auction. Use the Values Auction Sheet to record budgeted amounts and to keep a
record of winning bids.
6. Begin the auction.

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Values Auction Sheet

1. All the food and drink you


want without ever getting fat
2. Freedom to be and do what
you want in life
3. A chance to direct the destiny
of a nation
4. The love and admiration of
good friends
5. Travel and tickets to any
cultural or athletic event as
often as you wish
6. Complete self-confidence with
a positive outlook on life
7. A happy, healthy family
8. Recognition as the most
desirable person in the world

Amount I

Highest Amount

Top

Budgeted

I Bid

Bid

9. A long life free of illness


10. A complete library with all the
time you need to enjoy it

14

11. A deep and satisfying religious


faith

Leadership

12. A lifetime of financial security


and material wealth
13. A lovely home in a beautiful
setting
14. A world without prejudice and
cruelty
15. A world without sickness and
poverty
16. International fame and renown
for your achievements
17. An understanding of the
meaning of life
18. The chance to be a contestant
on a Survivor TV episode
19. The highest success in your
chosen profession
20. A deep and satisfying love
with someone

Discussion:
At the conclusion of the values auction, consider the following questions:
1. What values did you win that are truly important to you? What values did you miss?
2. How competitive and cooperative were you during the values auction? Does this
suggest a need to be more aggressive if you are going to achieve what is important to
you? Does this indicate a need to be more cooperative and open to strategic alliances?
3. Are you living your life in line with your values? Do your work, community, and
personal life conditions support your value system?

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After completing the values auction, people can discuss and agree upon core values,
usually three, for the organization or group. These values should be the stars that guide
members of the organization in all moral dilemmas. They should be the hills worth dying
on, or the principles worth losing ones position or membership to uphold.
Disputes can often be avoided if people will discuss their value systems and find points
of common interest and agreement. This situation is pictured in Figure 73.

Figure 73
Core Values Are Points
of Common Interest

Values of
Person or
Group
A

Values of
Person or
Group
B

Additional
Values

Core
Values

Additional
Values

142

Leadership
Through discussion, shared valuesthose that define the basic character of the group,
tribe, or familycan be emphasized. For example, shared values may represent the
Catholic church, the Cherokee tribe, the Smith family, or a particular business organization.
Additional individual values at the fourth, fifth, and sixth levels can serve to enrich a
community, especially if there is tolerance and appreciation of diversity. 81

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Organizational Ethics
Inhisbook Management: Tasks, Responsibility, Practices,PeterDruckersuggests
thatonceanorganizationreachesthesizeof1,000employees,workrulesshouldbe
developedtomaximizeefficiencyandserveasaguideforemployeeconduct.Sucha
codeofconductcanbeimportantindeterminingthenature,reputation,andsuccess
oftheorganization.82Thebestworkrulesmeetthefollowingcriteria:Theyreflect
theethicalidealsoftheownership,or,inthecaseofpublicorganizations,thepublic
trust;theyarereviewedperiodicallyforneededrevisions;theyarefewinnumber;
theyarestatedclearly;theyarecommunicatedtoallemployees;andtheyapply
equallytoallemployees,regardlessoflevelofauthorityornatureofduties.
Acomprehensivecodeofethicsforanorganizationincludesguidelinesineachof
thefollowingareas:

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

Government relations.Howdoestheorganizationpayitstaxesandobeynational
andinternationallaw?
Employee relations.Howdoestheorganizationdealwithemployeewelfareand
grievances?
Business relations.Howdoestheorganizationdealwithsuppliersandcompetitors?
Production.Whatarethestandardsofqualityfortheorganizationsproductsand
services?
Consumer relations.Howdoestheorganizationpriceandadvertiseitsproducts
andservices?
Community and environmental relations.Whataretheeffectsoftheorganization
onitssocialandphysicalenvironment?

Forexample,Procter&Gamblehasanethicalcommunityandenvironmental
qualitypolicy,asfollows:
Procter&Gambleiscommittedtoprovidingproductsofsuperiorqualityandvaluethatbestfillthe
needsoftheworldsconsumers.Tocarryoutthiscommitment,itisProcter&Gamblespolicyto

Ensureourproducts,packaging,andoperationsare safeforouremployees,

Continuallyassessourenvironmentaltechnologyandprograms,and monitorprogramstoward

consumers,andthe

environmentalgoals.

environment.

Provideourconsumers,customers,employees,communities,publicinterestgroups,andothers

Reduceorpreventthe environmental impactofourproductsandpackagingin

withrelevantandappropriate factual informationabouttheenvironmentalqualityofP&G


products,packaging,andoperations.

theirdesign,

Ensureeveryemployeeunderstandsandis responsible and accountableforincorporating

manufacture,distribution,use,anddisposalwheneverpossible.
Meetorexceedtherequirementsofallenvironmental laws and regulations.

environmentalqualityconsiderationsindailybusinessactivities.
Haveoperatingpolicies,programs,andresourcesinplaceto implementourenvironmentalqual
itypolicy.83

ThemisdeedsoforganizationssuchasEnron,ArthurAndersen,WorldCom,and
othershavemovedethicstocenterstageinAmericanSociety.84Respondingtoa
seriesofcorporatescandals,theU.S.CongresspassedtheSarbanesOxleyActin
2002toimproveandmaintaininvestorconfidence.Thelawrequirescompaniesto
havemoreindependentboardsofdirectors,toadherestrictlytoaccountingrules,and
tohaveseniormanagerspersonallysignoffonfinancialresults.Violationsresultin
heavyfinesandcriminalprosecution.Thetimeandmoneycostsofcomplianceare
high,buteffortstomeettherequirementscanreducethelikelihoodofmisdeeds.85
Organizationalethicsisanissuethatconcernsvirtuallyeveryonecustomers,
employees,owners,andcitizensatlarge.Inhisinfluentialbook Vanguard

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Management,JamesOTooleidentifiesthekeycharacteristicsofethicalandsuc
cessfulorganizations:

Theytrytosatisfyalltheirconstituenciescustomers,employees,owners,suppliers,
dealers,communities,andgovernments.Theysubscribetotheutilitarianideal
thegreatestgoodforthegreatestnumber.
Theyarededicatedtohighandbroadpurposes.Profitisviewedasanessential
meanstoahigherendhumanserviceandqualityoflife.
Theyarecommittedtolearning,investingenormousresourcesandeffortto
remainingcurrentandresponsivetochange.Theyviewemployeegrowthand
developmentasacriticalfoundationofbusinesssuccess.
Theytrytobethebestatwhatevertheydo.Theirperformancestandardsrise
continually.Excellenceinproductandserviceisanorganizationwidecommitment
andsourceofpride.86

OneofthemostinfluentialguidelinesforethicsatworkcomesfromRotaryInter
national.Manygenerationsofleadersfromallareasoftheworldhavebeentaughtto
testtheiractionsagainstfourbasicquestions:
1.

Is it the truth?

Is it fair to all concerned?


Will it build goodwill and better relationships?
4. Will it be beneficial to all concerned?87
2.
3.

Why Are Ethics


at Work Important to Leaders?
Thefollowingarefivegoodreasonstobeconcernedaboutleadershipethics:

BernardEbbers,formerCEOofWorldCom,isservinga25yearprisonsentence
forfraudandconspiracy.
JeffreySkilling,formerCEOofEnron,isservinga24yearprisonsentencefor
securitiesfraudandinsidertrading.
JohnRigas,formerCEOofAldelphiaCommunications,isservinga12year
prisonsentenceforconspiracyandbankfraud.
DennisKozlowski,formerCEOofTyco,isservingan8yearprisonsentencefor
grandlarcenyandfalsifyingbusinessrecords.88
BernardMadoffisservinga150yearprisonsentenceforhisPonzischeme
againstinvestors.
Inherexcellentbook Value Shift,LynnSharpPainecitesavarietyofmotiveslink

146
14

ingleadersandethicsatwork:(1)Oneexecutivebelieveshighethicalstandardsand
businesssuccessarepositivelyrelated;(2)anotherseesethicalcommitmentasa
basisforbuildingcustomertrust;(3)anotherbelievesareputationforintegritywill
helpattractandkeepthebestemployees;(4)anotherwantshiscompanytobearole
modelforsociety;(5)anotherwantstoavoidanyconflictwiththelaw;and(6)another
answerssuccinctlyandpragmatically,60 Minutes.Misconductthreatensleadersat
alllevelsofresponsibility;eventhosewhoarenotpersonallyinvolvedcansuffer
reputationalandfinancialdamage.89
Thesocialandeconomiccostsofethicalmisconductcaninclude:(1)lossof
customersandsales;(2)increasedturnoverandlossofgoodemployees;(3)demoralized
andcynicalmanagersandworkers;(4)lossofownershipequity;(5)highoperatingcosts
duetomisspentenergyandpoorexecution;(6)additionallegalexpensesandpossible
fines,penalties,andsettlementcosts;(7)highfundingcostsimposedbylendersand
investors;(8)lossofpublictrustandgoodwill;and(9)lossoffinancialviabilityand
ultimatefailureoftheenterprise.90

Leadership
Leadership

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Forsomeleaders,theconcernforethicsatworkislessaboutdefensivemeasures
anddamagecontrolandmoreaboutprincipledleadership.Theseleadersadhereto
highstandardsofmoralreasoningandvalueidealssuchastruth,trust,andrespectas
thebuildingblocksofasuccessfulorganization.Withtheseleaders,thereislittle
discussionaboutriskpreventionandpublicopinion.Theirbehaviorisaboutrespon
sibilityanddoingwhatisright because it is right.Theresultisemployeeswhotake
prideintheirorganizationandengageindiscretionarybehaviorbeyondthedefined
requirementsofthejob.91

Ethical Climates of Organizations


Indealingwithmoraldilemmasregardingpeople,products,prices,andprofits,
organizationstypicallyreflectoneofthreeethicalclimates:(1)profitmaximizing;
(2)trusteeship;or(3)qualityoflifemanagement.Eachclimateprovidesdifferent
levelsoforganizationalsupportforethicaldecisionmaking.92
Exercise73presentsadescriptionofeachclimateon14ethicaldimensions.As
youcompletetheexercise,youwillseehowdifferentethicalclimatesinfluence
moraljudgmentsandresultindifferentexperiencesforemployees,customers,and
citizens.Asyoureadthedescriptions,askyourselfwhattypeoforganizationyou
respect;whattypeoforganizationyouhave;andwhatyoucandotoinfluencethe
ethicsofyourorganization.

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Exercise 73
Organizational
Ethics93

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Evaluate your organization by circling the appropriate description of the prevailing


climateprofit-maximizing, trusteeship, or quality-of-life managementfor each of the
14 ethical dimensions listed in the first column.
Profit-Maximizing

Trusteeship

What is good for me is what

What is good for my

What is good for humankind

counts.

organization is what
counts.

is good for my organization


and ultimately is best for me.

I am a rugged individualist
and will do as I please.

I am an individualist, but I
recognize the value of employee participation in the

Democratic management is
fundamental to a successful
organization.

3. Attitude toward profit

I seek as much profit as the


market will bear.

I want a substantial profit.

Profit is necessary, but not


to the exclusion of other
considerations that influence human welfare.

4. Attitude toward wealth

My wealth is more important than other peoples


feelings.

Money is important, but


so are people.

Other peoples needs are


more important than my
wealth.

5. Labor relations

Labor is a commodity to be
bought and sold.

Labor has certain rights


that must be recognized.

It is essential to preserve
employee dignity, even if
profit is reduced.

6. Consumer protection

Let the buyer beware.

Let us not cheat the


customer.

Consumer welfare comes


first; satisfaction is guaranteed.

7. Self-interest versus
altruism

My interest comes first.

Self-interest and the


interests of others are
considered.

I will always do what is in


the best interest of all
concerned.

8. Employee relations

Employee personal
problems must be left at
home.

I recognize that employees


have needs and goals
beyond economics.

I employ the whole person


and am concerned with
achieving maximum employee welfare.

9. Management
accountability

Management is accountable
solely to the owners.

Accountability of management is to the owners,


customers, employees,
and suppliers.

Accountability of management is to owners,


customers, employees,
suppliers, and society in
general.

10. Attitude toward


technology

Progress is more important


than peoples feelings.

Technology is important,
but so are people.

Human needs are more important than technology


advances.

11. Minority relations

Minorities have their place


in society, but not with me.

Some people are more


important than others, and
they should be treated
accordingly.

Everyoneregardless of
age, color, creed, or sex
should be treated equally.

12. Attitude toward


government

Government is best when it


stays out of my way.

Government is a necessary
evil.

Business and government


should work together to
solve societys problems.

13. Humanenvironment
interface

The environment exists for


economic ends.

People should control


and manipulate the
environment.

People must preserve the


environment for the highest
quality of life.

14. Aesthetic values

Aesthetic values are a low


priority.

Aesthetic values are OK,


but not to the exclusion
of economic needs.

Aesthetic values must be


preserved, even if economic
costs are increased.

Ethical Dimension
1. Social definition of good

2. Democracy at work

Quality-of-Life Management

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

decision-making process.

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Scoring:
Assign a score of 1 to each profit-maximizing response, 2 to each trusteeship response,

and 3 to each quality-of-life


trusteeship, and qualitymanagement response. Add
the scores and enter the total of-life management
here:
.
correspond with

14

Interpretation:

Leadership
Kohlbergs levels of

moralityI, II, III. ProfitThe terms profit-maximizing, maximizing reflects

preconventional morality.
In this case, the organizations focus is on self-gain and avoidance of punishment.
Trusteeship reflects conventional morality. The organization behaves to conform to the
expectations of others and to satisfy higher authorities. Quality-of-life management reflects
postconventional morality. Here, the ethical climate of the organization is to do what is
right, over and above self-interest and apart from the influence of others. With this climate,
ethical conduct is based on the highest moral principles. Use your total score to determine
your organizations overall climate and level of morality.
Level of Morality
Scores

Profit-maximizinglevel I, preconventional

1423

Trusteeshiplevel II, conventional

2432

Quality-of-life managementlevel III, postconventional

3342

The following is an example of a quality-of-life managementlevel III company credo:


We will be honest and trustworthy in all our dealings. We will treat every individual
with respect and dignity. We will follow the Golden Rule in all matters. We will strive
for excellence in all work performed. We will obey the laws of our land in fact and in
spirit. We will always do the right thing in every situation to the best of our abilities.
If we fail in abiding by these principles, we will do whatever is needed to make amends.

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Althoughmanyorganizationshaveacodeofethics,farfewerhaveacomprehen
siveethicsprogramthatincludestraining,proceduresforreportingviolations,and
disciplineforviolations.Only43percentincludeethicsinperformancereviewsand
23percenthaveacomprehensiveethicsandcomplianceprogram.94Maintainingcon
sistentethicalbehaviorbyallemployeesisanongoingchallenge.Whataredanger
signsthatanorganizationmaybeallowingorevenencouragingunethicalbehavior?
1.

Failuretoestablishawrittencodeofethics.

2.
3.
4.
5.
6.

Failuretoincludeethicalconductaspartofperformanceappraisal.
Unwillingnesstotakeanethicalstandthatmayimposefinancialcost.
Considerationofethicssolelyasalegalissueorpublicrelationstool.
Lackofclearproceduresforhandlingethicalproblems.
Condoningunethicalleadershippractices.95

Whatisthecentralsolutionformaintaininganethicalworkenvironment?Leaders
atalllevelsareselectedandrewardedfortheirperformanceinmeetingbothintegrity
andbusinessstandards,andifviolationsoccur,evenleaderswhowereotherwisesuc
cessfulareheldaccountableanddisciplined,sendingapowerfulmessagethatethical
behaviorisvaluedandwillbeupheldineveryinstance.96
Thequestionmaybeasked,Wontqualityoflifemanagementorganizationsfail
incompetitionwithroughriding,profitmaximizingorganizations?Researchdoes
notbearthisout.Datashowapositiveandsignificantrelationshipbetweentheethical
climateoforganizationsandthelevelofprofit.Thehighertheethicalclimate,the
higherthelevelofprofitwhencomputedoveraperiodofyears.Incontrast,examples
fromEnrontoWorldcomshowthenegativeconsequencesofunprincipled,profit
maximizingmorality.97
Increasingly,organizationsarebeingheldtohighstandardsinbothmoraland
financialdimensions.Corporatereputationrankings,employeemoralesurveys,
customersatisfactionrecords,andqualityperformancereportsareusedasmeasures
ofsuccessthathavebottomlinefinancialimpact.Thebestorganizationsarethose
thatsatisfyboththesocialandfinancialexpectationsoftheirconstituencies.98
LynnSharpPainearguesthatethicscountsisabettersloganthanethicspays,
whichcastsethicalcommitmentasonlyaservanttofinancialinterests.Ethics
countsembracesvaluesandmoralityasfullpartnersinthequestforoutstanding
performance.Thisphilosophyofbusinessrecognizestheintrinsicworthofother
humanvalues,andtakesmoralconsiderationsseriouslyintheirownright,overand
abovematerialgain.99

The Tylenol Story


ThereisnobetterexampletoshowhowethicscountsthantheJohnson&Johnson
Tylenolcrisis.WhenCEOJamesBurkeandotherexecutivesofthecompanywere
unabletosolvethemysteryofsevendeathslinkedtothecompanyspopularTylenol
capsules,theytookthedramaticandunprecedentedactionofimmediatelyremoving
31millionbottlesofthepainrelieverfromstoresandinventoryoutofconcernforthe
safetyofthepublicandtoavoidanyfurtherdeathsassociatedwiththeproduct.At
thattime,TylenolwasJohnson&Johnsonsmostimportantbrandname,accounting
for8percentofannualsalesand16percentto18percentofnetprofit.HadJohnson
&Johnsonsmotivesbeenviewedaspurelymonetaryandselfish,thereputationand
ensuingpositivefinancialconsequencesofitsactionswouldhavebeenverydifferent.
TheJohnson&JohnsonTylenolcrisisdemonstratesclearlyhowthewellbeingof
societyandthewellbeingofanorganizationareinextricablyrelated.100

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The WorldCom Case


IncontrasttotheTylenolstory,considertheroleofethicsinTheRiseandFallof
WorldCom.
BernieEbbersbuiltWorldCom,Inc.(nowpartofVerizon,Inc.)intooneofthe
worldslargesttelecommunicationsfirms.Yetheandchieffinancialofficer(CFO)
ScottSullivanhavebecomebetterknownforcreatingamassivecorporateaccounting
fraudthatledtothelargestbankruptcyinU.Shistory.Twoinvestigativereportsand
subsequentcourtcasesconcludedthatWorldComexecutiveswereresponsiblefor
billionsinfraudulentorunsupportedaccountingentries.Howdidthismammothac
countingscandaloccurwithoutanyoneraisingalarm?EvidencesuggeststhatEbbers
andSullivanheldconsiderablepowerandinfluencethatpreventedaccountingstaff
fromcomplaining,orevenknowing,aboutthefraud.
Ebbersinnercircleheldtightcontrolovertheflowofallfinancialinformation.
Ebbersgroupalsorestricteddistributionofcompanylevelfinancialreportsandpre
ventedsensitivereportsfrombeingpreparedatall.Accountantsdidntevenhaveac
cesstothecomputerfilesinwhichsomeofthelargestfraudulententriesweremade.
Asaresult,employeeshadtorelyonEbbersexecutiveteamtojustifytheaccounting
entriesthatwererequested
Anotherreasonwhyemployeescompliedwithquestionableaccountingpractices
wasthatCFOScottSullivanwieldedimmensepersonalpower.Hewasconsidereda
whizkidwithimpeccableintegritywhohadwontheprestigiousCFOExcellence
Award.Thus,whenSullivansofficeaskedstafftomakequestionableentries,some
accountantsassumedSullivanhadfoundaninnovativeandlegalaccountingloop
hole.IfSullivansinfluencedidntwork,otherexecutivestookamorecoerciveap
proach.Employeescitedincidentswheretheywerepubliclyberatedforquestioning
headquartersdecisionsandintimidatediftheyaskedformoreinformation.When
oneemployeeatabranchrefusedtoalteranaccountingentry,WorldComscontroller
threatenedtoflyinfromWorldComsMississippiheadquarterstomakethechange
himself.Theemployeechangedtheentry.
EbbershadsimilarinfluenceoverWorldComsBoardofDirectors.Sourcesindi
catethathispersonalcharismaandintoleranceofdissensionproducedapassive
boardthatrubberstampedmostofhisrecommendations.Asonereportconcluded:
TheBoardofDirectorsappearstohaveembracedsuggestionsbyMr.Ebbers
withoutquestionordissent,evenundercircumstanceswhereitsmembersnow
readilyacknowledgetheyhadsignificantmisgivingsregardinghisrecommended
courseofaction.101
TheexamplesofTylenolandWorldComshowitisnotenoughtomerelycreatea
valuesstatement,distributeacodeofconduct,andexhortemployeestohighstan
dards;leadersmustmodelandreinforcethevaluesoftheorganization.Theroleof
theleaderisparamountinestablishingthemoraltoneandethicalclimateoftheor
ganization.Withpowertosetpolicyandmakedecisions,theleadercancreateaplace
thatattractsandrewardsthebestinbothethicalconductandbusinessperformance.
AuthorCarolCoopersummarizestheneedforvaluesbasedandprincipledleader
ship:Theworldneedsmorepeoplewhodonothaveapriceatwhichtheycanbe
bought;whodonotborrowfromintegritytopayforexpediency;whoareashonest
insmallmattersastheyareinlargeones;whoknowhowtowinwithgraceandlose

withdignity;whose
handshakeisanironclad

15

contract;whoarenot
afraidtogo

againstthegrainofpopularopinion;whoareoccasionallywrongandalwayswilling
toadmitit.Inshort,theworldneeds leaders.102

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Case Study:
Wendy KoppThe Recruiter
SittinginalunchroomatColumbiaUniversitywiththeschoolsstarstudentsthe
seniorclasspresident,thestudentcouncilVP,thepremedtriplemajor,and15other
superachieversWendyKoppisbeggingthemtoshelvetheircareerplanstoteachin
Americasmosttroubledpublicschools.Thisproblemhastobethisgenerations
issue,shetellsthefuturegrads.Weknowwecansolveitifwegetenoughtrue
leaders.
KoppistalkingwithprospectiverecruitsforTeachforAmerica,thePeaceCorps
likeprogramthatshedreamedupwhenshewasasenioratPrinceton.Asshespeaks,
shefrequentlycovershermouthwithherrighthand,anervousgesture.Butthestu
dents,too,arenervousaboutthejobKoppisaskingthemtodo.Seniorswhocompete
tobeTeachforAmericacorpsmembersmustendurehoursofinterviewsandtests
designedtoassesstheirorganizationalskills,perseverance,andresiliencycritical
traitssincerecruitsreceiveonlyfiveweeksofteachertraining(albeitgrueling)before
theygetploppedintoaclassroomintheSouthBronxorsomeotherimpoverished
locale.AsthestudentsvoicetheirqualmsaboutTFAWhatifIfail?Wontpoor
kidsrejectIvyLeagueteachers?Koppdoesntsugarcoattheobstacles:Itcanbe
reallyoverwhelminganddepressing,shewarns.Weallhavebaddays,andpeople
whoteachinTeachforAmericaprobablyhavemorebaddaysthanmost.
Koppspitchispartchallengeandpartcautionarytale,yetthecombinationhas
beenawinningone.[In2006],19,000collegestudentsincluding10percentofthe
seniorclassatYaleandDartmouth,9percentatColumbia,and8percentatDuke
andtheUniversityofChicagoappliedtoTeachforAmerica.(Whilelocalschool
districtscoverthesalariesofTFAteachers,TFAscreensandtrainsthemandre
quiresatwoyearcommitment.)Werecruitinsanelyaggressively,saysKopp,39,
whoaccepted2,400ofthose19,000applicantsthisyear.ThatmakesKoppsnon
profitoneofthelargesthirersofcollegeseniors,accordingtoCollegeGrad.com
biggerthanMicroscoft,Procter&Gamble,Accenture,orGeneralElectric.
Kopp,infact,hasbuiltsuchamightyrecruitingmachinethatcorporationsarean
glingtoworkwithTFAtobufftheirownimagesoncampus.Oneofthefewjobs
thatpeoplepassupGoldmanSachsoffersforisTeachforAmerica,saysEdieHunt,
GoldmanscoCOO[chiefoperatingofficer]ofhumancapitalmanagement.(First
yearpayatGoldmanaverages$65,000,abouttwicewhataTFAcorpsmember
makes.)
WendyKoppneverwantedtobeacorporaterolemodel.Shejustwantedtoreform
publiceducation.GrowingupinDallas(whereherparentsownedatravelguide
business),shemovedfromparochialschooltopublicschoolinsixthgradeandwent
ontobevaledictorianofherhighschool.HerinterestinthefailuresofAmericas
publicschoolsbeganatPrinceton,whereshehelpedorganizeaconferenceoneduca
tionreformduringthefallofhersenioryear.HerseniorthesiswasentitledAPlan
andArgumentfortheCreationofaNationalTeacherCorps,andshewrotealetterto
thenPresidentGeorgeH.W.Bush,urginghimtoestablishsuchatwoyearservice
program.Ireceivedajobrejectionletterinresponse,sherecalls.
Rejectionspurredheron.Failingtolandajobaftercollege(shewasturneddown
byMorganStanley,Goldman,McKinsey,Bain,andP&G),shedecidedtolaunchthe
teachingcorpsherself.Thoughshedescribesherselfasveryshy,Koppdrummed
upthecouragetocoldcallscoresofCEOsandfoundationleaders.AMobilexecu
tivenamedRexAdamsagreedtogiveheraseedgrantof$26,000,andDickFisher,
thenCEOofMorganStanley(andaPrincetonalum),donatedofficespace.Aletter
tothechairmanofHertzgothersixcarsforTFAsskeletoncrewofrecruiters(who
includedRichardBarth,nowKoppshusband).OtherearlybelieversMerck,Union
Carbide,AppleComputer,Young&Rubicam,andfellowTexanRossPerot
chippedin,buildingherfirstyearbudgetto$2.5million.Thatwasenoughtorecruit,
train,andplace500teachers.
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KoppwantstocontinuethesuccessofTFA.Weretryingtobethetopemployer
ofrecentgradsinthecountry,shesays.Sizegivesusleveragetohaveatangible
impactonschoolsystems.[Andthisshehasdone.]103
Questions
1.HowwouldyoudescribeWendyKoppssuccessbasedonwhatyouhavelearned
inthischapter?

2.WouldyouapplyforaTFAjob?Whataretheethicalimplicationsofyouranswer?

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Part Three Summary


AfterreadingPartThree,youshouldknowthefollowingkeyconcepts,principles,
andterms.Fillintheblanksfrommemory,orcopytheanswerslistedbelow.
Ethicsisthebranchofphilosophyconcernedwith(a).Themost
importantinfluencesoncharacterformationare(b),
,and.Thethreelevelsofmoraldevelopmentare
(c),,and,withthehighestlevel
beingcharacteristicofonly20percentoftheadultpopulation.Valueidealsinclude
(d)
,,,,and
.(e)isthefoundationthatunderliesandgiveslife
toallothervirtuesandvalues.Aconceptinethicsthatcanbeusedtoassessthestrength
ofonesvaluesis(f).Fullyethicalindividualsknow,cherish,declare,
acton,andacthabituallyontheirvalues.Theleaders(g)arecritical
inestablishingthevaluesandmoraltoneofanorganization.Oneofthemostinfluential
codesofethicalconductintheworkplaceisprovidedbyRotaryInternational,which
asksleaderstomeasureallactionsagainstfourquestions:(h),
,,and.
Answer Key for Part Three Summary
a. moral judgments and right and wrong conduct,page94
b. associations, books, self-concept,page99
c. preconventional, conventional, postconventional,page100
d. honesty, respect, service, excellence, integrity,page109
e. courage,page109
f. full-swing values,page112
g. actions,page115
h. Is it the truth? Is it fair to all concerned? Will it build goodwill and better

relationships? Will it be beneficial to all concerned?page132

Reflection PointsPersonal Thoughts on Leadership Ethics, the Role of


Values, and Ethics at Work

15

Leadership

CompletethefollowingquestionsandactivitiestopersonalizethecontentofPart
Three.Spaceisprovidedforwritingyourthoughts.

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9:51PM

Citeexamplesoftheinfluenceofleadershipontheethicalbehaviorofawork
group,anorganization,orasociety.Usepersonalorhistoricalexamples.

Discusslevelsofmoralityintheworkplacetoday.Giveexamplesofleadership
actionsthatarepreconventional,conventional,andpostconventional.

Whatvaluesareimportanttoyou?Howstrongisyourvaluesystem?Doyouexhibit
fullswingvaluesandcourageofconvictioninethicaldilemmas?

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Ifyouwerethepresidentofacompany,whatvalueswouldyoupromote?What
valueswouldguideyouindealingwithpeople,products,prices,andprofits?

Developacodeofethicsforanorganization.Thecodeshouldbebetweenoneand
fivepagesinlength.Presentanddefendthiscodeofethicsbeforeanaudienceof
interestedpeople.

Discussorganizationswithdifferingethicalclimates.Whatisitliketoworkin
profitmaximizing,trusteeship,andqualifyoflifemanagementorganizations?

Acommittedpersonwithagoodheartandagoodideacanmakeadifferencein
theworld.Basedonyourvalues,whatcouldyoudotoimprovethelivesofothers?
Howcanyouengageandservesociety?

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Part Three Video Case


Patagonia
YvonChouinardbeganclimbingasa14yearoldmemberoftheSouthernCalifornia
FalconryClub.Atthetime,theonlyavailablepitons(spikesusedinmountainclimb
ing)weremadeofsoftiron,usedonce,andleftintherock.In1957Chouinardbought
ausedcoalfiredforgetomakereusableironpitons;thewordspreadandsoonhewas
inbusiness.Fromclimbingequipmenttoapparel,hiscompany,Patagonia,hasevolved
intoahighlysuccessfulprivatefirmwithannualrevenuesof$250million.Chouinard

haskeptitprivatesothathecancontinuetopursuehismission:earthfirst,profits
second.
AccordingtoCEOMichaelCrooke,Patagoniaisaveryspecialcompanywitha
setofcorevaluesthatismorethanthebottomline.Becauseofthebasicvalues,
employeescometoworkeverydaywiththeattitudethattheyaremakingadifference.
Foreachnewhire,Patagoniareceives900rsums.Tounderstandthefirmssuccess
insatisfyingemployees,oneneedonlylookatacatalog.Notmanycompaniesplace
suchsignificanceonenvironmentalandsocialissues.Fromthestart,YvonChouinard
advocatedapurer,equipmentlightapproachtomakingclimbinghardwareinorder
topreservetheenvironment.Thephilosophyhascontinued.Arecentcatalogfeatured
anessayentitled,DoYouNeedThisProduct?Themessage?Ifyoudontneed
anothershirtorjacket,dontbuyit.Patagoniasmanagementbelievesthatthishonest
approach,whilerare,createsloyalcustomersanddedicatedemployees.
Tomanyenvironmentalists,corporationsaretheenemy.Patagoniatakesadifferent
approach.Thecompanysgoalistomakeadifference;todoso,itmustuseitspower
toworkfromwithinthesystem.Patagoniaisasuccessfulcompanysocially,environ
mentally,andfinancially.Thesuccessstartswithgreatproductsandgreatpeople.
Productqualityandguaranteesassurethattheproductsmeethighexpectationsatany
storenomatterthelocationintheworld.
Inchoosingemployees,Patagonialooksforpeoplewhoarepassionateaboutan
interestorcause.Overtheyears,manyworkerswithsimilarcausesandvalueshave
joinedthecompany.Thecultureisbasedoncommitmenttoenvironmental,moral,
ethical,andphilosophicalcauses.Patagoniaemployeesderivetruemeaningfrom
work,family,andhealth,ratherthanmoneyandstatus.Thegoalispsychological
success,achievedthroughaproteancareer.
Patagoniaspendslittleonrecruiting.Thefirmexperiencesverylowturnover,
about4percentannually.Eachyear, Fortunemagazineratesthecompanyasoneof
thebesttoworkfor.Whyhaveworkersfoundsomuchsatisfactionwiththeirjobsat
Patagonia?Fourreasons:

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Let My People Surf.ThephilosophyofYvonChouinard,notonlyanaccomplished


climberbutalsoapassionatesurfer,isthatyouhavetosurfwhenthesurfsup.At
Patagonia,workerssettheirownschedules;whentheyneedtowork,theygettheir
jobsfinished.Todevelopgreatproducts,youneedtobeusersoftheproducts.You
cantdevelopgreatsurfboardsifyoudontsurf.
Environmental Internship.Afteremployeeshavecompletedayear,thecompany
paysupto60dayssalaryforeachindividualtointernforanenvironmentalgroup.
Theonlyrequirementisthatemployeespresentaslideshowwhentheyreturn.Some
employeeshaveleftPatagoniaaftertheinternshipstobecomefulltimeactivists.
Thatsfinewiththefirm.Patagoniarecentlyjoinedwithseveralotherapparelcom
paniesandsixleadingantisweatshopgroupstodeviseasinglesetoflaborstandards
withacommonfactoryinspectionsystem.
Child Development Center.Startedin1985,thechildcarefacilityisoneofthe
firstofitskindandanintegralcomponentofthecompany.Childrenarepartofthe
campusallday,everyday.Theconnectionbetweenworkandfamilyincreasesjob
satisfaction.Knowingtheirchildrenarebeingwellcaredforonsitehelpsemployees
becomefullycommitted.

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One Percent for the Planet.In1985,Patagoniastartedanearthtaxanddonates

1percentofsalestograssrootsenvironmentalactivistsworldwide.Eachgroup
hasitsownbudgetforlocalactivism.Patagoniaemployeesserveongrant
committeesthatfundproposals.Becauseofemployeeinvolvement,thisprogram
alsocontributestoworkersatisfaction.
Questions for Discussion
1.WhatvaluesareimportantatPatagonia?
2.Howdovaluesplayanimportantroleinattractingandretainingtopemployees?

Formoreinformation,seewww.patagonia.com/web/us/home.

15

Leadership

Action Assignment
Asabridgebetweenlearninganddoing,completethefollowingactionassignment.
1.WhatisthemostimportantideayouhavelearnedinPartThree?
2.Howcanyouapplywhatyouhavelearned?Whatwillyoudo,withwhom,where,
when,and,mostimportant,why?

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Part 4 The Empowerment


of People
8. Leadership Authority
9. Empowerment in the Workplace and
the Quality Imperative

LEADERSHIP IS SERVICE, not selfishness. The leader grows more and lasts longer
by placing the well-being of all above the well-being of self. Through service to
others, the leader becomes strong.
Lao-tzu
Tao-te Ching, sixth century BC

Learning Objectives
AfterstudyingPartFour,youwillbeableto:
Describethephilosophyandpracticeofparticipativeleadership.
Understandleadershipasacallingtoserve.
Knowthesourcesandtypesofleadershippower.
Identifypracticalstepsaleadercantaketoempowerothersanddevelopa
highperformanceworkplace.
Knowthehistoricalrootsofthequalitymovement.
Improveperformancethroughqualityinitiatives.

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Leadership Authority
CHAPTER

8
T

herearetwoviewsofleadershipauthoritytop-downand bottom-up.1The
topdownviewholdsthatleadershipauthorityisbasedonpositioninasocial
hierarchy,andthatpowerflowsfromthehighestleveltothelowest.The
classicalorganizationalpyramidhasfrontlineworkerssupportingmanagersand
supervisors,who,inturn,supporttoplevelexecutives.Thispyramidofauthority
servesasthebasisofmostclassicalorganizationalstructures.SeeFigure81.

Figure 81
Classical Organizational
Structure

Top
Executives
Managers
and
Supervisors

Frontline Workers

ThefirstapplicationoftheorganizationalpyramidintheUnitedStateswasmadein
the1850s.DavidMcCallum,generalsuperintendentoftheNewYorkandErieRail
road,preparedanorganizationchartforhiscompany.Formalizingthepositionand
statusofallemployeesinahierarchicalstructurewassoonadoptedbymostother
Americancompanies.2
Thetopdownconceptiswellestablished,anditisthetraditionalviewofleadership
authorityintheUnitedStates.Therightofauthorityisderivedfromtherightof
privateproperty,whichisguaranteedintheConstitution.Thisguaranteegivesowners
ofpropertytherighttomanagetheiraffairsastheydecide,aslongastheydonot
violatetherightsofothersasdeterminedbylaw.Ownersmaytransferpowertoa
boardofdirectors,which,inturn,mayappointtopexecutivestomanagethe
organization.Theseexecutivesmaydelegateauthoritytomanagersandsupervisors,
whomayempoweremployeestoactintheinterestsoftheorganization.Thistransfer
ofauthorityisseeninFigure82.
Thebottomupviewofauthoritycontendsthatpowerflowsfrombelow,because
peoplecanalwaysrejectadirective.Bysayingyesorno,theindividualaffirmsor
deniestheauthorityofothers.3ThisviewofauthoritywasfirstdescribedbyChester
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8 / Leadership Authority

Figure 82
Classical Transfer
of Authority4

U.S. Constitution

Right of Property

Owners

Managers and
Supervisors

Top Executives

Board of
Directors

Frontline
Workers

BarnardofAT&T.Barnardwasacareerexecutive(includingpresidentofNewJersey
BellTelephoneCompanyandlater,headoftwofoundations),whowroteseveralin
fluentialbooksonmanagementandorganizationsincluding The Functions of the
Executive,1938.Heemphasizedthatorganizationsdependoneffectivecommunica
tionandthatamanagersformalauthoritydependsontheemployeeswillingnessto
acceptthatpower.AccordingtoBarnard,peoplewillacceptanorderiffourcondi
tionsaremet:(1)thepersonunderstandstheorder;(2)thepersonbelievestheorder
isconsistentwiththeorganizationsgoals;(3)thepersonbelievestheorderiscom
patiblewithhisorherinterests;and(4)thepersonismentallyandphysicallyableto
complywiththeorder.5
Effectiveleadersmakecertainthattheirdirectivesfallwithintheirsubordinates
zonesofacceptance.Otherwise,ordersmaybemetwithresistanceandevenhostility,
asthefollowingstoryshows:
AnagentoftheTextileWorkersUnionofAmericalikestotellthestoryoftheoccasionwhena
newmanagerappearedinthemillwherehewasworking.Themanagercameintotheweave
roomthedayhearrived.Hewalkeddirectlyovertotheagentandsaid,AreyouBelloc?The
agentacknowledgedthathewas.Themanagersaid,Iamthenewmanagerhere.WhenI
manageamill,Irunit.Doyouunderstand?Theagentnodded,andthenwavedhishand.The
workers,intentlywatchingthisencounter,shutdowneveryloomintheroomimmediately.The
agentturnedtothemanagerandsaid,Allright,goaheadandrunit.6

Boththetopdownandthebottomupviewsofauthorityhavemerit.Byaccepting
employment,employeesacknowledgetheauthorityofownersandmanagerstomake
decisionsandgiveorders,aswellastheirowndutytocomplyandobey.Also,the
successfulmanageristhefirsttoacknowledgethepowerofemployeestoachieve
boththeirownandorganizationalgoals.Amanagercangovernmosteffectivelywith
theconsentofthosebeinggoverned.Thisconditionshowstheinterdependencecommon
tomostleaderfollowerrelationships.7
Anapproachtoleadershipthatrecognizesboththetopdownandbottomup
viewsofauthority,andthateffectivelyaddressestheinterdependentnatureofthe
leaderfollowercondition,is servant leadership.8

Servant Leadership
ManagementauthorRobertGreenleafstatesthatservantleadershipisacallingto
serve.Thiscallingbeginswiththefeelingdeepdowninsidethatonecaresabout
peopleandwantstohelpothers.Thenconsciouschoicecausesonetoaspiretolead.
Thegreatleaderisaservantfirst,andthatisthesecretofhisorhergreatness.9
Theservantleaderisdifferentfromtheindividualwhoismotivatedbyselfish
goals.WinstonChurchillcapturedthespiritofservantleadershipwhenhesaid,

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Wemakealivingbywhatweget,butwemakealifebywhatwegive.Whatisthe
useoflivingifnottostrivefornoblecausesandtomakethismuddledworldabetter
placeforthosewhowillliveinitafterwearegone?10
Peopledonottrusttheselfserver,whoseprimarythoughtsareforpersonalgain.
Trustisgiventotheleaderwhoworksforthecommongoodandhastheinterestsof
othersatheart.Theservantleaderistheonepeoplewillchoosetofollow,theone
withwhomtheywillprefertowork.
Greenleafcoinedtheterm servant leadershipafterreading The Journey to the East,
byHerrmannHesse.Inthisstory,Leo,acheerfulandcaringservant,supportsagroup
oftravelersonalonganddifficultjourney.Hishelpfulwayskeepthegroupsmorale
highandpurposeclear.Yearslater,thestorytellercomesuponaspiritualorderand
discoversthatLeoisthegroupshighlyrespectedleader.Byservingthetravelers
unselfishlyratherthantryingtoleadthemforpersonalgainorprestige,Leohadhelped
ensuretheirsurvivalandeventualsuccess.Thisstoryrepresentedatransformationin
themeaningofleadershipforGreenleaf.Servantleadershipisnotaboutpersonalego
ormaterialrewards.Itisaboutatruemotivationtoservetheinterestsofothers.11
Asuresignofservantleadershipistheleaderwhostaysintouchwiththechallenges
andproblemsofothers.Onegoodwaytodothisistogetoutoftheexecutivesuiteand
ontotheshopfloor,outofheadquartersandintothefield,outoftheivorytower
andintotherealworld.
Onecompanyhasanactivereceptionarea:pickup,delivery,walkincustomers,andincoming
calls.Togivereceptionistsalittlerelief,andtostayintouchwithrealcustomers,realemployees,
realproducts,andrealproblems,eachtopexecutiveisonadutyrostergivingtwohoursa
monthatthereceptiondesk...includingthepresident.12

Servantleadersdonotviewleadershipasapositionofpower;rathertheyare
coaches,stewards,andfacilitators.Theyseektocreateclimateswhereotherscando
greatwork.Theirapproachistoask,HowcanIhelp?13
QuintStuder,authorof Hardwiring Excellence,identifiesfourquestionsservant
leadersshouldaskallemployees:(1)Whatisgoingright?(2)Whatcanbeimproved?
(3)Doyouhavewhatyouneed?(4)HowcanIhelpyouachieveyourgoals?New
employeesshouldbeasked:(1)Howhasyourexperiencebeencomparedtowhatyou
thoughtitwouldbe?(2)Whathasworkedwell?Whathasnotworkedwell?(3)You
haveafreshpairofeyes.Whatideasandsuggestionsdoyourecommend?14

Access,
Communication,
and Support

Theservantleaderiscommittedtopeople,andthiscommitmentisshownthrough
access, communication,and support:

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Access.Peopleneedtohaveaccesstotheirleaders,tobeabletoreadtheirfaces,
toseerecognitionoftheirownexistencereflectedintheirleaderseyes.Management
byobjectivesandotherrationaltechniquesofmanagementdonotalterfundamental
humanneeds.Peopleneedcontactandsupport,andeffectiveleadersatalllevels
ofresponsibilityrecognizethisasoneoftheirprimarytasks.Theageofcomputers,
informationtechnology,andemaildoesnotchangetheimportanceofthehuman
momentatwork.
Communication.Theeffectiveleaderknowsthevalueofcommunication.As
longagoas59BC,JuliusCaesarkeptpeopleuptodatewithhandwrittensheets
andpostersdistributedaroundRome.Communicationintodaysorganizationsis
frequentlydiscussed,butnotalwaysdelivered.Thesuggestionthatleadersmeet
withtheirpeopleonaregularbasisisoftengreetedwiththeresponsethatthere
isnotenoughtime.Butsuchmeetingsprovidevaluableopportunitiestoshare
information,layoutthework,anticipateproblems,andgathermomentum.
Theyalsoservetoreinforceasenseofcooperativehelpfulnessandmutual
support.Meetingscanserveasanopportunitytoclosethecommunicationloop
andseeiffrontlinepeoplearereceivinginformationandhearingtheleaders
message.

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Support.Eveninroutineoperations,whenthereisnoemergencyorstrategiccrisis,
peoplebenefitfromsupportintheformoffeedback.Asarule,theydonotget
enoughofit.Onecanaskpeopleinalmostanyorganization,Howdoyouknowif
youaredoingagoodjob?Ninetypercentarelikelytorespond,IfIdosomething
wrong,Illhearaboutit.Toooftenthistopicisdiscussedasifpraiseweretheonly
answer;itisnot.Whatpeoplearesayingisthattheydonothavesufficientdiscus
sionaboutperformanceandtangiblesupportfromtheirleaderstoimproveeffec
tiveness.Successfulleadersknowthatpraisewithoutsupportisanemptygesture.15
Servantleadershipencouragestrust,listening,andtheethicaluseofpowerand
empowerment.Apicturecanbeanexcellentwaytoconveyaconcept.Theservant
leaderusestheupsidedownpyramidapproachtoleadership.SeeFigure83.
Customers and Clients
Ultimate beneficiaries of the organizations efforts

Figure 83
The Upside-Down Pyramid
Approach to Leadership

Serve
Frontline Workers
Provide direct service affecting customer/client satisfaction
Support
Managers and Supervisors
Help frontline workers do their jobs
and solve problems
Support
Top Executives
Keep mission and
strategies clear

Frontlineworkersarenearthetopofthepyramid.Theyaresupportedintheir
effortsbyleadersbelowthem.Theimplicationsaredramaticfordaytodaywork.
Fromthisperspective,eachpersonprovidesaddedvalue.Thewholeorganizationis
devotedtosatisfyingthecustomer,andthisismadepossiblethroughthesupportof
caringleaders.16

A Case of Servant
Leadership

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BrianTierneywasayoungtraderintheCommercialOperationsDivisionofAmeri
canElectricPower.HisseniorleaderssawimportantleadershipqualitiesinBrian
hecaredaboutpeople,caredaboutthecompany,keptjobknowledgecurrent,and,
critically,hepossessedintegrity.
ThecompanydevelopedBriansleadershipskillsthroughformaltraining,chal
lengingstretchassignments,andcounselingfromseniormembersofmanagement.
Whenthetimecametochooseanewvicepresidentofcommercialoperations,Brian
gotthecall.Priortothistime,thetradingfloorwasonelevelbelowtheexecutiveof
fices.OnthedayBrianwaspromoted,hemovedhisofficetotheentranceofthetrad
ingfloorandopenedthedoor.Thisconcreteandvisibleactionimprovedemployee
access,communication,andsupport,andresultedinsignificantimprovementof
performanceofanalreadysuccessfultradingoperation.
Brianwasnextpromotedtoseniorvicepresidentoverthreeoperatingdivisions
ofthecompany.Inthisposition,hecontinuedtopracticetheupsidedownservant

Page150

MaxDePree,inhisbook Leadership Is an Art,describesthecharacterofservant


leadership:
Thefirstresponsibilityofaleaderistodefinewhatcanbe.Thelastistosaythankyou.In

16

4 / The Empowerment of
People

betweenthetwo,theleadermustbecomeaservantandadebtor.Thatsumsuptheprogressof
anartfulleader.
Inadaywhensomuchenergyseemstobespentonmaintenanceandmanuals,on
bureaucracyandmeaninglessquantification,tobealeaderistoenjoythespecialprivilegesof
complexity,ofambiguity,ofdiversity.Buttobealeadermeans,especially,havingthe
opportunitytomakeameaningfuldifferenceinthelivesofthosewhopermitleaderstolead. 17

Leadership

appr
oac
hto
lead
ersh
ip.
Mos
t
rece
ntly,
Bria
n
beca
me
the
chie
f
fina
ncia
l
offi
cer
of
his
com
pan
y.
Bria
ns
case
sho
ws
both
the
valu
e
and
the
rew
ards
of
serv
ant
lead
ersh
ipin
toda
ys
wor
kpla
ce.

CanyouthinkofaservantleaderwhoembodiesDePreesideal?Considerheror
hisactionsandimpactonpeople.Howdoyoufulfillthisrole?

Authentic Leadership
Closelyrelatedtoservantleadershipistheconceptofauthenticleadership,described
byBillGeorgeinhisbookbythesametitle.Authenticleadershaveagenuinedesire
toserveothers.Theyleadfromcorevalues,theyhavecourageandselfdiscipline,
theyestablishtrustingrelationships,andtheyarepurposedriven.Considertheexam
pleofNelsonMandela,thefirstblackpresidentofSouthAfrica.
Mandelawasaservanttoallofthepeople,regardlessofcolor.Heknewwhohe
wasathiscore,andhisleadershipactionsreflectedthosevalues.Hehadcourageand
disciplinetoremaintruetohisconvictioninthefaceofpersonalpainandhardship.He
remainedkindandtrustinginhisrelationships,yetwasunyieldinginhismissionto
achievejusticeandequalityforall.Mandelawasarolemodelforauthenticleadership.
OntrialinSouthAfricain1963,Mandelasaid:Ihavecherishedtheidealofa
democraticandfreesocietyinwhichallpersonslivetogetherinharmonyandwith
equalopportunities.ItisanidealIhopetoliveforandtoachieve.Butifneedbe,itis
anidealforwhichIampreparedtodie.Theverdict:lifeimprisonment.Mandela
visualizedthefutureofSouthAfricausingthemetaphorofarainbow,asocietytoler
antofthecolorofothers.Thisbeliefhelpedhimsurvive27yearsofimprisonment.18

Military Leadership
CaringandservantleadershippermeatetheAmericanmilitary.Thefocusofthemili
taryisonthefollowers,theirwellbeinganddevelopment.Leadersatalllevelsare
taughttoputtheneedsoftheirsubordinatesbeforetheirownandtoleadbytheprin
ciple,Missionfirst,soldiersalways.Considertheresults:Theworldsbestmilitary
forceof18yearoldsledby20yearoldsledby25yearoldsthattheworldhasever
known.19

Participative Leadership Philosophy


Howdoyoutaptheconstructivepowerofpeople?Howdoyoucreatebotha
humanisticandaproductiveworkplace?Theansweristhroughparticipative
leadership.Theprocessbeginswithinvolvingpeople,whichisnecessaryto
achieveunderstanding,whichisnecessarytoachievecommitment.Itisimportant
toknowtheviewsandconsidertheinterestsofallwhoareaffectedwhendecisions
aremade.

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Todevelopanempoweredworkplacethatleadstohighqualityproductsand
services,leadersmustadoptthekindofleadershipphilosophypromotedbythe
JapaneseUnionofScientistsandEngineers:
Nomatterhowmuchfactoriesaremechanized,aslongastherearepeoplestillworkingthere,
theyshouldbetreatedashumanindividuals.Thosecompaniesthatdonotgivedueconsideration
tohumanitywilllosetheirbestpeoplesoonerorlater.Therecanbenoexcusefordisregarding

individualpersonality,slightingapersonsability,regardingpeopleasmachinery,anddiscriminating
againstthem.Peoplespendmuchoftheirlifetimeattheirworkingplace.Itwouldbemuch
moredesirabletoworkinapleasantplacewherehumanityispaidduerespectandwherepeople
feeltheirworkhassomerealmeaning.Thatiswhatqualitypracticesaimtoachieve.A
mechanizedfactorystillrequirescontrolbyaworkshopofpeople.20

AconcreteexampleoftheparticipativeleadershipphilosophyisJackStack,the
CEOfromSpringfield,Missouri,whopopularizedopenbookmanagementinthe
1980s.Openbookmanagementinvolvessharingfinancialinformationwithemployees
andencouragingthemtorecommendideasthatimprovethosefinancialresults.21
EmployeesatArtistsFrameServiceinChicagoknewwhatthecompanycharged
customers,andknewtheirpaywasonlyafractionofthat.TheCEOwantedthemto
understandthatthedifferencebetweeninvoicepricesandtheirsalarieswasntall
profit.Sotheemployeesweregivenademonstrationofthecompanysexpenses,
illustratedasportionsofahypothetical$100order.
Asthepresenterexplainedwherethemoneywasgoing,differentdepartments
cameforwardtoclaimtheproceedsofthesale.Anoversized$5bill,forexample,
wasdisbursedtocoverthecostofthecompanysyellowpagelisting,whichcosts
thecompanyroughly5percentofitsreceipts.Thepileofcashwaswhittleddownas
claimsweremadebyrent,healthinsurance,andotherfixedandoperatingexpenses
thatmanyemployeesdontthinkabout.Whenallthebillswerepaid,$5remained.
Thedemonstrationimprovedmoralebygivingworkersanunderstandingofthe
companysexpenses,andchallengingthemtolookforwaystosavethecompany
money.Whentheyunderstoodhowleanacompanyhastoruntostaycompetitive,
buyersbeganorderinginbulkandwatchinginventorycarefully,andclerksbegan
findingwaystohandleordersmoreefficiently.22
ManagementauthorsWarrenBennisandPhilipSlateridentifytheshifttoward
participativeleadershipasnecessaryiforganizationsaretosurviveunderconditions
ofchronicchange.Theydefineparticipativeleadershipas democratic,notas
permissiveorlaissezfaire,management.Thistypeofmanagementinvolvesasystem
ofbeliefsandcommonvaluesthatgovernbehavior.Theseinclude:

An Open-Book
Example

Fullandfreecommunication,regardlessofrankandpower.

Arelianceonconsensus,ratherthanontraditionalformsofcoercionand
compromise,tomanageconflict.
Theideathatinfluenceisbasedontechnicalcompetenceandknowledge,rather
thanonthevagariesofpersonalwhimortheprerogativesofpower.
Anatmospherethatpermitsandevenencouragesemotionalexpressionaswellas
taskorientedacts.
Abasicallyhumanbias,onethatacceptstheinevitabilityofconflictbetweenthe
organizationandtheindividual,butthatiswillingtocopewithandmediatethis
conflictonrationalgrounds.23

ExamplesofworksystemsandtechniquesforemployeeparticipationintheUnited
Statesandabroadcanbearrangedalongacontinuum,asshowninFigure84.Onthe
leftpartofthiscontinuum,employeespossesslesspowerandarelessinvolvedinthe
decisionmakingprocess.Workersinindustrialsweatshopsystemsexertlesscontrol
overtheirworklivesthandoemployeesinindustrialdemocracysystems.
Figure84explainsmuchofthepopularityandsuccessoftotalquality
managementandotherempowermentefforts.Itshowsqualityimprovementgroups

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152

Collective Bargaining;
Job
Grievance Procedure Enrichment;

Figure 84
Continuum
of Empowerment24

Industrial
(1930s)
Sweatshops
(late 1800s)

Slavery
(pre-1866)

(Swedish)

Employee Opinion
Industrial
Surveys
Democracy
(1960s)
(1970s)
(early 1900s)
Scientific
Managemen
t

(German)
Labor/Management

Codetermination
(1970s)

Human
Relations
Training

(Japanese)

Quality
Circles

Kibbutzim
(1940s)

(Israeli)

(1940s/50s) (1950s/60s)

16

Leadership

Suggestion Box;
Safety Meetings
(1930s/40s)

(American)
Quality
Improvement
Teams
(1970s/80s)
(American)
Total Quality Management;
Self-Directed Work Groups
(1990s/2000s)

totherightofmiddlesatisfyingneedsforemployeeinvolvement,yetnotso
participativethatownersandmanagersfearlossofpowerandownership.
Participativeleadershiphasbeenemployedeffectivelybymanysupervisorsand
managerstobuildemployeemoraleandachievehighperformance.Withrootsin
democraticideals,participativeleadershipallowstheleadertotaptheconstructive
powerofthegroup.In Productive Workplaces,MarvinWeisbordwrites:
Thedemocraticprocessisthebestprocedureyetdevisedforpromotingdecisionmakingthatis
apartofallsocialliving,andatthesametime,safeguardingtoeachindividualtheconditions
necessaryforselfrealization.Thedemocraticprocessallowseachindividualtoparticipatein
makingdecisionsthatdeterminehisorherconditionsoflife.25

The Leadership Position


Leadershipisneededinallareasofsocietyandatalllevelsofresponsibility.Titles
ofleadershipinclude president, chief, captain, manager, director,and supervisor,to
namejustafew.Bothresponsibilityandpowercomewiththeofficeofleadership.
Thechallengeistomeettheresponsibilityofthepositionwithoutabusingitspower.
AnexampleofaleaderusingpowereffectivelyisHerbKelleher,formerCEOof
SouthwestAirlines.Atonepointinhiscareer,hewasrecognizedby BusinessWeek,
Fortune,and The Wall Street JournalasAmericasmosteffectiveexecutive.Hestates:
Istartedtogetinvolvedinthedaytodayoperations.Igottoknowpeopleinapersonalway,
andthatwasveryenjoyableforme.Youdgoovertomaintenanceandtalkabouthowthe
planeswererunning.Youdtalktotheflightattendantsandgetinvolvedinsuchdiscussionsas
whattheiruniformsoughttobe.
Youhavetotreatyouremployeeslikecustomers.Whenyoutreatthemright,thentheywilltreat
thecustomersright.ThishasbeenapowerfulcompetitiveweaponforusatSouthwestAirlines.
Youvegottotakethetimetolistentopeoplesideas.Ifyoujusttellsomebody no,thatsanactof
powerand,inmyopinion,anabuseofpower.Youdontwanttoconstrainpeopleintheirthinking. 26

Negative
Consequences
in the Use of Power

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AbrahamLincolnoncesaid,Nearlyeveryonecanstandadversity,butifyouwantto
testapersonstruecharacter,givehimpower.27AndT.S.Eliotwrote,Halfofthe
harmthatisdoneinthisworldiscausedbypeoplewhohavepowerandwanttofeel

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8 / Leadership Authority

important.Theydonotmeantodoharm;theyaresimplyabsorbedintheuseless
struggletothinkwellofthemselves.28
Oneinterestingstudyrevealsthetragicconsequencesofthenegativeuseofpower
inthemedicalworld.Researchersfoundadramaticdifferenceinperformanceresults
betweenintensivecareunits(ICUs)inwhichthestaffunquestioninglyfollowedthe
leadofanautocraticphysicianinchargeandthoseICUsthatfunctionedasateamof
colleagues,allofwhomwerefreetomakesuggestionsthatmightbenefitthepatient.
Theobedient,powerorientedICUsexperiencedhigherstaffturnover,lower
efficiency,andtwicetherateofpatientdeaths.29
Theideaofusingandnotabusingthepowerthatcomesfromleadershipposition

isveryold.ThefollowingquoteisfromLaotzu,thefounderofTaoism,whowas
borninthevillageofJhren,China,in604BC:
IhavethreepreciousthingswhichIholdfastandprize.Thefirstisgentleness;thesecondis

168

frugality;thethirdishumility,whichkeepsmefromputtingmyselfbeforeothers.Begentleand
youcanbebold;befrugalandyoucanbeliberal;avoidputtingyourselfbeforeothersandyou
canbecomealeader.30

Leadership

TaoismisoneofChinasancientspiritualtraditionsthatisviewedasbotha
philosophyandareligion.The Tao-te Chingisabookofvirtuecomprisingonly
5,000words.ItlaysouttheTao,ortheWay,thatisbelievedtobepresentin
everythingthatexistsintheworld.Itisseenasthecontinuitybehindlifesever
changingforces.TheTaogivesrisetotheoppositebutcomplementaryforcesofyin
andyang,whicharethesourceoftheendlesschangesthattheworldendures.
Thesuccessfulleadermasterstheuseofpowertoinfluencethebehaviorofothers.
JohnFrenchandBertramRavendevelopedthemostcitedanddiscussedtypologyof
power.Table81showssourcesandtypesofpowerusedbyleaders:Oneisbasedin
theleadershipposition;thesecondisbasedintheleaderspersonalqualities.Toperson
alizetheconceptofleadershippower,completeExercise81.

Sources of
Leadership
Power

Power of the Position

Table 81
Sources and Types of
Power Used by Leaders31

Power of the Person

Based on what leaders can offer to others


Reward power is the capacity to offer
something of value as a means of influencing
others: If you do what I ask, you will be
rewarded.
Coercive power is the capacity to punish as a
means of influencing others: If you dont do
what I ask, you will be punished.

Based on how leaders are viewed by others


Expert power is the capacity to influence others
because of expertisespecialized knowledge
or skill. Ability in an art, science, profession, or
trade are examples.
Referent power is the capacity to influence
others because of their desire to identify with
the leader. Unselfish motives and virtuous
character raise trust and respect.
Legitimate power is the capacity to influence Rational power is the capacity to influence
others because of well-developed reasoning
others by virtue of formal authority or the
rights of office: Because I am the leader, you and problem-solving ability. Intelligence
increases power.
should do as I ask.
Information power comes from having access Charisma power is the ability to motivate and
to data and news of importance to others: I inspire others to action by force of personal
have important information, so you should do traits, including optimism, sense of adventure,
as I ask.
and commitment to a cause.

AbigailJohnsonisagoodexampleofaleaderwhoeffectivelyusesboththe
powerofthepositionandthepoweroftheperson.AspresidentofFidelity,the
financialservicescompanywith$1.4trillioninmutualfundsandotherassetsunder
management,shepossessesthepowerofposition.Althoughsheisthegranddaughter
ofthecompanysfounder,sheworkedherwayupthroughtheranks,beginningasa
customerservicetelephonerepresentative.Alongtheway,shedevelopedexpert
powerbasedontechnicalknowledgeandreferentpowerbasedonbuildingstrong
internalandexternalnetworks.32Generally,powerisgiventoleaderswhogetresults
andhavegoodhumanrelationsskills.Similarly,poweristakenfromthosewhoare
incompetentandarecallousorcruel.33

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Exercise 81
What Type of Power
Does Your Supervisor
Use?34

The Art of Leadership, Fourth


Edition

169

Indicate how strongly you agree or disagree with the following statements as they describe
your immediate supervisor. If you are not currently employed, evaluate a supervisor you
have had in the past. For each statement, select the most appropriate response, using
the following scale: 1 strongly disagree; 2 disagree; 3 neither agree nor disagree;
4 agree; 5 strongly agree.

My supervisor
1.

4.

2.

5.

3.

6.

170

Leadership

7.

______ Recognizes efforts and rewards accomplishments.

8.

_________ Uses fear to control behavior.

9.

_________ Shows appreciation for work well done.

10.

_________ Manipulates others to gain compliance.

11.

_________ Makes timely decisions to get things done.

12.

_________ Stays abreast of job-related news.

13.

_________ Exercises authority and power of position.

14.

_________ Provides skill and advice to solve job problems.

15.

_________ Maintains access to important facts and data.

16.

_________ Keeps job knowledge current.


_________ Has high ideals and standards of conduct.
_________ Thinks clearly and explains things logically.
_________ Causes people to respect what he or she stands for.
_________ Creates a vision and strong sense of purpose.
_________ Gets the facts before making decisions.
_________ Motivates others and inspires them to action.

Scoring:
Power of the Position
1. Add the numbers assigned to statements 1 and 3. This is the reward power score.
________
2. Add the numbers assigned to statements 2 and 4. This is the coercive power score.
________
3. Add the numbers assigned to statements 5 and 7. This is the legitimate power score.
________
4. Add the numbers assigned to statements 6 and 9. This is the information power score.
________

Power of the Person


5. Add the numbers assigned to statements 8 and 10. This is the expert power score.
________
6. Add the numbers assigned to statements 11 and 13. This is the referent power score.
________
7. Add the numbers assigned to statements 12 and 15. This is the rational power score.
________
8. Add the numbers assigned to statements 14 and 16. This is the charisma power score.
________

Discussion:
The effective leader emphasizes the power of the person to accomplish goals. This involves

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

maintaining knowledge and skill (expertise), having high moral character (referent
power), demonstrating effective problem-solving ability (rational power), and motivating
and inspiring people (charisma). The effective leader also uses the power of the position
to reward efforts and accomplishments (rewards), make effective decisions (legitimacy),
and keep people informed on important matters (information). The effective leader rarely
if ever uses fear (coercion) as a form of power. Coercion involves threats, punishment, and
negative rewards.

155

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Psychological Size
and Two-Way Communication

Theconceptof psychological sizehasspecialrelevanceforpeopleinauthority


positions.Theindividualwhodeterminescareers,decideswages,andmakesjob
assignmentshasconsiderablepoweroverothers,andthispowercaninfluencethe
communicationprocess.
Employeesareinaweakerposition,dependenttosomedegreeontheauthority
figuretoprotectthemandwatchoutfortheirwellbeing.Somewilldenythis
observation,butonehasonlytoobservethetypicalworkenvironmenttoseehow
differencesinpsychologicalsizecanaffectrelationshipsanddeterminetheway
thingsaredone.Deferenceandpaternalismarenotuncommon.35
Peopleinpositionsofauthorityareoftensurprisedtodiscoverthatothersmayfear
theirpowerandinhibitbehavioraccordingly.Agraphicrepresentationofaleader
withbigpsychologicalsizeandtheonewaycommunicationthatcanresultis
presentedinFigure85.

Figure 85
Abuse of Psychological Size
Leader
on
-w

On
m

u
n

Direct Report
Direct Report
Direct Report

Direct Report

Onewaycommunicationpresentsthreeproblems:
1. People may be reluctant to say or do anything that might offend the powerful
figure.AccordingtoGeorgeReedyin The Twilight of the Presidency,evenpeople
whohadenjoyedtwowaycommunicationwithLyndonJohnsonwhenhewasinthe
Senatebegantocensuretheirbehavioronceheassumedthepresidency.36
2. People may become dependent on the leader to make all the decisions.
Unwilling
toriskmakingamistakeandbeingcriticized,peoplemayfailtotakeinitiative.The
leadermustthensolvealltheproblemsandmakeallthedecisions.Dependencyon
theleaderunderusesdirectreportsandoverburdenstheleader.
3. People may become resentful of the leader.Theleaderisseenasautocraticand
arrogant,andthisperceptionmaycauseanger,hostility,andevenrebellion.Consider
thecaseoftheinfamousCaptainQueeginthefilmclassic The Caine Mutiny.The
captainsabusivebehavioreventuallyledtotragedyforeveryone.
Howcanleadersavoidtheabuseofpsychologicalsizeanddevelopthetwoway
communicationthatisnecessaryforbothemployeemoraleandjobperformance?
First,theymustrecognizethefactorsthatcontributetopsychologicalbigness:
Highstatusposition.
Useofterminalstatementssothatnodisagreementispossible.
Formal,distantmanner.

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Knowitall,superiorattitude.
Commandingphysicalappearance.
Powertomakedecisions.
Useofsarcasmandridicule.
Jobcompetence.

17

Cru
el
and
puni
Leadership
shin
g
rem
arks
.
Abil

itytoexpressoneself.
Interruptingandshoutingatothers.
Publiccriticism.
Someoftheitemsonthislistaredistinctlypositive.Forexample,jobcompetence
andtheabilitytoexpressoneselfaredesirabletraits.Additionally,someofthefactors
causingpsychologicalbignessareattributesofthepersonortheoffice,anditmaybe
difficultorundesirabletochangethem.Forexample,neitheraleaderscommanding
physicalappearancenorthepowertomakedecisionsshouldbechanged.Similarly,
thestatusofthepositionismostlikelyanunchangeablefactor.Thesevenremaining
factorsofpsychologicalbignessonthelistabove,however,servenopurposeexcept
toalienatepeopleandresultinonewaycommunication.
Useofsarcasmandridicule.
Useofterminalstatementssothatnodisagreementispossible.
Formal,distantmanner.
Cruelandpunishingremarks.
Knowitall,superiorattitude.
Interruptingandshoutingatothers.
Publiccriticism.
Asarule,leadersshouldavoidanybehaviorthatdemeansorintimidatesanother
person.Thesolutionistoequalizepsychologicalsize.Apictureoftheproperuseof
psychologicalsizeandgoodtwowaycommunicationispresentedinFigure86.
Manyleadersmistakenlythinkthatthebestwaytoequalizepsychologicalsizeis
toreducetheirownsize.Indoingso,however,theymayreducetheirsizesomuch
thatrespectislostandcannotberegained.Fewindividualshavetheabilitytogo
fromlargepsychologicalsizetosmallpsychologicalsizeandbackagainwithout

Figure 86
Effective Use
of Psychological Size

Leader
on

Dire

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losingeffectiveness.Therefore,themosteffectiveapproachisnotforleadersto
reducetheirownpsychologicalsize,buttoraisethesizeofothers.
Theeffectiveleaderisaverybigcirclewithaverybigreputation,butthisleader
nevergetsinthewayofthegrowthofothers.Thebestwaytoraisepsychological
sizeistoshowgenuineinterestinpeople.Throughattentiontoothersandsincere
listening,theleadershowsthatothersareimportant.Aproventechniqueistogive
peopleaproject,someworktogrowinto.Thisapproachbuildsprideand
commitment,andincreasestheproductivityofthegroupasawhole.
Leadersshouldkeepinmindthreeimportantpointsindevelopingtwoway
communication.First,modelanhonestandopenstyleofcommunication.Bedirect
andsincereinspeaking.Second,bepatient.Ittakestimeandtrusttocreatedialogue
betweenpeople,andtoorapidachangefromonestyleofoperatingtoanothermay
beinterpretedasinsincerityormayconfusepeople.Third,makeasincereeffortto

drawpeopleoutwithoutconstantlyevaluatingtheirremarks.Thiswillbeseenasa
demonstrationofrespectandwillhelpcreatetruedialogue.Thefollowingguidelines
canhelpaccomplishthisgoal:37

17

Leadership

Stop talking.Youcannotlistentoothersifyouaretalking.Shakespearewrote,
Giveeverymanthineear,butfewthyvoice.38Weeachhavetwoearsandone
mouth,andweshouldusetheseinproportion.
Put the talker at ease.Helptheotherpersonfeelfreetotalk.Provideasupportive
environmentoratmosphere.Sitorstandinarelaxedmanner.
Show the person that you want to listen.Lookandactinterested.Dontreadyour
mailwhiletheotherpersonistalking.Maintaineyecontact.
Remove distractions.Dontdoodleon,tap,orshufflepapers.Shutdownthe
computer.Holdtelephonecalls.Willitbequieterifyouclosethedoor?
Empathize with the person.Trytoputyourselfintheotherpersonsplaceto
understandthespeakerspointofview.
Be patient.Allowtime.Dontinterrupt.Dontwalktowardthedoororwalkaway
whiletheotherpersonistalking.Somepeopletakelongerthanotherstomakea
point.
Hold your temper.Anemotionalpersonmaymisinterpretamessageormaysay
somethingunintended.Ifyouareangry,cooloffbeforeresponding.Takeawalk,
ortrycountingto10.
Go easy on argument and criticism.Beingjudgmentalputsthespeakeronthe
defensiveandmayresultinablowup,oritmaycausethepersontoshutdown.
Listentounderstand,ratherthantomakejudgments.
Ask questions.Thisresponseencouragesthespeakerandshowsyouarelistening.
Italsohelpsdevelopadditionalpoints.Fewactionsdemonstraterespectasmuch
asaskingothersfortheiropinion.
Encourage clarification.Whenthespeakertouchesonapointyouwanttoknow
moreabout,simplyrepeatthestatementasaquestion.Thistechniquewillallow
clarificationandelaboration.
Stop talking.Thisisthefirstandlastpoint,becauseallothersdependonit.You
cannotdoagoodjoboflisteningwhileyouaretalking.AsShakespearewrote,
Givethythoughtsnotongue.39

Overall,aleadersuseofpsychologicalbignessandoverbearanceiseffectiveforonly
ashortperiodoftime.Afterawhile,dissatisfactioncausesemployeestorebelorescape.
Effectiveleadersatalllevelsofauthorityunderstandthishumanrelationsprinciple.

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WhatcanwelearnfromGandhi,theIndianspiritualandpoliticalleader?Wecan
learnwhatGandhilearnedfromhiswifeKasturbiduring57yearsofmarriage.When
theyweremarriedintheirteens,aswasthecustominIndia,theyoungbridegroom
wasfullofstrongopinionsandrecommendationsforhisyoungwifetoimplement.
Herusualapproachwastolistenandsmile,butthentoproceedwithherown
methodsandatherownpace.
Laterinlife,Gandhireportedthathehadlearnedthepowerofcivildisobedience
andtheimportanceofpatiencefromhiswife.Fromher,hehadlearnedalifelong
leadershipmessagemostpeople,inthefinalanalysis,willdowhattheypersonally
choosetodo,andnoamountofcoaxingorforcecanovercomeanideaorprinciple
thatispersonallybelieved.Greatleadersguideandinspirenotcommandand
control.40

Lessons from
Gandhi

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CHAPTER

Empowerment in the
Workplace and the
Quality Imperative

nareportfortheBrookingsInstitution,SteveLevineandLauraDAndreareviewed
allmajorstudiesofempowermentintheworkplace.Theirfindings:Ifyousumit
allup,employeeparticipationhasapositiveimpactonbusinesssuccess.Itisalmost
nevernegativeorneutral.Moreover,studiesofemployeeownedcompaniesshowthat
stockownershipalonedoesntmotivateemployeestoworkharder,whileownership
combinedwithparticipationdoes.41
FederalExpress,nowknownsimplyasFedEx,hasremainedthemarketleaderin
theindustryithelpedcreate40yearsago.ThenameFedExissynonymouswith
overnightdelivery.Participativeleadershipandemployeeempowermenthavebeen
instrumentalinthecompanyssuccess.FredSmith,ChairmanofFederalExpress,
explainstheimportanceofempowermentintheworkplace:

Empoweringpeopleisthesinglemostimportantelementinmanagingourorganization.
Empoweredpeoplehavethenecessaryinformationtomakedecisionsandact;theydonthave
towaitformultiplelevelsofauthorization.Empoweredpeopleidentifyproblemsandtheyfix
them.Theydowhatittakestokeepcustomershappy.Empoweredpeopledonthavetimefor
turfbattles,becausewheneveryonesharespowerandacommongoal,turfbecomesirrelevant
andteamworkbecomesanimperative.42

Todiagnosetheneedforempowermentinagroupororganization,answerthe
followingquestions:

Dopeopleseemuninterestedintheirwork?

Areabsenteeismorturnoverratestoohigh?
Dopeoplelackloyaltyandteamspirit?
Istherealackofcommunicationamongindividualsandgroups?
Istherealowlevelofpride?
Arecoststoohighasaresultofwasteandinefficiency?
Doesthequalityofproductorqualityofserviceneedtobeimproved?

Iftheanswerisyestoanyofthesequestions,thenempoweringpeoplecanhelp.
Agreatdealofempowermentintheworkplaceisgeneratedbyeffortstoim
proveperformance.Ascompaniesareforcedtocompeteinanincreasinglyglobal
economy,theyarefindingthatthepathtosuccessislongandwinding.Onthat
patharemanybouldersandpebblesthatmustbecleared.Ittakesthestrengthof
managementtoremovethebouldersbuildanewplant,createanewproduct,
andthelike.Andittakestheattentionandeffortofemployeestocastawaythe
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4 / The Empowerment of
People

ataFordplantmanyyearsagowhosuggesteda
manufacturingimprovementthatsavedthecompanyhundredsofthousandsofdollars.
HenryFordhimselfrewardedtheemployeeandaskedhimwhenhehadthoughtof
theidea.Yearsago,theemployeesaid.AskedbyanincredulousFordwhyhedidnt
sayanythingearlier,theemployeereplied,Nobodyaskedme.43
Today,justasyesterday,thetaskoftheleaderistounleashandchannelthepower
ofpeople.Whenhewasasked,Whatisyourjob?GeneralElectricsJackWelch
said:Ihavethreethingstodo.Ihavetochoosetherightpeople,allocatetheright
numberofdollars,andtransmitideasfromonegrouptoanotherwiththespeedof
light.Iamreallyacommunicatorandfacilitatorfortheworkofothers.44
AsoneofthemostwidelyadmiredandstudiedCEOsofhistime,Welchenriched
notonlyGEsshareholdersbutalsotheshareholdersofothercompaniesaroundthe
globe.Histotaleconomicimpactisimpossibletocalculate,buthisleadershiphad
staggeringinfluenceonGEsperformanceduringhistenureincharge.Underhis
leadership,thecompanysrevenuegrewfrom$27billiontoover$100billionin
20years.
WelchbeganbychangingGEsgoal,whichpreviouslyhadbeensimplytogrow
fasterthantheeconomy.WelchgaveGEanewmission:tobetheworldsmostvaluable
company.AsthecenterpieceoftheplanwashisdeclarationthateveryGEbusiness
mustbenumberoneornumbertwoinitsindustry.
Welchbelievedthatthebeststrategieswouldnotworkwithouttherightleaders.
Soheselected,trained,andheldleadersaccountabletothefourEsofleadership:
highpersonal energy,theabilityto energizeothers,the edgetomaketoughdecisions,
andtheabilityto executestrategy.
Welchthenconcentratedonreformingthepracticesandculturethatdetermined
daybydayhowthecompanyworked.HebeganbyburningGEsbluebooks,five
thickvolumesofguidanceforeveryGEmanager.HismessagetoGEsmanagers
was,Youownthesebusinesses.Takechargeofthem.Thinkforyourself.Gethead
quartersoutofyourhair.Fightthebureaucracy.Hateit.Kickit.Breakit.
Ifemployeesweresurprisedbythewords,theyweremoresurprisedbytheactions
thatfollowed.Welchwipedoutentirelayersofbureaucraticmanagement,andhe
launchedthefamous workout process,inwhichemployeesatalllevelsofanopera
tiongatheredfortownmeetingswiththeirbossesandaskedquestionsormade
proposalsabouthowtheplacecouldrunbetter80percentrequiringsomekindof
responsethenandthere.
Themultidayworkoutsessionstookhugechunksofwastedmoneyandtimeout
ofGEsprocesses,buttheirmoreimportanteffectwastoteachpeoplethatthey
hadarighttospeakupandbetakenseriously;thosewhoadvancedgoodideaswere
rewarded,aswerethosewhoimplementedthem.
Thenextnaturalstepwastospreadgoodideasacrossthecompany.Doingthis
soundslogicalandobviousbutithadntbeendonebefore.Thenamoreradical
movefollowed:borrowinggoodideasfromothercompanies.Welchadvocatedthis
onepersonallytoshowitwasactuallyOK,andtodayhestatesthatwhatGElearned
aboutassetmanagementfromToyotaoraboutquickmarketintelligencefrom
Walmarthasbeenenormouslyimportantinthesuccessofthecompany.
WelchimplementedSixSigmaatGE,aprogramthatsetsthegoalof99.99percent
qualityproductionoutcomes,oronly3.4defectiveproductspermillionoperations.
Herequiredmanagerstosetstretchgoals,whichwerethehighesttheythought
theyhadareasonablechanceofachieving.
AtleastasimportantasthesehighprofilechangeswereWelchsbehindthescenes
peoplepractices,whichhesaystookmoreofhistimethananythingelse.Whena
managermetwithWelch,theexchangewascandid,notscripted.Therewereargu
ments.Therewasshouting.Themanageralmostcertainlyhadtodonewthinking
onthespot.Afterward,Welchwoulddispatchahighlyspecificwrittensummaryof
commitmentsthemanagerhadmade,andwhenWelchfolloweduplateralsoin

Leadership

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9 / Empowerment in the Workplace and the Quality
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writinghewouldrefertotheprevioussummary.Hedidthiswithrelentlessconsis
tencywithscoresofmanagers.45TheempowermenttacticsusedbyJackWelchcan
beappliedinallsizesandtypesofprivate,public,andnotforprofitorganizations.46

Principles of an Empowered Workplace


RobertCole,influentialauthorandeducator,identifiesfiveprinciplesofleadership
thatempowerpeople.Implicitintheseprinciplesistheassumptionthatbroadpartici
pationinthedecisionmakingprocessisnecessaryforsuccess.

Trust in people.Assumetheywillworktoimplementorganizationalgoalsifgiven
achance.
Invest in people.Viewpeopleastheorganizationsmostimportantresource,
which,ifcultivated,willyieldpositivereturns.
Recognize accomplishments.Symbolicrewardsareextremelyimportant.Show
peoplethattheyarevalued.
Decentralize decision making.Putresponsibilityformakingdecisionswherethe
informationisandasclosetothecustomeraspossible.
View work as a cooperative effort.Modelandreinforcetheideathatbyworking
together,peopleaccomplishmore.47

Characteristics of an Empowered
Workplace
Peopleexperiencefeelingsofownershipinempoweredorganizations.Thisensures
thattheywilldoeverythingtheypossiblycantocreatesuccess.Notonlyaretheir
egosinvestedintheorganization,buttheirabilitiesareaswell.Intheend,theresult
isvictoryforthepersonandtheorganization.SeeTable91.
Table 91
Workplace Empowerment48

Process
Decision making

Unempowered
Check with leader on
all decisions.
Leader writes
performance plan
and reviews with
subordinates.
Leader decides policy.

Out of Control
Check with nobody on
decisions.
There is no
performance plan.

Empowered
Check with those
affected on decisions.
Subordinate writes
performance plan and
reviews with leader.

People ignore policy.

Problem solving

Wait for them to fix


problems.

Taking initiative

Never volunteer for


anythingwait to be
asked or assigned.

Bypass system to
work around
problems.
Many people work
on the same thing
without
communicating.

Work with those


responsible to develop
policy.
Find out who they
are and work together
to fix problems.
Recognize what needs
to be done; inform
leader and others
affected; start action
to improve.
Work together to
define roles and
responsibilities.

Performance
planning
Making policy

Roles and
responsibilities are
conflicting and
unclear.
Setting standards Perform to standards There is no concern
determined by others. with standards.
Defining roles

Roles and
responsibilities are
defined by leader.

Work together to
determine standards
of employee
effectiveness.

Thefollowingcaseshowstheroleofempowermentinfacilitatingchangeona
globalscale.

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Empowerment Facilitates Change


Nissan Motor Company was on the brink of bankruptcy when French automaker Renault purchased a controlling interest and installed Carlos Ghosn as
the effective head of the Japanese automaker. Along with Nissans known
problems of high debt and plummeting market share, Ghosn (pronounced
gone) saw that Nissan managers had no apparent sense of urgency to
change. Even though the evidence is against them, they sit down and they
watch the problem a little bit longer, says Ghosn.
Ghosns challenge was to act quickly, yet minimize the inevitable resistance

17

th
at
ar
is
eLeadership

usiness practices. I was non-Nissan, non-Japanese, he says. I knew that if I tried to dictate
changes from above, the effort would backfire, undermining morale and
productivity. But if I was too passive, the company would simply continue its
downward spiral.
To resolve this dilemma, Ghosn formed nine cross-functional teams of 10
middle managers each and gave them the mandate to identify innovative proposals for a specific area (marketing, manufacturing, etc.) within three
months. Each team could form subteams with additional people to analyze
specific issues in more detail. In all, more than 500 middle managers and other
employees were involved in the so-called Nissan Revival Plan.
After a slow startNissan managers werent accustomed to such authority
or working with colleagues across functions or culturesideas began to flow
as Ghosn stuck to his deadline, reminded team members of the automakers
desperate situation, and encouraged teams to break traditions. Three months
later, the nine teams submitted a bold plan to close three assembly plants,
eliminate thousands of jobs, cut the number of suppliers by half, reduce purchasing costs by 20 percent, return to profitability, cut the companys debt by
half, and introduce 22 new models within the next two years.
Although [they were] risky, Ghosn accepted all of the proposals. Moreover,
when revealing the plan publicly on the eve of the annual Tokyo Motor Show,
Ghosn added his own commitment to the plan: If you ask people to go
through a difficult period of time, they have to trust that youre sharing it with
them, Ghosn explains. So I said that if we did not fulfill our commitments, I
would resign.
Ghosns strategy for organizational change and the Nissan Revival Plan
worked. Within 12 months, the automaker had increased sales and market
share and posted its first profit in seven years. The company introduced innovative models and expanded operations. Ghosn, who received high praise
throughout Japan and abroad, is now Chairman and CEO of Renault, Nissan
Motor Company.49

s
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h
e
n
a
n
o
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tri
e
s
to
c
h
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al
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b

The Importance of Communication


Anessentialelementofanempoweredworkplaceisgoodcommunication.Oneof
thebestwaystoachieveeffectivecommunicationistorecognizewheremostpeople
prefertogetinformation,asopposedtowheretheyactuallyreceiveit.Table92
showsvarioustypesofcommunicationandranksthem,bothasactualandas
preferredinformationsources.

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15
Table 92
Where People Go for
Information50

Actual Rank

1
2
3
4
5
6
7
8
9
10
11
12
13
14

Mass meetings
Union
Orientation program
Immediate
Top executives
supervisor
Audiovisual programs
Grapevine
Policy handbook and Mass media
Upward communication
other written
programs
information
Bulletin board(s)
Small group
meetings
Regular, general
member publication
Annual business
report
Regular, local
member publication
Source

Major Source
for Employees

24.6
20.2
15.9
13.2
12.5
11.7
10.2
9.7
9.0

55.1%
39.8
32.0
31.5
28.1
27.9

Preferred
Rank

1
15
4
9
2
6

7
8
11
13
5
3
12
14
10

Theactualandpreferredrankingsofwherepeoplegoforinformationshowthat
peoplewantaccurate,timely,andcompleteinformation,andthattheirmostpreferred
sourcesarethe immediate supervisor, small group meetings, top executives,
policy
handbook, orientation programs,and member newsletters.
Effectiveleadersrealizethatitisimpossibleto notcommunicate,evenwhenyou
arenotspeaking.Forexample,aclosedofficedoorcancommunicateapowerful
message.Communicationisthemostimportanttoolwehavetogetworkdone,and
thebestleadersarethosewhoacknowledgethisandworkoncommunicationability
andcontent.
Successfulcompaniesusecreativemechanismstoensurecommunication.Consider
Mothersworktablecrosspollinationtechnique:Thecompanys100employees
performtheirdailyworkaroundonegianttablethatextends300feetlikeaskateboard
ramparoundtheentirefloor.Everythreeweeks,employeesareaskedtorelocatetheir
workspacelaptop,portablephone,andothertoolsandmovetoanotherarea
aroundthetablebetweentwonewpeople.Oneweek,youmightbesittingbetween
afinancepersonandacreativemarketeer.Thenext,youmightbesittingbetweena
partnerinthefirmandsomeonefromproduction.Whythemuscialchairsexercise?
Itbreaksdowncommunicationbarriersandencouragescrosspollinationofideas.51

Managing the Grapevine


CiscoCEOJohnChambersstates:Everyleaderischallengedtobothhearandbe
heard.HowdoesChambersaddressthisneverendingandcriticalneed?Heusesa
combinationofhitouchandhitechmethodsthatworkwellforhim.
1.Regularlygettingoutoftheofficeandtalkingwithsmallandlargegroupsof
employees.
2.Dailyemailbecauseitgivestheabilitytosendaclearmessagetolargenumbers
ofpeople.
3.Fortyto50voicemailsaday(onthewaytoandfromwork)becauseheisavoice
personwholikestolistentoemotionsandspeakwithemotion,too.
4.Videoondemandhisprimarycommunicationvehicletodaytentofifteenvideos
aquarterthatemployeesandcustomerscanwatchwhentheywant.
5.AmonthlyCEObreakfastwithanyonewhohasabirthdayinthatmonthno
directorsorVPsintheroomtokeepafingeronthepulseofwhatsworkingand
whatsnot.Chamberssays,Itisbrutal,butitismymostenjoyablesession.52

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Filling the Need to Know Gap


Therearemanybooksandarticlesonhowtocommunicate;thequestionis,What
shouldbecommunicated?Employeesfromtheexecutivesuitetotheshopfloorhave
threeneedstoknow:(1)Theyneedtoknowthegrandplanthepurpose,values,
andstrategiesforsuccessfortheorganization;(2)theyneedtoknowwhatisexpected
ofthempersonally,andwhy;and(3)theyneedtohavefeedbackonindividual
performance,withrecognitionfortheirefforts.
Onecanseethismustbeatoptobottomprocesstobemosteffective;ifthings
arefuzzyatheadquarters,theywillbeevenmorefuzzyatthedoinglevel.Itis
obvious,yetoftenignored,thattheneverendingtaskofleadersistobesurethesemes
sagesareclearlycommunicatedandunderstoodbyeveryindividualintheorganization.
Thosewhooccupyleadershippositionsmustbeheldaccountablefordoingso.53

High-Performance Workplace

18

Whatpracticalstepscanaleadertaketodevelopahighperformanceworkplace?Man
agementauthorsEricHarveyandAlexanderLuciahaveidentified144timetestedways
toincreaseleadereffectiveness.PresentedinTable93are20ofthebest.Aneffective
approachistoreviewthese20andpickfivetoimplement.Byconcentratingonfive,the
leadercanmakeameasurabledifferenceinworkmoraleandjobperformance.

T
h
e Leadership

Practical Tips for Developing a High-Performance Workplace 54


Table 93
1. Adopt an orientation to action and results. Focus on results-oriented processes and outcomes that add value to the organization,
rather than on staying busy with activities and events that merely consume time.
2. Recognize and reward those who make improvements to products, processes, and services. Remember: What gets celebrated gets
repeated.
3. Be customer-driven. Build customer satisfaction by underpromising, overdelivering, and following up to be sure customers are
satisfied. Solicit input on how your products and services can be improved.
4. Maintain a commitment to self-development. Become a continuous learning machine. Set a personal goal to learn something new
about your job, your organization, or your professional discipline every week.
5. Make timely and value-driven decisions. Involve those who must implement decisions in the decision-making process. Consider the
ideas and opinions of those who do the work, because they frequently have a great deal to contribute. In addition, theyll be more
likely to support decisions they help make.
6. Be flexible. Understand and appreciate that others may not do things exactly as you would do them. Be open-mindedyou might
discover their way is even better than yours.
7. Coach others to succeed. Pay attention to middle stars. Avoid the trap of focusing only on the super stars (those with
exceptional performance) and the fallen stars (those with significant performance problems). Most people shine somewhere in
the middle.
8. Schedule a short meeting with each of your direct reports once every two or three weeks. Discuss their work in progress, provide
feedback on how they are doing, and ask how you and others can contribute to their success.
9. Minimize obstacles. Ask each member of your work group to identify the three most significant obstacles to his or her
performance. Create a master list, and develop a strategy to eliminate the obstacles.
10. Benchmark the best. Study industries, organizations, and individuals that beat the competition by overcoming challenges and
obstacles. Also, review case studies of those that did notand lost.
11. Address deficiencies. Pay attention when someone has a performance problem. Unaddressed deficiencies can have a negative effect
on every member of your team. By dealing with performance issues as early as possible, you can prevent them from growing
more seriousand more distasteful for both you and the individual to face.
12. Let your conscience be your guide. Do the right thing no matter how inconvenient, unpopular, or painful it may seem. Thats
integrity!
13. Enhance the work environment. Ask fellow workers to submit three ideas for enhancing the quality of work life in your area. Create
a master list of ideas, and start implementing the doable ones as quickly as possible.
14. Spread the sparkle. Get enthused about others who are enthusiasticits contagious and can snowball quickly. Recognize and
reward those who help contribute to a culture of contagious enthusiasm.
15. Display resilience. Its not whether you get knocked down, its whether you get up that counts. Take a hikego on a 10-minute
walk to calm down, reflect, and develop a bounce-back strategy.
Continued

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Table 93 Continued
16. Show concern for others. Remember special occasions. Send cards with personalized messages to your fellow workers on special
days, such as birthdays and anniversaries with the organization.
17. Spend one-on-one time with each member of your team. Open these get-togethers with a general question, such as How are things
going with you? Then really listen to what the person has to say. Listening is an important way to demonstrate that you care.
18. Manage meetings effectively. Supply participants with a written agenda two to three days before a meeting. Make sure the agenda
includes meeting objective(s), issues to be discussed, start/end times and location, and information regarding who will be
attending, how participants should prepare, and what they should bring. End all meetings with a short review of the results.
Discuss what was accomplished and what, if anything, needs to be done after the meeting.
19. Be sure everyone who reports to you has clarity of assignment and tools to succeed. Do they know the grand plan and their place in
it? Do they have equipment and supplies to do their best work?
20. Communicate effectively. Think before you speak, and plan before you write. Understand your message before expecting others to.
Target your communication to the intended audience by using terminology they are likely to understand. Consider pretesting
important communications on individuals who will give you candid feedback.

Leadership Challenge

RenMcPherson,pastpresidentofDanaCorporation,states:Almosteverybody
agrees,peopleareourmostimportantasset.Yetalmostnoonereallylivesit.Great
companieslivetheircommitmenttopeople.Itisanoldtruththatappliestoday:The
humansidecounts.Anditisnosecretthatthenumberonefactoristhecharacterand
actionsofempoweringleaders.55
ColinPowellisknownforhisleadershipability.Heisuniversallyadmiredasan
empoweringandeffectiveleader.In My American Journey,heidentifiesrulesgleaned
fromhisyearsofexperience:(1)haveavision;(2)bedemanding;(3)checksmall
things;(4)sharecredit;(5)becalmandkind;and(6)rememberthatperpetual
optimismisaforcemultiplier.56
Inhisworkonservantleadership,RobertGreenleafproposesthattheworldcanbe
savedaslongasthreetrulygreatinstitutionsexistoneintheprivatesector,onein
thepublicsector,andoneinthenonprofitsector.Hebelievesthattheseorganizations
willachievesuccessthroughaspiritofcommunity,andthattheirsuccesswillserve
asabeaconfortheworld.Thekeyineverycaseis caring leadershipandthe
empowerment of people.57

The Quality Movement


Ifthereisasinglemostimportantfactorineffortstoempoweremployees,itisthe
qualitychallengefacedbycompaniesstrugglingtocompeteinaglobalmarketplace.
Simply,qualityproductsandservicearedemandedbyconsumers,andproviding
themrequiresatalented,committed,andempoweredworkforce.
JosephJablonskiwritesin Implementing Total Quality Management,Thisisa
cooperativeformofdoingbusinessthatreliesonthetalentsandcapabilitiesofboth
laborandmanagementtocontinuallyimprovequalityandproductivityusing
teams.58Implicitinthisdefinitionarethreeessentialingredients:(1)participative
leadership,(2)continuousprocessimprovement,and(3)theuseofgroups.
Thephilosophybehindthequalitymovementisthatthepeopleclosesttothework
usuallyhavetheexperienceandknowledgeneededtocomeupwiththebestsolutions
toworkrelatedproblems.RenMcPherson,formerpresidentofDanaCorporation
anddeanofbusinessatStanfordUniversity,pointsout:
Untilwebelievethattheexpertinanyparticularjobismostoftenthepersonperformingit,we
shallforeverlimitthepotentialofthatpersonintermsofcontributiontotheorganizationandin
termsofpersonaldevelopment.Consideramanufacturingsetting:Withintheir25squarefoot
area,nobodyknowsmoreabouthowtooperateamachine,maximizeitsoutput,improveits
quality,optimizethematerialflow,andkeepitoperatingefficientlythandothemachine
operators,materialhandlers,andmaintenancepeopleresponsibleforit.Nobody.59

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Thefollowingareexamplesofimprovingqualitythroughemployeeinvolvement:
ThedepartmentstoreNordstromputsthephilosophyandspiritofthequalitymove
mentintopractice.Postedintheemployeehandbookisafivebyeightinchcardwith
thefollowingwords:WelcometoNordstrom.Wearegladyouarehere!Ournumber
onegoalistoprovideoutstandingcustomerservice.Setyourpersonalandprofes
sionalgoalshigh.Wehavegreatconfidenceinyourabilitytoachievethem,soour
employeehandbookisverysimple.Wehaveonlyonerule:Useyourgoodjudgment
inallsituations.Therearenoadditionalrules.Pleasefeelfreetoaskyourdepartment
manager,storemanager,orhumanresourceofficeanyquestionatanytime.
AtRitzCarlton,everyworkerisauthorizedtospendupto$1,000tofixany
problemaguestencounters.Employeesdonotabusethepolicy.Whenyoutreat
peopleresponsibly,theyactresponsibly,statesPatrickMene,thehotelchaindirec
torofquality.
SamWalton,founderofWalmart,wasfamousfortappingtheideasoffrontline
employees,thepeopleclosesttothecustomer,saying,Thekeytooursuccessisto
getoutintothestoresandlistentowhatourassociateshavetosay.Itisinterestingto
notethatwhenhedied,SamWaltonwastherichestmanontheplanetandalso
belovedbyhisemployeesandcustomers.
Anexampleofforgettingtheconsultantandaskingtheemployeecomesfrom
oneofNewYorksleadingculturalinstitutions.Beforecontractingwithanexpensive
outsideconsultanttodeterminewhichofitsmanyexhibitswasthemostpopularwith
visitors,managementgottheideatoaskthejanitorwherehehastomopthemost.60

18

rds Deming,hasbeencriticalinthehistory
ofthequalitymovement.In1947hewasrecruitedbyAmericanauthoritiesin
Japantohelpprepareacensus,andimmediatelyhetookaninterestintherestruc
turingoftheJapaneseeconomy.In1950,a49yearoldDemingdeliveredaspeech
totheJapaneseUnionofScientistsandEngineers(JUSE)entitledTheVirtuesof
QualityControlasaManufacturingPhilosophy.Thisspeechwastohaveapro
foundeffectonDemingsaudience.TheJapanesebelievedinthisteacherfromthe
UnitedStateswithhisspartandedicationtoworkandSocraticteachingstyle,and
theyappliedhisideas.61
DemingbecameaJapanesefolkhero,andsince1951,theDemingPrizehasbeen
awardedannuallyinrecognitionofoutstandingachievementinqualitycontrol.Inan
interviewbeforehisdeathin1993,Demingsaid,IthinkIwastheonlymanin1950
whobelievedtheJapanesecouldinvadethemarketsoftheworld,andwould,within
fiveyears.Theydidthisthroughadedicatedandsustainedcommitmenttoquality.62
TheprimaryresultofDemingsinfluenceinJapanwasthatpeopleattheproduc
tionlevelweretaughtthestatisticaltechniquesofqualitycontrol,andthenwere
delegatedthetaskandthepowertoorganizetheirworksothatthequalityofproducts
couldbeimproved.Also,Demingwasabletoconvincetopmanagementofthe
necessityofpersonalinvolvementandcommitmenttobuildingqualityproducts.
InalectureattheHoteldeYamanearHakone,Japan,Demingproducedasimple
flowdiagramtoillustratehisconceptofaqualitysystem.Thatdiagram,oraslight
variationthereof,canbefoundinjustabouteveryJapanesecorporationtoday.
Essentially,Demingtaughtthatthemorequalityyoubuildintoanything,thelessit
costsoveraperiodoftime.63Healsotaughttheimportanceofdesigningagood
systemandprocess.Todemonstratethisidea,Demingdevelopedwhathecalledthe
RedBeadExperiment:

W
.
E Leadership
d
w
ar
ds
D
e
m
in
g
The
infl
uen
ce
of
one
pers
on,

Tenpeoplearepickedandassignedjobs:sixwillingworkers,twoinspectors,onechief

W.

inspector,andonerecorder.Theobjectiveistoshowhowapoorlymanagedsystem,notthe
workers,leadstodefectsandpoorquality.
Demingexplainsthatthecompanyhasreceivedorderstomakewhitebeads.Unfortunately,
therawmaterialsusedinproductioncontainacertainnumberofdefects,orredbeads.

Ed
wa

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9 / Empowerment in the Workplace and the Quality
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Withboththewhiteandredbeadsinaplasticcontainer,thesixworkersaregivenapaddle
withfiftyindentationsinitandtoldtodipitintothecontainerandpullitoutwitheach
indentationfilledwithabead.Theythentakethepaddletothefirstinspector,whocountsthe
redbeads,ordefects.Thesecondinspectordoesthesame,andthechiefinspectorchecks
theirtally,whichtherecorderthenrecords.
Deming,playingtheroleofamisguidedmanager,actsupontheresults.Aworkerdrawing
outapaddlewithfifteenredbeadsisputonprobation,whileaworkerwithjustsixredbeads
getsameritraise.Inthenextround,theworkerwhohadsixredbeadsnowhaseight,andthe
workerwithfifteenhasten.Inhismisguidedmanagerrole,Demingthinksheunderstands
whatshappening:thattheworkerwhogotthemeritraisehasgottensloppytheraisewentto
hisheadandtheworkeronprobationhasbeenfrightenedintoperformingbetter.
Andsoitcontinuesacycleofrewardandpunishmentinwhichmanagementfailsto
understandthatthedefectsarebuiltintothesystemandthattheworkershaveverylittletodo
withit.
Wegavemeritraisesforwhatthesystemdid;weputpeopleonprobationforwhatthe
systemdid,Demingsays.Managementwaschasingphantoms,rewardingandpunishinggood
workers,creatingmistrustandfear,tryingtocontrolpeopleinsteadoftransformingaflawed
systemandthenmanagingit.64

QualitywasDemingsmessagetotheJapanese.Theylistened,theylearned,and
theypracticedwhatDemingpreached.Japanesemanufacturersbecameprofitable,
wellmanaged,andcompetitive.Demingdescribesachainreactionforbusinesssuccess
beginningwithimprovingqualityandresultinginjobsandmorejobs.SeeFigure91.
Improving Quality and Its Benefits
Figure 91
The Deming Chain
Reaction65

Costs decrease because


Begin by
improving quality.

of less rework, fewer


mistakes, fewer delays

and snags, and better

improves.

Productivity

use of time and materials.

The firm captures the


market with better
quality and lower
prices.

The firm stays


in business.

The firm provides


jobs and more jobs.

Increasingly,Americanorganizationspublicandprivate,largeandsmallhave
followedtheexampleofthesuccessfulJapaneseintheireffortstoimprovequality.
TheseorganizationsincludeGeneralElectric,Motorola,FordMotorCompany,andthe
U.S.Army,Navy,andAirForce.Althoughqualityimprovementeffortswerebyno
meansuniversallysuccessful,mostorganizationsfoundtheiremployeestobeavaluable
sourceofinnovationandmoneysavingideas.Thefollowingaretypicalexamples:
In1998,BoeingwontheMalcolmBaldrigeNationalQualityAwardbyachievinga180degree
turnaroundinqualitywithitsC17militarycargojet.Usingqualityguidelinesandimprovement
teams,BoeingcutthetimeittooktobuildaC17by80%between1994and1998.Productivity
increasedfrom$200,000peremployeeto$327,000peremployeeduringthisperiodoftime.66
In2003,UBSPaineWebberbrokerstrainedinteamdevelopmentgenerated19percentmore
revenuesand9percentmoreassetsthanallotherUBSPaineWebberadvisers,whetherthey
workedsolooronteams.Themainreasonforthisimprovedperformanceisthatproperly
trainedteamsofferclientsbetterproductandservicedevelopment.67

Experiencessuchasthesearenowcommonplaceasthequalitymovementand
employeeempowermenthavespreadthroughoutAmericanbusiness,industry,and
government.

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The Deming Way68

Nodiscussionaboutleadership,empowerment,andqualityiscompletewithout
includingDemings14pointsforasuccessfulworkplace.Thesepointsorpractices
canbeappliedinbothprivateandpublicorganizations.
1.Createconsistencyandcontinuityofpurpose.Planproductswithaneyetothe

longrangeneedsofthecompany;dontsuccumbtothepressuresofthequar
terlyreport.

2.
14.
3.
4.
5.

6.
7.

8.

9.
10.
11.
12.
13.

Sethighstandards.Nocompanycancompeteintheworld Improvejobtraining.Makecontinuouslearningawayoflife.Teachstatistical
techniques.Therudimentscanbelearnedinafivedayintensivecourse.
marketuntilitsman
agementdiscardsoldnotionsaboutacceptablelevelsof Provideahigherlevelofsupervision.Focussupervisiononhelpingpeopleto
mistakes,defects,and
doabetterjob,andprovidetoolsandtechniquesforpeopletohavepridein
Leadership
18
inadequatetrainingandsupervision.
theirwork.
Eliminatedependenceonmassinspectionforquality.Use Breakdownbarriersbetweendepartments.Encourageproblemsolvingthrough
teamwork.Createateamconsistingofdesign,research,sales,purchasing,and
statisticalcontrolsfor
productionpersonneltoeliminateerrorsandwaste.
incomingandoutgoinggoods.
Reducethenumberofsuppliers.Buybasedonstatistical Stampoutfearbyencouragingopen,twowaycommunication.
Abolishnumericalgoalsandslogans.
evidenceofquality,not
Usestatisticalmethodsforcontinuousimprovementofqualityandproductivity.
price.
Recognizethattherearetwosourcesofqualityproblems: Removebarrierstoprideofwork.
faultysystems(85percent
Instituteavigorousprogramofeducationandtrainingtokeeppeopleabreastof
probability)andtheproductionworker(15percent
newdevelopmentsinmethods,materials,andtechnologies.
probability).Strivetoconstantly
Clearlydefinemanagementspermanentcommitmenttoqualityandproductivity.
improvethesystem.
Number14deservesspecialemphasis.JosephJuran,apioneeringarchitectofthe
scienceofmanagingforquality,taughttheimportanceoftopmanagementsownership
andparticipation.Intheabsenceofvisiblecommitmentatthetop,qualityinitiativesare
doomedtofailure.

Philosophical Roots
of the Quality Movement

Beginning with
Taylor

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Thefollowingisadiscussionofthephilosophicalrootsofemployeeempowerment
andthe quality movement.
In1911FrederickW.Taylorwrotehisfamousbook Principles of Scientific Management,whichwaseventuallytranslatedintodozensoflanguages.Hedevelopedoneof
thefirstmonetaryincentivesystemstoimprovetheproductivityofworkerswhowere
loadingpigironontorailroadcars.Hisprinciplesandincentivesystemweresoon
extendedtomanyotherindustries,becomingthebasisforaworldwidescientific
managementmovement.

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Taylorisrecognizedtodayasthefatherofmodernmanagementandoftheindustrial
engineeringdiscipline.Hisscientificmanagementphilosophyissummarizedinfour
basicprinciples:
1.Developascienceforeachelementofanemployeesworkthatreplacestheold

ruleofthumbmethod.
2.Scientificallyselect,train,teach,anddeveloptheworker.(Inthepast,theem
ployeechosethejobandwasselftrained.)
3.Heartilycooperatewithemployeestoensurethatallworkisdoneinaccordance
withtheprinciplesofthesciencethathasbeendeveloped.
4.Dividetheworkandresponsibilitybetweenmanagementandemployee.Man
agersshouldtakeoverallworkforwhichtheyarebetterfittedthantheworker.
(Inthepast,theworkertookalmostalloftheworkandthegreaterpartofthe
responsibility.)69
Taylorhasbeencriticizedforadvocatinganextremedivisionoflabor,resulting
inroutine,repetitive,andboringjobsonassemblylines.Whenhisscientific
managementphilosophyisconsideredintheframeofreferenceoftheearly1900s,
however,itislogicalandevenparticipativeinnature.Headvocatedasystematic
approachtoproblemsolving,cooperationbetweenlaborandmanagement,training
ofemployees,afairrewardsystem,andproperassumptionofresponsibilityby
bothlaborandmanagement.Thesewererevolutionaryconceptsforthattime.
Ifonlyslightlymodified,theyapplytotheenlightenedleadershippracticesof
today.70

Scientific
Management
and the Model-T

Inthe1920s,EltonMayo,FritzRoethlisberger,andateamofresearchersfromHarvard
UniversityconductedaseriesofstudiesattheHawthornePlantoftheWesternElectric
CompanyinasuburbofChicago.Thesestudiesweretoprofoundlyaffectmanagement
theoryandpractice.TheHawthornestudiesmarkedthebeginningofwhatwould
laterbecalledthehumanrelationsschool.
WhentheHarvardteambegantheirwork,theirgoalwastodeterminehow
environmentalconditions,suchaslightingandnoiselevels,affectedemployee
productivity.Theysoondiscoveredthatsocialfactorsandgroupnormsinfluence
productivityandmotivationmuchmorethandothecombinedeffectsofphysical
conditions,money,discipline,andevenjobsecurity.In1939Roethlisberger
summarizedthesefindingsinhisfamousbook Management and the Worker.72
Inthe1950sand1960s,thewritingsofAbrahamMaslow,ofhierarchyofneeds
fame,andDouglasMcGregor,knownfortheoryX,theoryY,reinforcedthehuman

The Human
Relations
School

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Henryfordtookarevolutionaryapproachtoautomobilemanufacturingbyusingsci
entificmanagementprinciples.
Aftermuchstudy,machinesandworkersinFordsnewfactorywereplacedin
sequencesoanautomobilecouldbeassembledwithoutinterruptionalongamoving
productionline.Mechanicalenergyandaconveyorbeltwereusedtotaketheworkto
theworkers.
Themanufactureofpartslikewisewasrevolutionized.Forexample,formerlyit
hadtakenoneworker20minutestoassembleaflywheelmagneto.Bysplittingthe
jobinto29differentoperations,puttingtheproductonamechanicalconveyor,and
changingtheheightoftheconveyor,Fordcutproductiontimeto5minutes.
By1914chassisassemblytimehadbeentrimmedfromalmost13hoursto11/2
hours.Thenewmethodsofproductionrequiredcompletestandardization,newma
chines,andanadaptablelaborforce.Costsdroppedsignificantly,theModelTbe
camethefirstcaraccessibletothemajorityofAmericans,andForddominatedthe
industryformanyyears.71

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A Human Relations
Pioneer

relationsschoolofthought.Otherbehavioralscientists,includingRensisLikert
(foursystemsofmanagement),ChrisArgyris(integratingtheindividualandthe
organization),andFrederickHerzberg(motivationhygienetheory),joinedthese
influentialfigurestosetthestageformanyparticipativemanagementexperiments
intheUnitedStatesandabroad.

Experiments in
Participative
Management

newidea.Aftertryingseveral
versions,by1903hehaddiscoveredawaytomeetallhisgoalsforlabor:Astock
In1837,WilliamProcter,anEnglishretailer,and
purchaseplan.ForeverydollaraworkerinvestedinP&Gstock,thecompanywould
JamesGamble,sonofaMethodist
minister,formedapartnershipinCincinnatitomake contributefourdollarsworthofstock.
Finally,CooperProcterhadresolvedsomekeyissuesforlaborthatpaidoffin
Leadership
18
soapandcandles.Bothwere
workerloyalty,improvedproductivity,andanincreasingcorporatereputationforcar
knownfortheirintegrity,andsoontheirbusinesswas
ingandintegrity.HewentontobecomeCEOofthefirm,andP&Gtodayremains
thriving.
oneofthemostadmiredcorporationsintheUnitedStates.73
By1883,thebusinesshadgrownsubstantially.
WhenWilliamCooperProcter,
grandsonofthefounder,leftPrincetonUniversityto
workforthefirm,hewantedto
Someoftheearlypioneersinparticipativemanagementincludedlargefirms,suchas
learnthebusinessfromthegroundup.Hestarted
TexasInstruments,AT&T,GeneralFoods,BoeingandProcter&Gamble,aswellas
workingonthefactoryfloor.He
smallerfirms,suchasHarwoodManufacturingandLincolnElectricCompany.
dideverymenialjobfromshovelingrosinandsoapto Thesecompaniesbecamefamousfortheirinnovativeapproachestoemployeerela
pouringfattymixturesinto
tions.Manyoftheparticipativemanagementexperimentstheyconductedinthe
crutches.Hebroughthislunchinapaperbag...and 1950sand1960sbearacloseresemblancetoemployeeempowermentandquality
satonthefloor[withtheother
improvementpracticesoftoday.
workers]andatewiththem,learningtheirfeelings
TexasInstrumentsusedworksimplificationtrainingforlineworkerstohelpsolve
aboutwork.
manufacturingproblemsandimproveproductivity.AT&Tusedjobenrichmentpro
By1884,CooperProcterbelieved,fromhisown gramstoincreasemotivationandemployeeoutput.GeneralFoodsdesignedaplant
experience,thatincreasingwork
fromthegrounduparoundateamconcept,inwhichworkerswereclassifiedinto
erspsychologicalcommitmenttothecompanywould skillcategoriesandcouldprogresstothetopcategorybylearninghowtodoallthe
leadtohigherproductivity.
jobsneededtoruntheplant.Procter&Gambleindependentlydevelopedaconceptof
Hispassiontoincreaseemployeecommitmenttothe groupworkinthe1940sand1950s.Manyoftheseexperimentsweresosuccessful
firmledhimtoproposeascan
thattheyarestillinplacetoday.Factorscommontoallsuccessfulexperiments
dalousplan:Shareprofitswithworkerstoincrease
includedthefollowing:
theirsenseofresponsibilityand
Managementattitudestowardworkerswerepositive;employeeswereviewedas
jobsatisfaction.
importantassetstothesuccessofthecompany.
Still,theplanwasnotcomplete.CooperProcter
Workersweregivenincreasedscopeandcontroloverjobactivities.
recognizedafundamentalissue
Workersfeltthattheprojectstheyundertookwereimportantanddoable,and
fortheworkers,someofwhomcontinuedtobehis
hadreallifeapplicability.
goodfriends,wastheinsecurity
Traininginhumanrelations,problemsolving,anddecisionmakingskillswas
ofoldage.Publicincorporationin1890gaveProctera
conductedthroughformalandinformalmeans.

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Imperative

Opportunitiesforadvancementbasedonacquiringnewskillsandknowledge
wereprovided.
Productivityandmoraleincreasedduringtheperiodinwhichexperimentswere
conducted.74

Quality Synthesis
Asbusinessschoolsandcollegesexpandedduringthe1970s,oldlineprofessors
steepedinclassicalprinciplesofmanagementdistilledfromFrederickTaylorhadto
defendtheirtheoriesagainsttheonslaughtofyoungbehavioralscientistsoriented
towardhumanrelations.Sometimepassedbeforebothgroupscametounderstand
thatthereisnosinglebestwaytomanageinacomplexenvironment.Boththeclassicist
andthebehavioristhadtofindthattherewasgoodinbothpointsofview.Duringthe
1970s,1980s,and1990s,thequalitymovementbecamethecatalystforjoiningthese
twomanagementviews.Herewasonemanagementtechniquethatcombined
participativeleadershippracticeswithaproblemsolvingorientation,anditwasbeing
ferventlyemployedinarealworldlabbytheindustriousJapaneseastheyoutstripped
competitorsandsetnewstandardsofquality.75
Theleadershipphilosophybehindqualityimprovementeffortssuchastotal
qualitymanagement(TQM)andcontinuousqualityimprovement(CQI)isboth hard,
basedonscientificmanagement,and soft,concernedwiththehumansideofwork.It
isthisbalanceorblendthathelpsaccountforitsgeneralacceptanceacrossthebroad
spectrumofmanagerstoday.Byfocusingonqualitygoalsandusingproblemsolving
toolsandmethods,qualityimprovementactivitiessatisfytheneedsofmanagers
whosevaluesliewithFrederickTaylor,themanagementclassicists,andquantitative
analysis.Suchhardnosedmanagersaredrawntotheendproductbenefitsof

betterproductsandservices.
Likewise,byfocusingonemployeeempowermentandpersonalgrowth,andby
usinggroupprocesstechniques,qualityimprovementactivitiessatisfytheneedsof
managerswhotracetheirphilosophicalrootstoEltonMayo,KurtLewin,Abraham
Maslow,DouglasMcGregor,RensisLikert,andotherfiguresinthehumanrelations
andbehavioralscienceschool.Thesesoftheartedmanagersareespeciallypleased
withtheinprocessbenefitsofimprovedmorale,qualityofworklife,andthe
experienceofcommunity.SeeFigure92.
Figure 92
The Leadership Philosophy
behind Member
Empowerment and the
Quality Movement

The Hard Orientation

The Soft Orientation

Frederick
Taylor

Elton
Mayo

Classical
Theorists

Human
Relations

Quantitative
Methods

Behavioral
Science

Quality
Synthesis

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Improving Performance
through Quality Initiatives
Howeffectiveisthequalitymovement?Whatresultsareexperiencedbyparticipating
organizations?AGovernmentAccountingOffice(GAO)reportonAmericanman
agementpracticesshowsU.S.companiesexperiencegoodresultsusingqualityim
provementeffortstoimprovebusinessperformance.76

Background

Inrecentyears,anumberofU.S.companieshavefoundthattheycouldnotachieve
worldclassqualitybyusingtraditionalapproachestomanagingproductandservice
quality.Toenhancetheircompetitiveposition,Americancompanieshavereappraised
thetraditionalviewofqualityandhaveadoptedwhatisknownasthetotalquality
managementmodelinrunningtheirbusinesses.
Formanyyearsthetraditionalwaytoachievequalitywasthroughsystematicfinal
inspection.Thisapproachisreferredtoasinspectinginquality.Intenseforeign
competitioningeneral,andJapanesecompetitioninparticular,hasledincreasing
numbersofU.S.companiestoadopttotalqualitymanagementpracticesthatare
preventionbased.Thisapproachisoftenreferredtoasbuildinginquality.

Results

Companiesthatadoptedqualitymanagementpractices fo erneeds
experiencedanoverall
cu asafirstpriority;seniormanagementledthewayinbuildingvaluesintocompany
improvementinbusinessperformance.Innearlyall se operations;allemployeesweresuitablytrained,empowered,andinvolvedinefforts
cases,companiesthatusedtotal
d tocontinuouslyimprovequalityandreducecosts;andsystematicprocesseswere
qualitymanagementpracticesachievedbetter
on integratedthroughouttheorganizationtofostercontinuousimprovement.
Leadership
18
employeerelations,higherproductivity,
m Thediversityofcompaniesstudiedshowedthatqualitymanagementisusefulfor
greatercustomersatisfaction,increasedmarketshare, ee
smallcompanies(500orfeweremployees)aswellaslargecompanies,andfor
andimprovedprofitability.
tin servicecompaniesaswellasmanufacturers.
Companiesdidnotuseacookbookapproachin
g
Manydifferentkindsofcompaniesbenefitedfromputtingqualitymanagement
cu
implementingsuccessfulquality
practicesintoplace.However,noneofthesecompaniesreapedthosebenefits
st
managementsystems,butcommonfeaturesthat
immediately.Companiesimprovedtheirperformanceonaverageinabouttwoand
o
contributedtoimprovedperfor
onehalfyears.Managementallowedenoughtimeforresultstobeachievedrather
m
mancecanbeidentified:Corporateattentionwas
thanemphasizingshorttermgains.
SpecificfindingsrevealedU.S.companiescanimproveperformancethroughquality
efforts.
Specific Findings

Betteremployeerelationswererealized.Employeesexperiencedincreasedjob
satisfactionandimprovedattendance;employeeturnoveralsodecreased.
Improvedqualityandlowercostwereattained.Companiesincreasedthereliability
andontimedeliveryoftheirproductorservice,andreducederrors,productlead
time,andtheircostofquality.
Greatercustomersatisfactionwasaccomplished,basedonthecompaniessurvey
resultsoftheirconsumersoverallperceptionsaboutaproductorservice,the
numberofcomplaintsreceived,andcustomerretentionrates.

Forcurrentinformationonimprovingperformancethroughqualityinitiatives,see
theWebsiteoftheAmericanSocietyforQuality(ASQ)(www.asq.org/)aswellas
theWebsitefortheBaldridgeNationalQualityProgramandNationalQuality
Awards(www.quality.nist.gov),whicharedesignedandmanagedbytheNational
InstituteofStandardsandTechnology(NIST).

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Areportin BusinessWeekdescribesthefinancialimpactofqualityimprovementefforts:

Financial Benefits of Totalqualitymanagement(TQM)paysoffhandsomely.AstudybytheGeorgiaInstituteof


Improving Quality
TechnologyandtheCollegeofWilliam&MaryfoundthatTQMawardwinnersposted37%
highersalesgrowthand44%fatterstockprices,comparedwithacorporatecontrolgroup.These
resultsbuttresssimilarfindingsforthestocksof18winnersoftheMalcolmBaldrigeNational
QualityAward.TheyhaveoutperformedtheStandard&Poors500stockindexbyover100%.77

ImplicitinthevaluesystemofthequalitymovementisthesayingIfyoualways
dowhatyouhavealwaysdone,youwillalwaysgetwhatyouhavealwaysgotten.
ThisstatementreflectsthespiritofthechildhoodrhymeGood,better,best.Never
letitrestuntilthegoodgetsbetter,andthebetteristhebest,aswellastheGreek
idealof aretaic,orexcellenceitself,asavirtue.78
Thequalitymovementisheretostay.Freemarketsandglobalcompetitioncombineto

ensurecompetitionforcustomers.EffectivemethodsfromBalancedScorecardtoSix
Continuous
Improvement Today Sigmaarebeingusedtohelporganizationsrisetothechallenge.79

Six Sigma Quality.Oneofthemostimportantdevelopmentsinqualitymanagement


hasbeentheintroductionofstatisticaltoolstoanalyzethecausesofproductdefects
inanapproachcalledSixSigmaQuality.OriginatingatMotorolain1986,Six
Sigmabecamepopularinthe1990safteritwasembracedbyGeneralElectric.The
termisnowwidelyusedtodescribeavarietyofperformanceimprovementefforts
(improvingquality,increasingefficiency,cuttingcosts,andthelike).
Inessence,SixSigmaseekstoremovevariabilityfromaprocess,thusavoiding
errorsanddefects.SixSigmaqualityisdefinedashavingnomorethan3.4defects
permillion.AtSixSigma,aproductorserviceisdefectfree99.99966percentofthe
time.ThemantraofSixSigmapractitionersisDMAIC,standingfordesign,meas
ure,analyze,improve,controlforqualityexcellence.80
Lean Manufacturing.Anincreasinglypopularapproachtoimprovingbusinessper
formanceis lean manufacturing,developedbyToyotaasawayofachievingquality,
flexibility,andcosteffectiveness.Theessenceof leaniscommonsensemanagement.
Itemphasizestheuseofaccuratedata,insightfulanalysis,creativethinkingtodesign
workprocesses,thereliablemeasurementofimportantinputsandoutputs,andthe
workforcedisciplinetodothiswithoutexception.
Ina leanoperation,rejectsareunacceptable,overheadandinventorycostsare
kepttoaminimum,andemloyeesareempoweredtohaltproductiontocorrectprob
lemsattheirsourcesothatfutureproblemscanbeavoided.Withawellmanaged
leanprocess,anorganizationcandevelop,produce,anddistributeproductswithsig
nificantlylessstaff,space,tools,time,andoverallcosts.81
Checklist Procedures.PhysicianAtulGawandehasaninterestingprescription:
Everyprofessionalshouldwriteinherfieldorout,forothersorherself,butbyall
meanswrite.Takinghisownmedicine,Gawandehaswrittenatrilogyofbookson
medicinetoday(Complication, Better,and The Checklist Manifesto).Gawandesthird
bookisamustreadforleadersandorganizationschallengedtogetthingsdoneright,
especiallywhentasksarecomplexandspecializedknowledgeandskillsarerequired.
Gawandeidentifiesthelowlychecklistwellconceived,communicated,and
executedasatriedandtrueanswerthatcanbeappliedinthehightechworldof
aviation,construction,finance,andmedicine.Thishelpfulbookcanbereadcoverto
coverandthenappliedinacustomizedwaytoachievehighqualityandreliableper
formanceinanysizeortypeoforganization.82
ISO Standards.Theinfluenceofthequalitymovementhasbecomeevenmoreim
portantwiththeemergenceofISOstandards.ISO9001isaseriesofvoluntaryqual
itystandardsdevelopedbytheInternationalOrganizationforStandardization,a
networkofnationalstandardsinstitutionsinmorethan150countries.Thenumberof

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companiesreceivingISO9001certificationcontinuestogrowashundredsofthou
sandsofcompaniesinmanufacturingandserviceindustriesthroughouttheworldare
ISOcertified.ISO9001standardsofperformancearesetineightareas:
1. Customer focuslearningandaddressingcustomerneedsandexpectations.
2. Leadershipestablishingavisionandgoals,establishingtrust,andproviding
employeswiththeresourcesandinspirationtomeetgoals.
3. Involvement of peopleestablishinganenvironmentinwhichemployees
understandtheircontribution,engageinproblemsolving,andacquireand
shareknowledge.
4. Process approach to workdefiningthetasksneededtosuccessfullycarryout
eachprocessandassigningresponsibilityforthem.
5. System approach to managementputtingprocessestogetherintoefficientsys
temsthatworktogethereffectively.
6. Continual improvementteachingpeoplehowtoidentifyareasforimprove
mentandrewardingthemformakingimprovements.
7. Factual approach to decision makinggatheringaccurateperformancedata,
sharingthedatawithemployees,andusingthedatatomakedecisions.
8. Mutually beneficial supplier relationshipsworkinginacooperativewaywith
suppliers.83
Thechallengetoleadersandorganizationstodayistomaintainpredictabilityand
reliabilityofcurrentproductsandservices,whilesimultaneouslyfosteringinnovation
andcreativity.Currentsuccessandfuturesurvivalrequiremasteringbothendsofthe
qualityspectrum.Thisiscalledavoidingthetyrannyofthe orandembracingthege

190

nius
of
the
an
d.Leadership

Moreacademically,itiscalledorganizationalambidexteritybeing
abletoachievemultipleobjectivesatthesametime.Anexampleoforganizational
ambidexterityandbusinesssuccessisthestoryofGoogle,knownforbothinnovation
andreliability,stretchgoalsandincrementalprogress,corevaluesandoperational
freedom,bigthinkingandboldaction.84

The Toyota Way


and the Starbucks
Experience

2/21/11

Foryears,Toyotawasarolemodelofimprovingqualitybytappingtheconstructive
powerofemployees.Toyotaviewedthemselvesasamanufacturer,andviewedits
employeesasthecompanysmostimportantasset.Toyotagaveemployeesthetrain
ing,tools,andencouragementtosolveproblemsastheyaroseandheadoffnew
problemsbeforetheyoccurred.Thecompanysupportedandrewardedtheintellect
offrontlinepeopleasitssecrettosuccess.Theresultwasarelentlessmarchtobe
comethebestandbiggestautomobilecompanyintheworld.ThesouloftheToyota
productionsystemwasaprinciplecalled Kaizen.Thewordisoftentranslatedas
continuousimprovement,butitsessenceisthatengineers,managers,andline
workerscollaboratedcontinuallytosystemizeproductiontasksandidentifychanges
tomakeworkgomoresmoothly.85
Starbucksisanotherexampleofacompanythatmasteredbothendsofthe
spectrumbusinessinnovationaswellasdailydeliveryofresults.CEOandchair
manHowardSchultzaskedthequestion,Howcanyoumergeaqualitycoffeebean
traditionwiththecharmofaEuropeancoffeehouse?TheanswerbecametheStar
bucksexperience,whichtransformedtheordinarytotheextraordinaryandcreated
abrandnamethatbecamesynonymouswiththeword coffee.Atthedoinglevel,
Starbuckscustomersreceivedconsistentqualityfromstoretostoreeveryday:We
haveabasiclineofdeploymentthatweallunderstand,wherepersonAisonthe
register,personBstaysonthebar,andpersonCfloatsaroundmakingdrinksif
thereisalongline.Wealsohavechecklists.Ourbrewedcoffees,intheory,would
begoodforaboutfivehoursinthecontainerinwhichtheyaremade.Butwebrew
anewcontainereveryhourtoensurethattheyareveryfresh,veryhot!Itsthe
freshestcoffeeyoucanget.86
Intheworldofwork,storiesarewrittenintheinkofthemoment.Pastperfor
manceisapredictorbutnotaguaranteeoffuturesuccess.Onlyaslongasthequality

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oftheproductpleasesthecustomerandtheexecutionofserviceremainsreliablewill
companiesberolemodelsforsuccess.FocusanddisciplinehelpedToyotaandStar
bucksrisetoworldprominence,butbothbrandshavebeentarnishedinrecenttimes.
Recommitmentandrelentlessadherencetotimetestedprinciplesareneededto
regaintheirloftyposts.Theleadershipmessageisthatqualityperformanceandcus
tomersatisfactionareneverendingquests.

Malcolm Baldrige National


Quality Award
In1987U.S.CongressestablishedtheMalcolmBaldrigeNationalQualityAwardto
promotequalityawareness,torecognizequalityandbusinessachievementsofU.S.
organizations,andtopublicizetheseorganizationssuccessfulperformancestrate
gies.NowAmericashighesthonorforperformanceexcellence,theBaldrigeAward
ispresentedannuallytoU.S.organizationsbythePresidentoftheUnitedStates.
Awardsaregiveninmanufacturing,service,smallbusiness,education,andhealth
care.InOctober2004,legislationwaspassedtoauthorizetheNationalInstituteof
StandardsandTechnologytoexpandtheBaldrigeawardprogramtoinclude
nonprofitorganizations.Awardsarenowgiveneveryyeartocompaniesandnonprofit
organizationsthathavemetspecifiedstandardsofserviceinsevenareas:(1)leader
ship;(2)strategicplanning;(3)customerandmarketfocus;(4)measurement,analy
sis,andknowledgemanagement;(5)workforcefocus;(6)processmanagement;and
(7)businessresults.87
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Part Four Summary


AfterreadingPartFour,youshouldknowthefollowingkeyconcepts,principles,and
terms.Fillintheblanksfrommemory,orcopytheanswerslistedbelow.
Twokindsofleadershipauthorityaretopdownandbottomup,bothofwhich
havemerit.Anapproachtoleadershipthatrecognizesthevalueofbothis
(a),emphasizingacommitmenttopeople,asshownby
(b),,and.Theessential
characterofleadershipthatinvolvespeopleandgainstheirparticipationindecision
makingis(c).Theempoweringleaderraisesthe
(d)ofotherswithoutloweringherorhisown,primarilyby
(e)tothem,thusshowinginterestandrespect.Threebasic
principlesofanempoweredworkplaceareto(f),,
and.Twoofthetopsixplacesemployeesprefertogetinformationare
(g),and.ManagementauthorRobertGreenleaf
believedthattheworldwouldbesavedbyhavingthreetrulygreatinstitutionsasrole
modelsoneineachsectorofsocietyprivate,public,andnonprofit.Ineachcase,
thesecretsofsuccesswouldbe(h)and.The
centralfigureinthehistoryofthequalitymovementhasbeen(i),
primarilybecauseofhisinfluencefirstinJapan,thenintheUnitedStates.The
(j)synthesizesthebenefitsofscientificmanagement,most
associatedwithFrederickTaylor,andbehavioralscience,associatedwithindividuals
suchasAbrahamMaslowandDouglasMcGregor.
Answer Key for Part Four Summary
a. servant leadership,page147
b. access, communication, support,page148
c. democratic,page151
d. psychological size,page157
e. listening,page159
f.(anythree) trust in people, invest in people, recognize accomplishments,
decentralize decision making, view work as a cooperative effort,page163
g.(anytwo) immediate supervisor, small group meetings, top executives, policy
handbook, orientation programs, member newsletters,page165
h. caring leadership, empowerment of people,page167
i. W. Edwards Deming,page168
j. quality movement,page170

Reflection PointsPersonal Thoughts on Leadership Authority, Empowerment


in the Workplace, and the Quality Imperative
CompletethefollowingquestionsandactivitiestopersonalizethecontentofPart
Four.Spaceisprovidedforwritingyourthoughts.

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Discusstheuseandabuseofleadershippower.Isitnecessarilytruethatpower
corruptsandabsolutepowercorruptsabsolutely?Citeexamplesofleaderswho
improvedasaresultoftheresponsibilityofleadership.

Developafivepointplanfororganizationalcommunication.Whatshouldbedone
toachievethebestcommunicationpossibleup,down,andsideways?

Implementonetofivepracticaltipsforahighperformanceworkplace.Discuss
theresults.

CritiqueTheDemingWayasitappliestoyourworkplace.Whichpointsare
present?Whichareeffective?Whichpointsaremissing?Whataretheresults?

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Describeaparticipativeorganizationwhereleadersinvolvethepeople,gainunder
standing,andachievegoodresults.Whatdotheleadersdo?Howdopeoplereact?

Useparticipativeleadershiptoimproveperformance.Assembleateam,anddis
cussproblems,bottlenecks,andopportunities.Selectoneanddeveloparecom
mendation.Followupandevaluate.

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Part Four Video Case


Pike Place Fish Market
PikePlaceFishislocatedinSeattleshistoric,openairPikePlaceMarket.Visitors
frommanypartsoftheworldcomenotonlytobuyhighqualityseafoodandhaveit
shippedhome,butalsotowatchfishmongersthrowingtheirwaresandhavingfun.
Fromahumblebeginningasasmallstand,PikePlaceFishhasgainedabigreputa
tion.Thechangebeganwhenayoungemployeesaid,Letsbeworldfamous,and
theownerresponded,Whynot?
JohnYokoyamaworkedatPikePlaceFishwhentheownerofferedtosellhimthe
businessin1965.Only25,Yokoyamawasreluctanttobuythestrugglingmarket,but
aftermuchthoughthedecidedtogiveitatry.Heknewnothingaboutmanaging
people,andhismanagementstylewasthatofatyrant:youdowhatItellyouorelse.
PikePlaceFishdidnotdowell,andYokoyamawasclosetofailing.ThatswhenJim
Bergquistenteredthescene.
Aconsultantwhosewifeworkedatthefishmarket,Bergquistapproached
Yokoyamawithaproposition:GivemethreemonthsandIllimproveyourbusiness
orelseIllquit.Theyagreed.Then,whentheyweretryingtodecidetheirstrategy,
theyoungworkermadehiswildsuggestion.Atfirstthepartnersregardedthenotion
ofbecomingworldfamousasajoke,buttheideabegantogrowonthem.They
adoptedtheideaofbecomingworldfamous,addedthewordstothelogo,andhad
themprintedonshippingboxes.
Whatdoesitmeantobeworldfamous?ThatswhatYokoyama,Bergquist,and
theircrewhadtofigureout.Theydecideditmeansmakingadifferenceinthelivesof
customersandotherswithwhomtheycomeintocontact.Forusitmeansgoing
beyondjustprovidingoutstandingservicetopeople,explainsYokoyama.Wereout
todiscoverhowwecanmaketheirday.Wevemadeacommitmenttohaveour
customersleavewiththeexperienceofhavingbeenserved.Theyexperiencebeing
appreciatedwhethertheybuyfishornot.

19

P
r
o
v
i
Leadership
d
i
n
g
s
u
c
h
a
n
e
x
p
e
ri
e
n
c

eforcustomersrequirestotalcommitment.AtPike
PlaceFishtherearenojobs;rather,therearepositionsavailableforthosewhomake
theteam.Youhavetocommittothepurposebeingworldfamousoryouwont
evenwanttobeontheteam.Newemployeessometimestakethreemonthstounder
standthedistinctionbeingworldfamousratherthanmerelywantingtobeor
believingyouareandbecomeproductiveteammembers.
AbigchangeforJohnYokoyamawastoshareresponsibilityandpowerwith
workers.Yokoyamafoundthebestwaytomanagethetypeofteamheneededwasto
stayoutofemployeeswayandletthembecreativeandmanagethemselves.Inspira
tionalmanagementisthepreferredstyle.PikePlaceFishcreatesacontextforper
sonalgrowthanddevelopment.Forinstance,someonewhowantstomastertheartof
filletingfishwillbecoachedtoreachthatgoal.Anyonecanbeacoach,andeveryone
isallowedtocoachothers.Theintentionisforthecoachtoempowertheotherperson
toachieve.Whencoachingisneeded,everyonehastheresponsibilitytostepupand
contribute.
Thebestsellingbook Fish!haspopularizedtheworkplacephilosophyatPike
PlaceFish.Thisbookidentifiesfourprinciples,basedonthefishmongersatthe
Seattlemarket,forcreatingafunfilledenvironment:play,maketheirday,bethere,
andchooseyourattitude.PikePlaceFishusestheseprinciplestocreateaculture
whereemployeesarecreativeandmixwellwithcustomers.Sales,customersatisfaction,
andemployeeretentionhaveincreasedsteadilysincethefishphilosophyhasbeen
introduced.Othercompanies,includingSprintandMarriott,alsohaveadoptedthe
principles.

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Questions for Discussion


1.HowdoesPikePlaceFishcreateanenvironmentforworkerstoreachtheirmaxi
mumpotential?
2.Whatrolesdosocializationandmentoringplayincreatingandnurturingthis
atmosphere?
Formoreinformation,seewww.pikeplacefish.com.

Action Assignment
Asabridgebetweenlearninganddoing,completethefollowingactionassignment.
1.WhatisthemostimportantideayouhavelearnedinPartFour?
2.Howcanyouapplywhatyouhavelearned?Whatwillyoudo,withwhom,where,
when,and,mostimportant,why?

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10. Effective Leadership and Human Relations
11. The Team Concept

THE BOSS DRIVES; the leader coaches.


The boss wants power; the leader, good will.
The boss creates fear; the leader builds pride.
The boss says I; the leader says We.
The boss places blame; the leader solves the problem.
The boss knows how; the leader shows how.
The boss uses people; the leader serves others.
The boss preaches; the leader teaches.
The boss takes credit; the leader gives credit.
The boss commands; the leader asks.
The boss says Go; the leader says Lets go.
William J. Stewart
Author and educator

Learning Objectives
AfterstudyingPartFive,youwillbeableto:
Applytheprinciplesandpracticesofeffectiveleadership.
Developahighmorale,highperformanceworkforce.
Understandtheimportanceofgoodhumanrelationsintheworksetting.
Demonstratetheartofeffectivelistening.
Identifytheelementsofanenlightenedworkplace.
Describethecharacteristicsofahighperformancegroup.
Knowwhattheleadercandotodevelopcommunication,teamwork,and
aoneteamattitude.

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CHAPTER

10

Effective Leadership
and Human Relations

art5addressestheroleoftheleaderincreatingahighmoraleandhigh
performanceworkplace.Topicsincludeworksatisfaction,humanrelations,
andteamleadership.Chapter10beginswithprinciplesandpracticesfor
effectiveleadership.
Howdoyougoaboutbeinganeffectiveleader?AuthorandeducatorWarrenBennis
providesashortcourseanswerdistilledfromyearsofstudyandexperience:
Be yourself. Figure out what you are good at. Hire only good people who care. Treat
people the way you want to be treated. Focus on one or two critical objectives. Ask your
co-workers how to get there. Listen well. Call the play. Get out of their way. Cheer them
on. Count the gains. Start right now.1

NoindividualhasbeenmoreinfluentialthanPeterDruckerinthestudyandpractice
ofeffectiveleadership.Hisbooksareclassicsonthesubject,andhisadvicehashelped
sixgenerationsofleaders.Druckersconclusionsaboutleadershipincludethefollowing:
1.Theremaybebornleaders,butthesearefew.Effectiveleadershipcanbelearned.
2.Withoutfollowers,therecanbenoleaders.Trustisthegluethatbindsthetwo.
3.Leadershipisnotrank,privilege,ortitle.Leadershipisresponsibility.
4.Popularityisnotleadership;norisitstyleorpersonality.Leadershipisresults.2
WhenDruckerdiedin2005, Fortune, BusinessWeek,and The Wall Street Journal
declaredhimtobethegreatestmanagementthinkerandwriterofalltime.Hisideas
influencedWinstonChurchill,BillGates,JackWelch,andtheJapanesebusiness
establishment,citingafamousfewoutofmillions.FrancessHesselbein,pasteditor
ofthe Harvard Business ReviewandCEOoftheGirlScoutsoftheUSA,describes
theinfluenceofPeterDrucker:Inhis65yearsofwork,PeterDruckerredefinedthe
socialsector,redefinedsociety,redefinedleadershipandmanagementandgave
mission,motivation,andvaluespowerfulmeaningsthathavechangedourlives.
DruckersinfluenceendurestodayespeciallyintheboomingeconomiesofAsia
whereoldschoolvalueslikeintegrityandhumilityfitwellwithConfucianheritage.3
Certainprinciplesofleadershiphaveoptimumpositiveinfluenceonfollowers.
ConsiderAmosAlonzoStagg,KnuteRockne,JoePaterno,EddieRobinson,and
PaulBearBryantinthefieldofsports.Althoughtheirstylesweredifferent,each
followeduniversalprinciplesofleadershipthatbroughtoutthebestintheprideand
performanceofpeople.Theseprinciplesconstituteleadershipbycompetence.They
applyatalllevelsofleadershipandinallfieldsofwork.4
Foranevaluationofyourcompetenceasaleader(oranevaluationofyourleaders
competence),completeExercise101andreadtherationalethatfollowseachquestion.
Notethatthisquestionnaireisanassessmentofleadershipbehaviors,asopposedto
personalitytraits.Followersareunabletoreadthemindsoftheirleadersandcango
onlybywhattheyseethemdo;therefore,itisimportanttoconsiderhowwellyouare
practicingtheprinciplesofeffectiveleadership.
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Exercise 101
Leadership Report
Card5

Circle the appropriate number for each response, and read the accompanying rationale. If
you are evaluating your leader, substitute he or she for I, and his or her for my.
A. I have a clear understanding of my responsibilities in order of priority.
1. I havent the foggiest.
2. Things are vague.
3. There is some confusion.
4. Generally speaking, yes.
5. Exactly.
Rationale:

If the leader is confused about personal goals and duties, how can the leader guide the
behavior of others? The leader wont know in which direction to lead them.

B. All my people know what their job duties are in order of priority.
1. None do.
2. Some do.
3. Most do.
4. Almost all do.
5. All do.
Rationale:

Job expectations must be understood and agreed upon for maximum job satisfaction
and work performance.

Not knowing what is expected of you is a major cause of stress at work.

Manage by the Marine Corps rule of threemost people can efficiently handle three
key responsibilities.

C. The jobs my people have are satisfying to them.


1. Not really.
2. Some are.
3. So-so.
4. More than most.
5. Definitely yes.
Rationale:

A persons work is an important part of personal identity in Western society.

Work must be personally satisfying if high morale and productivity are to be achieved.

D. My people know whether they are doing a good job or if they need to improve.
1. No, its best they dont.
Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

2. Some do.
3. I try to get to most of them.
4. Practically all do.
5. Yes, its rare if they dont.
Rationale:

Not knowing how you are doing causes worry and anxiety and dissipates energy.

E. I recognize and reward good performance.


1. The paycheck is enough.
2. Sometimes.
3. More often than not.
4. Almost always.
5. Always.
Rationale:

Appreciation for a job well done reinforces good work.

Ignoring a job well done reduces commitment. The employee begins to think, If they
dont care, why should I? People need psychic, social, and economic reinforcement
at work.
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Glorify the lower levels of the organization. Celebrate their successes and take pride in
their performance. Most of an organizations critical tasks are accomplished by frontline
leaders and their teams.
Recognition techniques that build morale include (1) personal thanks; (2) year-end cel-

ebrations; (3) courtesy time off; (4) traveling trophy; (5) money.
F. I have criticized an employee in the presence of others.
1. I believe in making an example.
2. Occasionally.
3. Almost never.
4. Once.
5. Never, not once.
Rationale:
Public criticism embarrasses, alienates, and ultimately outrages not only the employee

being chastised, but all who are present as well.

As Ralph Waldo Emerson said, Criticism should not be querulous and wasting, all knife
and rootpuller; but guiding, instructive and inspiringa south wind, not an east wind. 6

G. I care about the personal well-being of my people, and they know it.
1. Honestly, no.
2. Some of them, yes.
3. Usually.
4. Almost all of them, yes.
5. Totally.
Rationale:
People resent being treated as unimportant; they want leaders to care about them and

show respect for their interests, their problems, and their needs. Whether by personal
hospital visits when they are ill, or by providing the best equipment and working tools
available, or by sharing in the trials of battle and the rewards of victory, the effective
leader shows consideration for others. Plutarch in Lives has this to say about the Roman
leader, Julius Caesar:
Caesar implanted and nurtured high spirits in his men: (1) first by gracious treatment
and by bestowing awards without stint, demonstrating that the wealth he amassed
from wars was a carefully guarded trust for rewarding gallantry, with no larger share
for himself than accrued to the soldiers who merited it; and (2) secondly by willingly
exposing himself to every danger and shrinking from no personal hardship of battle
faced by his fellow soldiers.7

A leaders ability to remember aspects of followers personal lives (names of children,


favorite hobbies, etc.) creates a bond that causes followers to admire and support the
leader.

H. I have policies and procedures for employee development and cross-training.


1. There is no need for this.
2. I plan to someday.
3. On occasion, for some employees.
4. Yes, generally speaking.
5. It is a major commitment I have.
Rationale:
Employee training does six important things: builds skills, raises morale, cuts avoidable

turnover and absenteeism, raises loyalty, reduces mistakes, and increases productivity.
I. I have given assignments to people without first considering the availability of
their time and the competence they possess.
1. Often.
2. Occasionally.
3. Rarely.
4. I almost never do this.
5. Never.

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Assigning work that is over a persons level of skill creates undue stress and is likely to
result in a costly error.

Assigning more work than is possible to accomplish in the time available creates frustration, low morale, resentment, and lower performance in the long run.

J. I have been accused of favoritism regarding some of my employees.


1. Often.
2. More than most.
3. At times.
4. Rarely.
5. Never.
Rationale:

The values of equality and fair treatment are widely shared in Western society;
favoritism runs directly counter to these values.

K. I take personal responsibility for the orders I give and never quote a superior to
gain compliance.
1. Never.
2. Rarely.
3. Usually.
4. Almost always.
5. Always.
Rationale:

Leaders who violate this principle lose the respect of their direct reports, upper management, and ultimately themselves as they become merely paper leaders.

The effective leader agrees with Harry Truman, who said, The buck stops here and If
you cant stand the heat, get out of the kitchen.

When a leader refers to higher managers as they, he or she drives a wedge between
the employees and the organization, failing senior managers and employees as well.

Karl Menningers definition of loyalty can be helpful here:


Loyalty doesnt mean that I agree with everything you say, or that I believe you are
always right, or that I follow your will in blind obedience. Loyalty means that we share
the same values and principles, and when minor differences arise, we work together,
shoulder to shoulder, confident in each others good faith, trust, constancy, and
affection. Then together, we go forward, secure in the knowledge that few day-to-day
matters are hills worth dying on.8
L. I do not promise what cannot be delivered, and I deliver on all promises made.
1. I have dropped the ball often.
2. I have failed occasionally.
3. Usually.
4. Almost without exception.

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

5. Always.
Rationale:

Broken promises lower employee confidence and respect for the leader.

Disappointments deflate employee morale and performance, especially when they


come from the leader.

M. My people understand the reasoning behind policies and procedures.


1. Rarely.
2. Occasionally.
3. Sometimes.
4. Usually.
5. Always.

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Rationale:

20

Leadership

Not knowing the purpose of a policy or procedure can result in mistakes.

The following story shows the importance of understanding why:


The members of a crew on a submarine were about to take battle stations, and the
ships Captain was worried about a young seaman whose job it was to close the watertight doors between certain compartments. The young man didnt seem to realize the
purpose of his job, so the Captain undertook to impress him. He told him that if he
failed his job, the ship would be lost. Not only that, some of the men aboard were
specialists and it cost thousands to train each of them; they might be drowned. The
Captain stated: So you see how important it is that you do your job . . . this is a very
expensive ship, and these men are very valuable. The young crewman replied: Yes
sir, and then theres me too. The Captain stopped worrying.9

Uncertainty about policies can lead to paralysis.

N. The rules we live by are discussed and modified as needed.


1. Rarely.
2. Sometimes.
3. Usually.
4. Almost always.
5. Always.
Rationale:

People are more likely to follow a rule they help set.

People need to know the appropriate limits of behavior and guidelines for conduct.

Rules should be periodically reviewed for appropriateness; some rules may no longer
be necessary or desirable.

O. I encourage my people to express disagreement with my views, especially if Im


dealing in a controversial area.
1. Never.
2. Rarely.
3. Sometimes.
4. Fairly often.
5. Always.
Rationale:

People have the need to express themselves on emotional issues without fear of
reprisal.

Good ideas can come from constructive disagreement.

Remember Harry Trumans advice: I want people around me who will tell me the
truth as they see it. You cannot operate if you have people around you who put you on
a pedestal and tell you everything you do is right. Because that cant be possible.10

P. My people know and feel free to use a right of appeal, formal and informal.
1. There is no procedure for appeal.
2. There is a procedure, but it is not widely known.
3. Some do.
4. Most do.
5. All do.
Rationale:

Not all decisions are good ones, and some should be reversed.

Every rule must have an exception, and a review or appeal process can facilitate this.

An appeal process is a defense against arbitrary and capricious treatment, and it meets
the need for a sense of fairness.

Q. The last time I listened closely to a suggestion from my people was:


1. I cant remember.
2. Two months ago.

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3. A month ago.

4. Last week.
5. Within the past two days.
Rationale:
Not listening shows disrespect, and people shut down when they do not feel respected.
Important information and ideas may be lost unless two-way communication prevails.
Ben Jonsons words make the point well: Very few men are wise by their own counsel;

or learned by their own teaching. For he that was only taught by himself had a fool to
be his [teacher].11
One of the best ways to keep communication lines open is to be available. The simple

act of placing your office in a position near the lobby, parking lot, or hall is a timetested way to stay informed of employee needs and suggestions.
R. I encourage my people to participate in decisions affecting them unless compelling reasons prevent it.
1. Rarely.
2. Sometimes.
3. Usually.
4. Almost always.
5. Always.
Rationale:
Democracy is a political value taught in our society. It should come as no surprise when

employees want to be involved in decisions that affect them.


Participation leads to understanding; understanding leads to commitment; and com-

mitment leads to loyalty.


Peter Drucker makes the point: Good leaders know how to tell; great leaders know how

to ask.12
S. I have mastered both the job knowledge and technical skills of my work.
1. I am totally out of my element.
2. I need much improvement.
3. I am OK.
4. I am very good.
5. I am excellent.
Rationale:
Job knowledge helps the leader gain the respect and loyalty of people.
Job expertise helps solve critical problems.
Effective leaders are teachers and developers of people; this role requires keeping job

knowledge current.
T. I have lost control of my emotions or faculties in the presence of my people.
1. Often.
2. Occasionally.
3. Rarely.
4. Almost never.
5. Never.
Rationale:
Emotional stability in the leader can be an anchor of strength for others.
Past a certain point, as emotionality increases, objectivity and the ability to make good

judgments decrease.
U. I set a good example for my people in the use of my time at work.
Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

1. If they did what I do, wed be in trouble.


2. I waste significant amounts of time.
3. Sometimes yes, sometimes no.
4. Usually.
5. I wish they would use me as a model.

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Rationale:

Because people are influenced primarily by the example the leader sets, leaders must
follow effective time management practices.

Effective time-management results in efficiency and smooth operations in the work


setting.

Scoring:

Add the numbers you circled for all 21 questions; record your total score here:

Interpretation:

20

Check the following list for an evaluation of your (or your leaders) competence as a

Leadership

leader.
Score

Evaluation

95105

You should go to the head of the class. Your leadership practices can
serve as a model for others. Your behavior concerning employee communication, rewards, decision making, assignment of work, and the example
you set are ideal.

8494

You are on solid footing as a leader. You understand and employ the basic
principles of effective leadership, regardless of the level and field of work.
People should be happy under your direction, and the quality of their
work can be expected to be high.

6383

You are doing some things right, and you are making mistakes in other
areas. Go back to the test, determine where your strengths are, and capitalize on those areas. Also, work diligently to raise your low scores. For
example: Do you have good two-way communication with your people?
Are you following the principles of effective motivation? Are you setting a
good example by your own work habits and the use of your time?

62 and lower

Because of lack of training, lack of application, or lack of aptitude, you


are not practicing the principles of good leadership. To diagnose the
problem, answer these three questions: (1) Have you been reading the
wrong book or following the wrong models of leadership? (2) Do you
know the right answers but have been inattentive to practicing them?
(3) Are you cut out for leadership, or do you feel more comfortable
working alonebeing responsible for your own work, as opposed to
assigning, coordinating, teaching, coaching, and facilitating the work of
others?
Whatever the cause of your low scores, for the benefit of your employees
and the quality of work of your group, you should address the problem
and solve it. The best way to do this is to read the rationale for the correct
answers and then make every effort to exhibit the correct behavior on the
job.

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Work Morale
Theimportanceofmoralehasbeenrecognizedbyallgreatleaders.Napoleon
oncewrote:Anarmyssuccessdependsonitssize,equipment,experience,and
morale...andmoraleisworthmorethanalloftheotherelementscombined.13
Metaanalysesofresearchstudiesshowpositiverelationshipsbetweenemployee
moraleandorganizationalcommitment,jobperformance,organizationalcitizenship,
andretention.14
Apersonsmoralecanbediagnosedaccordingtothepercentageoftimespenton
thejobineachofthreestateswork,play,andhell.Consideryourownjob.What
percentageofyourtimeisspentdoing work(drudgery)?Whatpercentageisspentat
play(enjoyable,upliftingactivities)?Whatpercentageis hell(painandtorture)?
Recordyourpercentagesbelowtoassessyourmorale.
Percentage of time

State
Work
Play
Hell
Total

100%

Iflessthan20percentofyourjobisenjoyable,yourinterest,commitment,
andultimatelyyourperformancewillgodown.Thereisnotenoughsatisfactionin
yourjob.Ifmorethan20percentofyourjobishell,yourattitude,performance,
relationships,andevenyourhealthmaybeaffected.Morethanadayofyourweek
isspentinamiserablestate.Anacceptablework(drudgery)quotientdependsonthe

20

Leadership

Raising Employee
Morale

workethicyouhavedeveloped.BecauseofeitherWesternworldorEasternworld
socialization,somepeoplehaveahigherdegreeofselfdisciplineandtolerancefor
tediouslabor.
Thesinglebestwaytoachievehighmoraleistogettherightpersonintheright
jobinthefirstplace.Asajobaidindoingthis,careercounselingcanbehelpful.
Tofindoutwhatpeopleactuallydoinavarietyofjobs,whatthesalariesand
workingconditionsare,andwhatthecurrentandfuturejobprospectsare,see
the Occupational Outlook Handbook,compiledbytheU.S.BureauofLabor
Statistics.Itcanbefoundonlineathttp://www.bls.gov/oco/.SeealsoO*NETat
http://online.onetcenter.org/.
Somepoliciesandtechniquesformaximizingmoraleseemtoworkwiththemajority
ofemployeesinmostcases.Areviewof550studiespublishedsince1959showsnine
areasinwhichmanagementcantakeactionthatwillhavepositiveeffectsonemployee
satisfactionandjobperformance.Followingarethenineareasandpossibleactions:
Pay and reward systems. Introduce a group bonus.
Job autonomy and discretion. Allow workers to determine their own work
methods.
Support services. Provide service on demand from technical support
groups.
Training. Provide training and development for all employees.
Organizational structure. Reduce the number of hierarchical levels.
Technical and physical aspects. Break long production and assembly lines
into
smaller work units.
Task assignments. Assign whole tasks,includingpreparatoryandfinishingwork.
Information and feedback. Solicit and utilize direct feedback from users
clients,customers,otherdepartments.
Interpersonal and group processes. Increase the amount and types of
group interaction.
Researchshowsthatpositiveresultscanbeobtainedbyusingoneormoreof
thesetechniques.Costsgodown,andthequalityofworkandqualityofworklife
improve.15

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The Measurement
of
Morale

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RobertLevering,inhisbestsellingbook A Great Place to Work,describeshigh


moraleashavingprideinwhatyoudo(thejobitself),enjoyingthepeopleyouare
workingwith(theworkgroup),trustingthepeopleyouworkfor(managementprac
tices),andgainingeconomicrewards(wageandbenefits).Oneofthebestwaysto
understandtheimportanceofmoraleistoevaluateyourownlevelofmoraleinthese
fourkeyareas.Completethefollowingexercise(Exercise102).

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The following survey addresses a number of work-related issues. Answer each question as it

Exercise 102: Morale relates to your own experience. Circle the appropriate response.
SurveyWhat Is Your
Level of Morale?16
Job

1. At this point in my job, I am doing the things I feel are important.

Strongly

Strongly

Disagree

Disagree

Undecided

Agree

Agree

2. When it comes to challenge, the job I am doing is demanding.


Strongly

Strongly

Disagree

Disagree

Undecided

Agree

Agree

3. As things are now, I have a sense of accomplishment in the work I am doing.


Strongly

Strongly

Disagree

Disagree

Undecided

Agree

Agree

Group
4. When it comes to pride in the work of my co-workers, it is high.
Strongly

Strongly

Disagree

Disagree

Undecided

Agree

Undecided

Agree

Agree

5. I like the people with whom I work.


Strongly

Strongly

Disagree

Disagree

Agree

6. There is teamwork between my co-workers and me.


Strongly

Strongly

Disagree

Disagree

Undecided

Agree

Undecided

Agree

Agree

Management
7. Management strives to be fair.
Strongly

Strongly

Disagree

Disagree

Agree

8. I understand and agree with the goals of management.


Strongly

Strongly

Disagree

Disagree

Undecided

Agree

Agree

9. Management shows concern for employees.


Strongly

Strongly
Disagree

Undecided

Agree

Agree

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

Disagree

193

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Economics
10. My wages are satisfactory.
Strongly
Disagree

Strongly
Disagree

Undecided

Agree

Undecided

Agree

Agree

11. My fringe benefits are satisfactory.


Strongly
Disagree

Strongly
Disagree

Agree

12. The opportunity for advancement is satisfactoryif I desire to pursue it.


Strongly

21

Strongly

Disagree

Leadership

Disagree

Undecided

Agree

Agree

Scoring:
What does the Morale Survey tell you about your own work situation? To find your level of
satisfaction in four important areasthe job itself, relations with co-workers, practices of
management, and economic rewardscomplete the following three steps.

Step One:
For each question, score 1 for Strongly Disagree, 2 for Disagree, 3 for Undecided,
4 for Agree, and 5 for Strongly Agree.

Step Two:
Add the total scores for each section of the questionnaire, divide by 3, and enter the averages in the appropriate spaces below.
Job

Group

Management

Economics

Average for items

Average for items

Average for items

Average for items

1, 2, and 3

4, 5, and 6

7, 8, and 9

10, 11, and 12

Step Three:
Make a three-dimensional picture of your morale at work, using Figure 101. Circle the
appropriate number on each edge of the box, and connect the circles with straight and
dotted lines as shown in the example (Figure 102).
Job
Figure 101
Your Levels of Morale

Management

5
5
4

4
5

3
2

2
1

1
2

Group

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Job
Figure 102
Example of Levels
of Morale

Management

5
5
4

4
5
3

212

Leadership

1
2

Group

Economics

Interpretation:
Score

Description

Meaning

1.02.5

Low Morale

Scores from 1.0 to 2.5 on any one or a combination of the four edges of the boxjob, group,
management, and economicsindicate a low level
of morale. If you are doing a good job, you are
doing so because of personal qualities, not because
of environmental support.

2.63.4

Wait-and-See
Attitude

Scores between 2.6 and 3.4 on any one or a combination of the four edges indicate a wait-and-see
attitude. It is likely that your morale is neither helping nor hurting your job performance at this point.
However, you lack a sense of full satisfaction and do
not feel complete commitment to your work. Your
current condition can be likened to running in
place or treading water.

3.55.0

High Morale

Scores between 3.5 and 5.0 on all four edges indicate a high level of morale. You are fortunate in
that you receive much satisfaction from your work.
You are striving to do the best job possible, and
with training and practice your level of performance could be expected to be high.

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Employee Morale
and the Role of
Management

Managingmoraleisthetaskofmanagement.Meetingthisresponsibilityrequiresa
willingnesstolistentoemployeesandtheabilitytoreadbetweenthelinesofwhat
theysayanddo.Inthisprocess,themoraleofeachpersonshouldbeconsideredindi
vidually.Althoughtheelementsofmoralearethesameforeveryonejob,group,
management,andeconomicrewardseachelementmaybemoreorlessimportantto
differentpeopleatdifferenttimes.
Thenatureofthejobitselfmaynotbeasimportanttotheindividualwhoviews
workasatemporarysourceofincomewhilegoingtoschoolasitistothepersonin
midcareerwhoforeseesmanymoreyearsinthesamelineofwork.
Typically,wagesandtheopportunityforadvancementareofprimaryimportanceto
youngerworkers,whileolderemployeesaremoreinterestedinfringebenefitsfor
theirretirementyears.Allthreewages,benefits,andadvancementareusually
importanttoworkersintheirmiddleyears,whenthefinancialdemandsofraisinga
familymustbemet,securityforsicknessandretirementmustbeconsidered,and
socialneedsforstatusandresponsibilitycanbegreat.

Relationswithcoworkersandpracticesofmanagement

of the Leader

probablywouldbeless
importanttotheinventor,whoworksalone,thantofactory
andofficeemployees,
whospendasignificantamountoftimeinthecompanyofco
workersandwhoare
subjecttoasupervisorsorders.

Doesmoralemakeadifference,anddoesleadershipcount?Yesandyes,sayRobert
LeveringandMiltonMoskowitzin The 100 Best Companies to Work for in America,
identifyingSouthwestAirlinesasnumberoneandquotinganenthusiasticemployee:
Workinghereisanunbelievableexperience.Theytreatyouwithrespect,payyou
well,andaskyoutouseyourideastosolveproblems.Theyencourageyoutobe
yourself.Ilovegoingtowork!18
Althoughhedownplayshisroleinthesuccessofthecompany,formerCEO Herb
Insummary,whenanemployeehasanattitudeproblemthat Kelleherpersonifiesthehonestandcaringleaderwhoiscommittedtohispeople
isworkrelated,
andwhocaresabouttheirmorale.AsCEO,Kelleherspenthisbusinessdaymaking
stresslevelsriseandperformancegoesdown.Itmaybe
sureemployeesbelievedinthemselvesandtheircompany,andhedidthisinhis
discoveredthatmanage
ownuniqueway.Hesmoked,armwrestled,drankWildTurkey,rappedinmusic
mentispartoftheproblem.Occasionally,theproblemiscaused
videosandhelovedit.Hisemployeeslovedhim,too.Kelleherstates,Youcant
byotheremploy
justleadbythenumbers.Wevealwaysbelievedthatbusinessshouldbeenjoyable
ees.Often,theproblemiscausedbytheemployeeheror
aswell.19
himself.Inanycase,
KellehersattentiontomoralepaidbigdividendsforSouthwestAirlines.When
managementspotentialtohelpisenormous.Ifyouarea
hebecameCEOin1982,theairlinehadjust27planes,$270millioninrevenues,
managerandhavean
2,100employees,andflightsto14cities.Bythetimeofhisretirementin2001,
employeeattitudeproblem,youshouldbeconcernedforthesake
Southwesthadbecomea$5.7billionbusinesswith30,000employeesandwas
oftheindividual
flyingto57cities.At$14billion,Southwestsmarketcapitalizationwasbigger
andthegoodoftheorganization.17
thanAmericans,Uniteds,andContinentalscombined.Mostastoundingofall
wasthat,sincethecompanyfirstearnedaprofitin1973,itneverlostapenny.
Inanindustryplaguedbyfarewars,oilcrises,andotherdisasters,thisisan
Work Morale and the Role
amazingaccomplishmenttracedprimarilytoacaringleaderwhocaredabout
hispeople.20

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Doesjobsatisfactionhelpcustomersatisfactionaswell?Indeedso,saysVirgin
GroupfounderRichardBranson.Itiscommonsensethathappyemployeesmake
happycustomers.AtVirginGroup,ourfrontlinemakesourbottomline.21Thebusiness
caselinkingemployeesatisfactionwithcustomerserviceiswelldocumented.Research
showsemployeesinagoodmooddisplayfriendlinessandpositiveinteractionsmore
naturallyandfrequently,andthiscausescustomerstoexperiencepositiveemotionsand
loyalty.Also,satisfiedemployeesarelesslikelytoquittheirjobs,sotheyhavebetter
knowledgeandskillstoservetheircustomers.Lowerturnoveralsoenablescustomersto
havethesameemployeesservethem,sothereismoreconsistentservice.22

Practical Leadership Tips


Thetaskofleadershipistomanagemorale,whichmeansmakingsurepeople(1)feel
theyaregiventheopportunitytodowhattheydobesteveryday;(2)believetheir
opinionscount;(3)sensetheirfellowemployeesarecommittedtodoinghighquality
work;and(4)havemadeadirectconnectionbetweentheirworkandthecompanys
mission.Byfocusingonthesekeyfactorsandbyadheringtothefollowingproven
tipsforbeinganeffectiveleader,theleadercankeepmoralehighandperformance
upintheworkgroupororganization.23
1. Be predictable.Onegoodruleforleadingpeopleis:Beconsistent.Ifyougive
praiseforanacttodayandcriticismforthesameacttomorrow,theresultwillbeconfusion.
2. Be understanding.Trytoseethingsfromtheotherpersonsview.Howcan
youappreciatewhatanotherpersonisgoingthroughifyouhaveneverbeenthereor
atleastlistened?
3. Be enthusiastic.Theatmosphereyoucreatedetermineswhetherpeoplewill
givetheirbesteffortswhenyouarenotpresent.Whywould theycareif youdonot?
4. Set the example.Itisdifficulttoaskotherstodosomething(forexample,be
atworkontime8:00A.M.)ifyou,yourself,arentwillingtodoit.
5. Show support.Peoplewantaleadertheycantrustintimesofneedanda
persontheycandependontorepresenttheirinterests.Careaboutyourpeopleand
theywillcareaboutyou.Mutualloyaltyisanimportantforceforgettingthingsdone,
especiallyinemergenciesandadverseconditions.
6. Get out of the office.Visitfrontlinepeoplewithyoureyesandearsopen.Ask
questions,understandtheirconcerns,andgaintheirsupport.Thishastobedone
oftenenoughtoshowthatyoucareabouttheirproblemsandtheirideas.
7. Keep promises.Whenyoumakepromises,keepthemfaithfully.Onekeyto

beinganeffectiveleaderis possible.
fair.Showrespect,consideration,andsupportforallemployees
credibility.Credibilityisthe
9. Hold your
equally,butdifferentiaterewardsbasedonperformance.Rewardgoodperformersin
formationoftrust,andtrust
fire.Saylessthan asimilarfashion,andnonperformersinasimilarfashion,butdontrewardgoodper
isanessentialquality
youthink.Cultivate formersandnonperformersinthesamefashion.Doingsoisasurewaytodemotivate
employeeswantinaleader.
apleasanttoneof goodperformersandlowerthequalityofworkforall.
Leadership
21
8. Praise
voice.
generously.Never Howyousaysomething
letanopportunitypassto isoftenmoreimportant Psychological Health
giveawelldeserved
thanwhatyousay.Most and the Concept of Flow
com
important,
pliment.Dontforgettoshow askpeople,donttell Researchsupportstheimportanceofworkasacentralactivityinpeopleslives.
Whenasked,Ifyouhadenoughmoneytoliveascomfortablyasyouwouldlikefor
appreciationforeffortaswell them.Discuss,dont
therestofyourlife,wouldyoucontinuetowork,orwouldyoustopworking?70
asaccomplishments,and
argue.
percentofAmericanssaytheywouldcontinuetowork.24
dosoinwritingwhenever
10. Always be

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Asatisfyingworkexperienceisimportantforemotionalwellbeing.TheRussian
writerFyodorDostoyevskyexpressedthiswhenhewrote,Ifitwereconsidered
desirabletodestroyahumanbeing,theonlythingnecessarywouldbetogivehis
workaclimateofuselessness.25
ThomasJeffersonbelieveditwasneitherwealthnorsplendor,buttranquillityand
occupation,whichgivehappiness.26Alongtheselines,UniversityofChicagopsy
chologistMihalyCsikszentmihalyicoinedtheterm flowafterstudyingartistswho
couldspendhourafterhourpaintingandsculptingwithenormousconcentration.The
artists,immersedinachallengingprojectandexhibitinghighlevelsofskill,worked
asifnothingelsemattered.27
Flowistheconfluenceofchallengeandskill,anditiswhatthepoetJoseph
Campbellmeantwhenhesaid,Followyourbliss.Inallfieldsofwork,from
accountingtozookeeping,whenwearechallengedbysomethingwearetrulygood
at,webecomesoabsorbedintheflowoftheactivitythatweloseconsciousnessof
selfandtime.Weavoidstatesofanxiety,boredom,andapathy,andweexperience
flow.SeeFigure103.
High Challenge

Figure 103
The Experience of Flow
Combines High Challenge
and High Skill
Anxiety

Flow

Low
Skill

High
Skill

Apathy

Boredom

Low Challenge

Notethatlowskill

lowchallenge

apathyanddiminishedworklife;lowskill

highchallenge
anxietyandlowselfesteem;highskill
lowchallenge
boredom
andlowcreativity;highskill
highchallenge
theexperienceofflowandwork
fulfillment.
Whatisitliketobeinastateofflow?Csikszentmihalyi,inhisbook The
Evolving Self,reportsthatoverandoveragain,peopledescribethesame
dimensionsofflow:

Aclearandpresentpurposedistinctlyknown.
Immediatefeedbackonhowwelloneisdoing.
Supremeconcentrationonthetaskathandasotherconcernsaretemporarily
suspended.
Asenseofgrowthandbeingpartofsomegreaterendeavorasegoboundaries
aretranscended.
Analteredsenseoftimethatusuallyseemstogofaster.28
Atthispointintime,whereareyouinyourworkandprofessionallife:Areyouin
astateofapathy,anxiety,boredom,orflow?Ifyouarenotnowinastateofflow,
whatwouldittaketogetyouthere?
Fortyyearsago,PeterDruckerrecognizedthatleadersaremoreeffectivewhen
theyfocusonstrengthsratherthanweaknesses.Theycapitalizeontheirown

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strengthsandthestrengthsoftheiremployees.29Yetresearchshowsthatonly
20percentofemployeesinlargeorganizationssaytheyhaveanopportunitytoper
formtaskstheydobest.30Theuntappedpotentialofpeopleisthemainmessagein
theconceptofflow.Effectiveleaderswilltakeactiontobesurenoemployeestays
longinastateofapathy,anxiety,orboredom;butinsteadischallengedtoperform
inhisorherareaofstrengthandgainthesatisfactionoftheexperienceofflow.

Job Design and Work Satisfaction


TheworksofAdamSmithandC.Babbageserveasthefoundationforcontemporary
workdesign.31Thedesignofgoodjobsandworksatisfactionremaincentralcon
cernsintodaysworkplace.32
Whatconstitutesagoodjob?Oneofthebestmodelsofjobdesignandwork
satisfactionshowsintrinsicandextrinsicfactorsthatarenecessaryforarichjob.33
Intrinsicfactorsare:
1.

Variety and challengeincludingtheuseofdifferentskillsandtalents.

2.
3.
4.
5.
6.

Opportunity for decision makingincludingtaskidentityandautonomy.


Feedback and learningincludingevaluationandsuggestionsfromusers.
Mutual respect and supportincludingresponsivelisteningandteamwork.
Wholeness and meaningincludingtasksofsocialandpersonalsignificance.
Room to growincludingdevelopmentofnewknowledgeandskills.

Thefirstthreemustbeoptimalnottoomuch,whichcanaddanxiety,ortoolittle,
whichproducesboredom.Thesecondthreeareopenended.Noonecanhavetoo
muchrespect,growingroom,orwholeness.Thusarichjobhasoptimalvariety,re
sponsibility,andfeedback,andasmuchrespect,growth,andmeaningaspossible.
Therichjobalsoincludesextrinsicconditionsofemployment:
1.

Fair and adequate pay.

2.

Job security.
Benefits.
Safety.
Health.
Due process.

3.
4.
5.
6.

Withthismodelasabasis,considertheemployeesinyourjurisdiction.Whatsteps
canbetakentoimproveormaintainhighjobsatisfaction?

The Importance of Human Relations


Humanrelationsareimportanttotheindividualandthesociety.AsJohnDonne,the
seventeenthcenturyEnglishpoet,wrote,inthelanguageofhistime:
NomanisanIsland,intireofitsselfe;
EverymanisapeeceoftheContinent,
Apartofthemaine;

21

IfaClodbewashedawaybytheSea,Europeisthelesse,
AswellasifaPromontoriewere,
AswellasifaMannorofthyfriends,orofthineownewere;
Anymansdeathdiminishesme,
BecauseIaminvolvedinMankinde;
Andtherefore;
Neversendtoknowforwhomthebelltolls;
Ittollsforthee.34

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In The Different Drum,psychiatristScottPeckwrites:Weareall,inreality,


interdependent.Throughouttheages,thegreatestleadersofallofthereligionshave
taughtusthatthejourneyofgrowthisthepathawayfromselflove,andtowarda
stateofbeinginwhichouridentitymergeswiththatofhumanity.35Effectiveleaders
understandthisideafully,andatabasiclevelfeelconnectedwiththeirfellow
humans,careaboutthewellbeingofothers,andrelateeffectivelywithpeople.
ConsiderthewordsofWilliamPenn:Iexpecttopassthroughthislifebutonce;
thereforeiftherebeanykindnessIcanshoworanygoodthingIcandoforany
fellowbeing,letmedoitnow,notdeferorneglectit,forIshallnotpassthisway
again.

Human Relations in the Workplace


PsychologistWilliamMenningerexplainstheimportanceofhumanrelationshipsin
theworldofwork:
Theonlyhopeformantobefulfilledinaworldofworkisthathegetalongwithhis
fellowmenthathetrytounderstandthem.Hemaythenbefreetocontributetotheirmutual
welfaretheirsandhis.Insofarashefailsthis,hefailshimselfandsociety.36

Thefirstempiricalevidenceoftheimportanceofhumanrelationsintheworkplace
wasprovidedbystudiesconductedatWesternElectricsHawthorneplant.The
originalpurposeofthestudieswastodiscovertheeffectofworkingconditions
noise,lighting,andthelikeonemployeeperformance.Thefinalresultwasto
demonstratethecriticalroleofhumanrelations,particularlyemployeerecognition
andmanagementsupport.37
TheHawthornestudiesfollowedaperiodofAmericanhistorymarkedby
massiveindustrialization,exploitationofworkers,andtheuseofscientific
managementtoimproveemployeeefficiency.AsepitomizedbyCharlieChaplin
inthefilm Modern Times,theworkerhadbeendehumanizedinthepursuitof
productionandprofit.
AmongthefindingscommonlyattributedtotheHawthornestudiesarethefollowing:
(1)Productivityisaffectedbyhumanrelationshipsbecausetheworkenvironmentisalso
asocialenvironment;(2)asupportiveleadershipstyleandtheamountofattentiondi
rectedtowardemployeeshavepositiveinfluenceonproductivity;(3)thereisatendency
forworkerstosettheirownstandardsornormsforacceptablebehaviorandoutput.38
WiththepublishedresultsoftheHawthornestudies,theindustrialcommunityawak
enedtothefactthattheworkermustbetreatedasmorethanamachine,andthathuman
ismintheworkplaceisgoodforbothpeopleandbusiness.Participativeworkgroups,
enlightenedleadershippractices,andmeaningfuljobassignmentswererecognizedasim
portanttopreventworkeralienation,andahumanrelationsmovementbegantotakeroot.
Humanrelationsareincreasinglyimportantintodaysworkplaceforthreereasons:
1.Morepeopleareemployedinserviceoccupations,wheresuccessdependson

howwellthecustomerisserved.Writingin Liberation Management,TomPeters


states:Allbusinessdecisionshinge,ultimately,onconversationsandrelation
ships;allbusinessdealingsarepersonaldealingsintheend.39
2.Tobuildsuperiorworkteams,peopleneedgreatercompetenceinhumanrelations
skills.Inthe1980s,theNationalScienceFoundationreportedthatJapanesecom
paniesoftheperiodweremoreproductivethanAmericancompaniesprimarily
becauseofcollaborativeworkrelationships.40

3.InhisessayBuildingCommunity,JohnGardnerdescribesthemodernwork

21

forceascomposedofavariedmixofpersonalitiesandcultures,thusthenecessity
andchallengeofbuildingstronghumanrelationswithallkindsofpeople.Itis
interestingtonotethatthemostcommoncauseofsupervisoryfailureispoor
humanrelations.41

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Basic Beliefs about People


Thequalityofhumanrelationsinanyworkplacereflectsitsmembers,particularly
itsleaders,viewsoftheessentialnatureandvalueofhumanityitself.

Human nature.Itmakesagreatdealofdifferencewhetheroneviewspeoplein
generalasgoodorevil.Ifweassumethatpeoplearebasicallygood,wecan
believethatmisbehaviorisareactiveresponseratherthanamanifestationofchar
acter.Thispositiveviewofpeoplewillleadtoasearchforcausesinexperience
ratherthaninnature.If,ontheotherhand,weassumethatpeopleareinherently
bad,thenwearepronetoassumethatmisbehavioriscausedbysomethingwithin
thepersonthatcannotbealtereddirectly.Accordingly,ourattentionwillfocuson
limitingfreedomtochooseandactthroughexternalrestrictionsandcontrols.
Human value.Whatisthebasicvalueofhumanbeings?Thisisaquestionasold
aswrittenhistoryandprobablyasoldassocietyitself.Itstemsfromthedebateas
towhetherpeopleareendsinthemselvesormerelymeanstoends.Insimple
terms,wetreatpeopleasendswhenweallowthemtoestablishtheirownpurposes
andtochooseforthemselves.Whenweviewpeopleasends,wereflectahuman
isticview.Incontrast,whenwetreatpeopleasmeans,welimittheirchoicesand
usethemprimarilyasinstrumentsforourownpurposes.
Where do you stand?Personalhistorydrawseachofustowardsomeprimary
tendencythatdeterminesthegeneralpatternofourrelationswithothers.Small
changesmayoccurtoaccommodatethevariousrolesweplay,butthereseemsto
beacorepatternthatrepresentsourbasicbeliefsconcerninghumanbeings.Is
yourownviewofpeopleprimarilypositiveornegative?Whatexperiencesand
factorshaveinfluencedyourview?Asaresult,whatprinciplesandpracticesdo
youfollowinyourrelationswithothers?

Abuse and Physical Violence


Awarenessandinterestinworkplaceviolencehasincreasedinthepast25years.It
wasin1986thatPatrickSherrillwentonarampageintheEdmond,Oklahoma,Post
Officethatresultedinthedeathof14ofhiscoworkersbeforehetookhisownlife.
Thiseventandothersthatfollowedresultedintheterm going postaltodescribe
episodesofviolenceatwork.42
Bullyingbehaviorandtheescalationofabusetothelevelofphysicalviolencehas
becomeanincreasinglyimportanthumanrelationsissueintheworkplace.Punching
andshovingarebecomingmorecommon,andtheextremeofviolence,murder,isnot
unheardof.Mencommitnearly75percentoftheincidents,andwomencommit
nearlyaquarterofallthreatsandattacks.43
InanaverageworkweekintheUnitedStates,10employeesarekilledand25
areseriouslyinjuredinassaultsbycurrentorformercoworkers.Oftentheoffender
demonstratesclearwarningsignsofimpendingtragedyrevealingweapons,
threateningcoworkers,andtalkingaboutattacks.Inmanycases,employersignore,
downplay,ormisjudgetheseriousnessofthethreat.44
PaulaGrubb,oftheNationalInstituteforOccupationalSafetyandHealth,states
thatoneoutoffourworkplacesreportsbullyingandthreeoutoffivesayuncivil
behavior,suchasberatingemployeesandusingthesilenttreatment,occurs.From
theprofessionalofficetotheretailstoretothefactoryfloor,aggressivebehavioris
increasingpersonalinjury,propertydamage,absenteeism,andturnover;anditis
decreasingemployeemorale,productivity,andbottomlineprofitsofcompanies.45
Researchshowsthatantisocialbehaviorcanbeinfluencedbythebehaviorofco
workers.Workgroupscancondoneharmfulbehaviors,suchasuseofprofanity,sexual
abuse,damagingproperty,andthreateningorbullyingotheremployees.Codesof
conduct,disciplinaryaction,offendercounseling,andsupervisorytrainingarepractical

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stepstodealwithinappropriatebehavior.Itisessentialforleaderstoestablishawork
climatewhereladiesandgentlementreateachotherlikeladiesandgentlemen.46
Theroleoftheleaderiscriticalinpreventingbullyingbehavioranddealingwith
workplaceviolence.Itisimportanttoestablishacivilworkclimateandanoviolence
code,andtobacktheseupwithquickandeffectivedisciplinaryactionifviolations
occur.Itisessentialfortheleadertomodelrestraintandtoavoidbeingaverbalor
physicalaggressorbehaviorsthatcouldbecopiedbyemployees.47
Studiesofabusiveleadersshowthatemployeeswhofaceridiculeandverbalabuse
developangerandhatredtowardtheirsupervisors.Employeemoraleandworkper
formancedeteriorateuntilthesupervisorisreplacedoremployeesquitoraretermi
nated.Abusedworkersarenothappy,noristheorganizationfunctioningatitsmost
effectivelevel.48

What to Do When People Complain


Animportantsubjectinhumanrelationsishowtohandlecomplaints.Ifpeoplethink
amistakehasbeenmade,itisonlynaturalforthemtobeupset,especiallyifthemat
terisimportanttothem.Whenpeoplecomplain,theywanttobetakenseriouslyand
treatedwithcourtesy.Theyalsowanttoclearuptheproblemassoonaspossible,so
thatitwonthappenagain.ManagementauthorWendyLeebovrecommendsthefol
lowingguidelinesforhandlingcomplaints:
Keep cool, calm, and collected.Apoliteandfriendlymannerworksbest,even
withthemostirritatedpeople.Aphrasetorememberis:Maintaingraceunder
pressure.
Listen patiently without interrupting.Dontargueorbecomedefensive;allowthe
persontoventemotions.
Accept and acknowledge the persons point of view.Showempathy.Considerhow
youwouldfeelifyouwereintheotherpersonsshoes.
Ask questions to fully understand the problem and to fully understand what the
person wants.Dontjumptoconclusionsabouthowtheproblemshouldbe
resolved.
Fully discuss possible solutions.Explainclearlywhatcanandcannotbedone.
Reach closure.Dontleavethepersonhanging.Ifyoucantsolvetheproblem,find
someonewhocan.Arrangeatimeandmethodforcommunicatingtheresults.
Genuinely thank the person for speaking up.Explainwhyyouaregladthatheor
shepointedoutashortcoming.Forexample,Itgivesmeachancetomakethings
right,orIthelpsusimproveforthefuture.
Follow through.Dowhatyousayyouwilldowhenyousayyouwilldoit.Keep
promises.
Handlingcomplaintsiseveryonesresponsibility.Itisapracticalandtangible
demonstrationofrespectforpeople.Ifdoneeffectively,itcanhelpkeepsmallirrita
tionsfrombecomingmajorproblemsanditcanbeanimportantassetinbuildingand
maintainingrelationships.49

Trust and Respect in Human Relations


Todayitisarecognizedfactthatpeoplehavegreatersatisfactionandproducemore
whentheyareinvolvedintheirwork,whentheyfeeltheyaredoingsomething
important,andwhentheirworkisappreciated.Bothqualityofworkandqualityof
worklifearegreatestwhenpeoplearetreatedwithtrustandrespect.
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Trustand respectarethekeyelementsofallgoodrelationships.Trustisexpressed
byanopennessinsharingideasandfeelings.Respectisdemonstratedbyawillingness
tolistentotheideasandfeelingsofothers.Withouttrustandrespect,humanrelations
breakdown.
Therulesforgoodrelationshipsaretoshowrespectbylisteninginaresponsive
mannerandtoshowtrustbyexpressingoneselfhonestlyandopenly.Exercise103
providesaneffectivewaytodeveloptrustandrespect,thefoundationbehaviorsof
goodhumanrelations.

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Introduction:

Exercise 103
The Dyadic
Encounter50

A theme frequently thought and occasionally voiced when people meet or work together
is, Id like to get to know you, but I dont know how. This sentiment often is expressed in
work groups and emerges in marriage and other dyadic (two-person) relationships.
Getting to know another person involves a learnable set of skills and attitudesself-disclosure,
trust, listening, acceptance, and nonpossessive caring.
Through the dyadic encounter, a unique learning experience, people who need or
want to communicate effectively can learn trust and respect by doing, as they build
relationships and skills that can be applied both on the job and in the home.
The conversation that you are about to have is intended to result in more effective
human relations. Tasks are accomplished more effectively if people have the capacity to
exchange ideas, feelings, and opinions freely.
In an understanding, nonjudgmental manner, one person shares information with
another, who reciprocates. This exchange results in a greater feeling of trust, understanding,
and acceptance, and the relationship becomes closer.

Directions:
The following ground rules should govern this experience:
Each partner responds to each statement before continuing to the next statement.

Complete the statements in the order they appear, first one person responding and
then the other.
Do not write your responses.

If your partner has finished reading, begin the exercise.

A. My name is . . .

B. My hometown is . . .

C. Basically, my job is . . .

D. The reason I am here is . . .

E. Usually, I am the kind of person who . . .

F. The thing I like most is . . .

G. The thing I dislike most is . . .

H. My first impression of you was . . .

I. On the job I am best at . . .

J. My greatest weakness is . . .

K. The best leader I ever had was . . .

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L. The worst leader I ever had was . . .

M. I like people who . . .

N. I joined this organization because . . .

O. The next thing I am going to try to accomplish at work is . . .

P. Away from the job, I am most interested in . . .

Q. Society today is . . .

R. What concerns me is . . .

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

S. My most embarrassing moment was . . .

T. I believe in . . .

U. I would like to . . .

V. What I like about you is . . .

W. What I think you need to know is . . .

X. You and I can . . .

Y. During our conversation:


a. your face has communicated . . .

b. your posture has conveyed . . .

c. your hands and arms have indicated . . .

Z. Have a brief discussion of


your reactions to this

22

conversation. If time
permits, you may

discuss other topics. Several possibilities are projects at work, leadership practices,
societal needs, and future goals. Or you may choose your own topics.

Leadership
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The Art of Listening


Poorlisteningisamajorcauseofcommunicationbreakdown.TheRomanphiloso
pherCicerowrote,Godgaveustwoearsandonlyonemouth.Inviewoftheway
weusethese,itisagoodthingthisisnotreversed.51Morerecently,psychologist
CarlRogerswrote,Thebiggestblocktopersonalcommunicationistheinabilityto
listenintelligently,understandingly,andskillfullytoanotherperson.Thisdeficiency
inthemodernworldiswidespreadandappalling.52
Poorlisteningisaproblemthataffectsmanypeople.Studiesoflisteningeffective
nessshowthat40percentoftheaveragewhitecollarworkersdayisspentinthe
listeningprocess,yetlisteningcomprehensiontypicallyisonly25percent.53Most
peoplewouldbeupsetiftheirpaywerereducedby30percent(75percentof40percent),
yetthemisunderstandingandmistakesresultingfrominadequatelisteningcanbe
critical(particularlyinoccupationswithlifeanddeathconsequences,suchasmedicine,
transportation,justice,andthemilitary),andthisispreciselywhatwouldhappentoa
bluecollarlaborerwhoproducedpoorqualitywork.
Whatcanbedonetoimprovelisteningeffectiveness?RalphNichols,pioneerandmost
recognizedauthorityontheartoflistening,outlines10principlesofeffectivelistening.
Theseprinciplesapplyonthejob,inthehome,andinthegreatercommunity.54
Mostpeopletalkataspeedof125wordsperminute.Yetpeoplethinkatamuch
fasterratearound500wordsperminute.55Itisdifficultalmostpainfultoslow
downthinkingspeed.Therefore,youusuallyhaveaboutfourtimesasmuchthinking
timeasyouneedforeveryminuteyouareinconversation.Whatyoudowiththis
extrathinkingtimedependsonwhetheryouareapoorlisteneroraneffectivelistener.
Ifyouareapoorlistener,youusuallystarttolistentothespeaker,thenrealize
thereistimetospare.Soyoubrieflyturnyourthoughtstosomethingelse.Theseside
tripsofthoughtcontinueuntilyoutarrytoolongonsomeenticingbutirrelevantsub
ject.Whenyourthoughtsreturn,youfindthespeakerisfaraheadofyou.Atthis
point,theconversationishardertofollow,makingiteasiertotakemorementalside
excursions.Finally,youstoplisteningentirely.Thespeakerisstilltalking,butyour
mindisinanotherworld.
Ifyouareagoodlistener,youwillusethoughtspeedtoadvantagebyapplying
sparethinkingtimetoconcentratingonwhatisbeingsaid.Tocapitalizeonthought
speed,youshould

Capitalize on
Thought
Speed

Listen for Ideas

Anticipatewhatthespeakerisgoingtotalkaboutonthebasisofwhathasalready
beensaid.Ask:Whatisthispersontryingtogetacross?
Mentallysummarizewhatthespeakerhasbeensaying.Whatpoint,ifany,has
alreadybeenmade?
Weighevidencebymentallyquestioningit.Iffacts,stories,andstatisticsareused,
consider:Aretheyaccurate?AmIgettingthefullpicture?Isthispersontellingme
onlywhatwillproveapoint?
Takeafewhelpfulnotesonmajorpoints.Asanoldsayinggoes,Thestrongest
memoryisweakerthanthepalestink.Researchshowsthatyouwillgain20percent
moreretentionifyoutakenotesand35percentmoreifyouputnotesintoasummary
ofhowyouwillusewhatyouhaveheard.56
Listenbetweenthelines.Peopledontputeverythingimportantintowords.The
changingtoneandvolumeofthespeakersvoicemayhavemeaning;somayfacial
expressions,handandarmgestures,andotherbodymovements.

Doyoueversay,WhenIlisten,Iconcentrateondetails?Ifso,youmaybeapoor
listener.SupposesomeoneisgivingyouinformationcomposedofpointsAthroughZ.
Thepersonbeginstotalk.YouhearpointAandthink,PointA,pointA,pointA...I
havetorememberit.Meanwhile,thepersonistellingyouaboutpointB.Nowyou
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havetwothingstomemorize.YouaresobusymemorizingpointAandpointBthat
youmisspointCcompletely.AndsoitgoesuptopointZ.Youcatchsomeinforma
tion,confuseotherinformation,andcompletelymisstherest.
Goodlistenersfocusonmainideas.Asinformationispresented,weighonepoint
againsttheother.Trytofindarelationshipbetweenthem.Thepersontalkingusually
willputseveralpointstogethertodeveloporsupportacentralidea.Ifyouwantto
comprehendandrememberthespeakersmessage,listenformainideas,notfora
seriesofmemorizeddetails.

Reduce Emotional
Deaf Spots

Find an Area of
Interest

Paralleltotheblindspotsthataffecthumanvisionareemotionaldeafspotsthat
impaironesabilitytolistenandunderstand.Thesedeafspotsarethedwellingplaces
ofourmostcherishednotions,convictions,andcomplexes.Often,whenaspeaker
invadesoneoftheseareaswithawordorphrase,themindturnstofamiliarmental
pathwaysthatcrisscrosstheinvadedareaofsensibility.Whenemotionaldeafness
occurs,listeningefficiencydropsrapidlytozero.
Toshowhowemotionaldeafspotswork,supposeyourtaxaccountantcallsand
says,IhavejustheardfromtheInternalRevenueService,and...Suddenly,you
breatheharderandthink,Auditors.Canttheyleavemealone?Youhavestoppedlis
tening.Meanwhile,youraccountantissayingthereisachanceyoucansave$3,000
thisyear.Butyoudonthearthis,becausethewordsInternalRevenueServicehave
createdemotionaldeafness.
Emotionaldeafspotsarecommontoalmosteveryone.AnardentRepublican,for
example,maybecometemporarilydeafonhearingthenamesJimmyCarterandBill
Clinton;andmanyDemocratsquitlisteningwhentheyhearthenamesRonald
ReaganandGeorgeBush.Otherredflagwordsthatcauseemotionaldeafness
include tax increase, downsizing,and mother-in-law.
Formoreeffectivelistening,identifythewordsthatbotheryouandanalyzewhy
theyupsetyou.Athoroughexaminationmayrevealthattheyreallyshouldntbother
youatall.
Studiesoflisteningeffectivenesssupporttheimportanceofbeinginterestedinthetopic
underdiscussion.Poorlistenersusuallydeclareasubjectdryafterthefirstfewsentences.
Oncethisdecisionismade,itservestorationalizeanyandallfurtherinattention.Good
listenersfollowdifferenttactics.Althoughtheirfirstthoughtmaybethatthesubject
soundsboring,asecondthoughtimmediatelyfollows,basedontherealizationthatto
getupandleavewouldbeawkward.Thefinalreflectionisthat,beingtrappedanyway,
itwouldbegoodtolearnifanythingisbeingsaidthatcanbeputtouse.
Thekeytothewholematterofinterestinatopicistheword use.Wheneveryou
wishtolistencarefully,askyourself,WhatisthespeakersayingthatIcanuse?What
worthwhileideasarebeingexpressed?Isthespeakerreportinganyworkableproce
dures?IsthereanythingofvaluetomeoranythingIcanusetomakemyselfhappier?
Suchquestionshelpkeepattentiononthesubjectasyouscreenwhatissaidinacon
stantefforttosortoutelementsofvalue.
Manylistenersjustifyinattentiontoaspeakerbythinkingtothemselves,Whocould

Judge Content, Not listentosuchacharacter?Whatanawfulvoice.Willthespeakereverstopreading


fromthosenotes?Thegoodlistenerreactsdifferently.Thegoodlistenermaywell
Delivery

lookatthespeakerandthink,Thispersonhasaproblem.Almostanyoneoughttobe
abletocommunicatebetterthanthat.Butfromthisinitialsimilarity,thegoodlistener
movesontoadifferentconclusion,thinking,Butwaitaminute....Imnotinter
estedinthespeakerspersonalityordelivery.Iwanttofindoutifthispersonknows
somethingthatIneedtoknow.
Essentially,peoplelistenwiththeirownexperiences.Shouldaspeakerbeheld
responsiblebecausealistenerispoorlyequippedtoreceivethemessage?Evenifyou

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cannotunderstandeverythingyouhear,onewaytoimprovecommunication
effectivenessistoassumeresponsibilitytobeagoodlistenerbyjudgingcontent,not
delivery.Canyourememberatimewhenyouwithheldjudgmentofdeliveryand
benefitedbythecontent?
AlbertEinsteinbelieved:IfAequalssuccess,thentheformulaisAequalsXplusY
plusZ.Xiswork,Yisplay,andZiskeepyourmouthshut.Overstimulationis
almostasbadasunderstimulation,andthetwotogetherconstitutethetwinevilsof
inefficientlistening.Theoverstimulatedlistenergetstooexcitedorexcitedtoosoon
bythespeaker.Youmustlearnnottogetworkedupaboutaspeakerspointuntilyou
arecertainyouthoroughlyunderstandit.Thesecretiscontainedintheprinciplethat
youshouldwithholdjudgmentuntilcomprehensioniscomplete.
Somepeoplearegreatlyaddictedtooverstimulation.Forthem,aspeakercan
seldomtalkformorethanafewminuteswithouttouchingonapetbiasor
conviction.Occasionally,theyarearousedinsupportofthespeakerspoint,but
oftenthereverseistrue.Ineithercase,overstimulationreflectsthedesiretoenter
intoargument.Thiscanbeespeciallyharmfulifitoccurswithfamilymembers,
friends,andcolleagues.
Thearousedpersonusuallybecomespreoccupiedbytryingtodothreethings
simultaneously:calculatetheharmbeingdonetopersonalideas,plotanembarrassing
questiontoaskthespeaker,andmentallyenjoyallthediscomfortthespeakerwill
experienceonceadevastatingreplyislaunched.Withthesethreethingshappening,
subsequentpassagesgounheard.

Hold Your Fire

Work at Listening

Resist Distractions

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Listeningishardwork.Itischaracterizedbyfasterheartaction,quickerbloodcircu
lation,andasmallriseinbodytemperature.Tobeagoodlistener,youmustbean
activeparticipant.
Oneofthemoststrikingcharacteristicsofpoorlistenersistheirunwillingnessto
spendenergyinalisteningsituation.People,bytheirowntestimony,frequentlyenter
school,community,orbusinessmeetingswornoutphysically,assumeposturesthat
onlyseemtogiveattentiontothespeaker,andthenproceedtocatchuponneeded
restorreflectonpurelypersonalmatters.
Fakingattentionisoneoftheworstlisteninghabits.Itisparticularlyprevalent
whenyouarelisteningtosomeoneyouknowverywell,suchasfamilymembersora
friend.Youthinkyouknowwhatthespeakerisgoingtosayanyway,soyoujust
appeartotunein.Then,feelingconsciencefree,youpursueanyofathousandmental
tangents.
Forselfishreasonsalone,oneofthebestinvestmentsyoucanmakeistogiveeach
speakeryourfullattention.Youshouldestablishandmaintaineyecontactandindicate
bybodypostureandfacialexpressionthattheoccasionandthespeakerseffortsare
ofconcerntoyou.Whenyoudothesethings,youhelpthespeakerexpressthoughts
clearly,andyou,inturn,profitbybetterunderstanding.Thisdoesnotimplyaccep
tanceofthespeakerspointofvieworfavorableactiononthespeakersarguments.
Rather,itisanexpressionofinterest.

Oursisanoisyage.Peoplearedistractednotonlybywhattheyhear,butalsoby
whattheysee.Poorlistenerstendtobeinfluencedreadilybyalltypesofdistractions,
eveninanintimatefacetofacesituation.Oftentheycreatedistractionsthemselves
bytappingfeet,drummingfingers,andclickingpens.
Agoodlistenerfightsdistraction.Sometimesthefightiseasilywonbyclosinga
door,turningofftheradio,movingclosertothepersontalking,oraskingtheperson
tospeaklouder.Ifdistractionscannotbesolvedeasily,thenyourtaskbecomesoneof
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Hear
What Is Said
Leadership

Challenge Yourself

The Importance of
Listening as a
Leadership Skill

Peopleoftenfailtohearwhatissaid,evenwhenspokentodirectly.Anemployeemay
beorderedtoimproveperformanceorbereleased;orasupervisormaybecriticized
forpoorleadershippractices.Later,whentheemployeeisdischargedorthesupervi
sorisrelievedofleadershipposition,bothmaybesurprised,claimingnevertohave
knownofimpendingtrouble.
Insuchinstancesthemechanismof denialservestoshutoutunfavorablemessages.
Thispoorlisteninghabitiscommontomanypeoplewhouseselectivelisteningand
hearonlywhattheywanttohear.Somepeoplearemastersofdenial.Doyouhavea
tendencytowardselectivehearing?Whatmessagesmightyoubeblockingordenying?
Perhapstheonewordthatbestdescribesthepoorlisteneris inexperienced.Althoughyou
mayspend40percentofyourdayinthelisteningprocess,youmaybeinexperiencedat
hearinganythingtough,technical,orexpository;youmaybeconditionedtolight,recre
ationalmaterial(televisionprograms,radioshows,sportsevents,gossip,etc.).Thisprob
lemcanbesignificantbecauseitlowersperformanceonthejobandintheclassroom.57
Inexperiencecanbedifficulttoovercome.Ittakesrecognitionofyourweakness,a
desiretoimprove,andeffort.Youarenevertoooldtomeetnewchallenges,particu
larlywhenthechallengeismeaningfulandtherewardsaregreat.Seekopportunities
tochallengeyourlisteningskills.
Howimportantiseffectivelisteningasaleadershipskill?ExecutivecoachMarshall
Goldsmithexplains:Oneoftheworldsmostrespectedresearchanddevelopmentorgani
zationshadaproblemretainingyoungtalent.Theflawwasthatduringpresentations
membersofseniormanagementhadtheannoyinghabitoflookingattheirwatchesand
checkingtheirBlackBerries,motioningyoungscientiststomoveitalong,andrepeating
overandover,Nextslide.Nextslide.Thisannoyingpracticeresultedinaseriouscom
panyproblem.Theexecutiveslearnedanimportantlessonastheywatchedtalentwalk
outthedoor.Peoplewillleave(physicallyormentally)whentheydonotfeelrespected.58

The Enlightened Workplace


Everysooften,someonecapturesanimportantconceptandexpressesitinsucha
waythatitpenetratesandtakesrootinthesociety.DouglasMcGregorandhisbook
The Human Side of Enterprise,firstpublishedin1960andrereleasedin1985,stand
likealighthouseovertheseaofliteratureonleadership.McGregorsbookandhis
famousTheoryYspeech,deliveredatMITsAlfredP.SloanSchoolofManagement
in1957,changedtheentireconceptoforganizationallifeforthesecondhalfofthe
twentiethcentury.59SeeTable101forthethreepropositionsandfivebeliefsof
TheoryXincontrasttothefourdimensionsofTheoryY.
Theory X: Three Propositions and Five Beliefs

Table 101
Two Theories of
ManagementX and Y60

The conventional conception of managements task in harnessing human energy to meet


organizational requirements can be stated broadly in terms of three propositions:
1. Management is responsible for organizing the elements of productive enterprisemoney,
materials, equipment, peoplein the interest of economic ends.
2. With respect to people, this is a process of directing their efforts, motivating them, controlling
their actions, and modifying their behavior to fit the needs of the organization.
3. Without this active intervention by management, people would be passiveeven resistantto
organizational needs. They must therefore be persuaded, rewarded, punished, and controlled
their activities must be directed. This is managements task. We often sum it up by saying that
management consists of getting things done through other people.
Behind this conventional theory there are five beliefsless explicit, but widespread:
The average
The average
The average
The average
The average
demagogue.

person
person
person
person
person

is by nature indolentworking as little as possible.


lacks ambition, dislikes responsibility, and prefers to be led.
is inherently self-centered and indifferent to organizational needs.
is by nature resistant to change.
is gullible, not very bright, and the ready dupe of the charlatan and the

Conventional organization structures and managerial policies, practices, and programs reflect these
assumptions.

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Theory Y: Four Dimensions

We require a different theory of the task of managing people based on more adequate assumptions
about human nature and human motivation. The broad dimensions of such a theory are as follows:
1. Management is responsible for organizing the elements of productive enterprisemoney,
materials, equipment, peoplein the interest of economic ends.
2. People are not by nature passive or resistant to organizational needs. They have become so as a
result of experience in organizations.
3. The motivation, potential for development, capacity for assuming responsibility, and the readiness
to direct behavior toward organizational goals are all present in people. Management does not
put them there. It is a responsibility of management to make it possible for people to recognize
and develop these human characteristics for themselves.
4. The essential task of management is to arrange organizational conditions and methods of
operation so that people can achieve their own goals best by directing their own efforts toward
organizational objectives.
This is a process primarily of creating opportunities, releasing potential, removing obstacles,
encouraging growth, and providing guidance. It is a liberating and empowering process in
contrast to a system of beliefs, policies, and practices that can best be described as management by
control.

McGregormarriedtheideasofsocialpsychologistKurtLewintothetheoriesof
AbrahamMaslow.Tothese,headdedhisownperspectivedrawnfromhisexperi
encesasaprofessorandpracticingleader.TheessenceofMcGregorsmessageis
thatpeoplereactnottoanobjectiveworld,buttoaworldfashionedfromtheirown
perceptionsandassumptionsaboutwhattheworldislike.Notcontenttomerely
describealternativetheories,McGregorwentontoidentifyleadershipstrategiesthat
couldbeusedtocreateenlightenedworkplaces.61
McGregoremphasizedthehumanpotentialforgrowth,elevatedtheimportance
oftheindividualintheenterprise,andarticulatedanapproachtoleadershipthat
undergirdsalltypesandformsoforganization.McGregorsprescriptionsforan
enlightenedworkplaceareasfollows:62

Thepracticeofinclusionversusexclusion,basedondemocraticideals;theactive
involvementofallconcerned.
Mutualsatisfactionofindividualneedsandgroupgoalsthrougheffective
interpersonalrelationshipsbetweenleadersandfollowers.
Leadershipinfluencethatreliesnotontechniquesofcoercion,compromise,and
bargaining,butonopenness,honesty,andworkingthroughdifferences.
Aconceptionofhumanitythatisoptimisticversuspessimistic,andthatarguesfor
humanistictreatmentofpeopleasvaluableandvaluing,asopposedtoobjectsfor
manipulationandcontrol.
Atranscendingconcernforhumandignity,worth,andgrowth,capturedbestby
thephraserespectfortheindividual.
Abeliefthathumangoodnessisinnate,butthatitcanbethwartedbyadysfunc
tionalenvironment,andthatonesfullpotentialcanbestbeachievedinahealthy
climatecharacterizedbytrust,respect,andauthenticrelationships.
Theimportanceoffreeindividualstohavecouragetoactandacceptresponsibility
forconsequences.

Toshowthedifferenceenlightenedleadershipcanmake,contrastconditionsin
twoinvestmentfirms:
Firm 1.Thisfirmreferstoonehalfofitsstaffastheprofessionalsandtherestofthe
employeesasofficestaff.Whiletheofficestaffmembers,primarilysecretaries,donot
expecttoearnthewagesofcollegegraduateswithmultipledegrees,theyresentthe
inferencethatifonegroupisprofessional,itfollowsthateveryoneelseisunprofessional.
Inthisfirm,moraleislow,turnoverishigh,andworkperformanceisreduced.
Firm 2.Thisfirmconsidersitsinvestmentcounselorsandsupportstafftobedirectly
associated.Oneormorecounselorsandasecretaryformateam,andthecompany

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tiesthesecretarysbonusandotherformsofrecognitiontotheperformanceofthe
peopleheorshesupports.Here,espritdecorpsrunsatstratosphericlevels,
performanceishigh,andthefirmisprosperous.
Firm2putsintopracticeMcGregorsprescriptionsforinclusion,sharedgoals,

respectforallpeople,and thebeliefsofatheoryY
personalresponsibility.
leader:Wesimplydo
Researchexploringthe
notbelieveour
The Evolving
relation
employeeshavean
Context of Human Relations
shipbetweenmanagerial
interestincomingin
Leadership
22
adjustmentandattitudes
late,leavingearly,or Informationtechnologyhasbroughtnewhumanrelationschallenges.Virtualrela
tionshipsareonesmaintainedatadistance,withthemajorityofinteractionsoccur
towardsubordinatesshows doingaslittleas
man
possible.Thesearethe ringthroughemail,fax,phones,Internet,intranet,video,andothercommunication
agerswiththeoryY
samepeoplewhoraise technologies.Onlinetechnologyallowsgeographicandtimedispersement.Themost
assumptionsarebetterat
children,jointhePTA, recentlydevelopedtoolsforelectroniccommunicationgenerallyfallintoacategory
calledWeb2.0,asetofInternetbasedapplicationsthatencourageuserprovided
accomplishingorganizational electmayorsand
contentandcollaboration.Theleadertodayfindsherselfinawebofvirtualrelation
objectives
presidents.Theyare
andbetterattappingthe
adultsandatSemcothey shipswithcustomersandcoworkers.
Thechallengeistomaintainbothaproductiveandhumanisticworklifeinthe
potentialofemployees.63
aretreatedlikeadults.
RicardoSemberof
Wetrustthem.Weget faceofvirtualityproblemssuchasthese:
Semco,aBrazilian
outoftheir
1.Noneofthetechnologyofvirtualitycancurrentlycarryafractionofthewhole
manufacturerofindustrial wayandletthemdo
rangeofcommunicationsthatpeopleusetorelatetooneanother;intended
products,shares
theirjobs.64
meaningislost.
2. Virtualcommunicationstendtobebriefandintermittent,whilelonglastingrela
tionshipsbasedontrustandrespectusuallytaketimetodevelop.
3. Virtualcommunicationssuchasemail,teleconferences,andvideoconferences
mayactuallydistractpeoplefromwhatisgoingonaroundthemsotheyare
neitherfullyherenorfullythere.
4. Virtualcommunicationworksonlywhenthepartyyoudesiretocommunicate
withalsousesit.
5. Manyemailusersareoverwhelmedbyhundredsofmessageseachweek,many
ofwhichareeitherunnecessaryorirrelevanttothereceiver.65
Itisimportanttorememberthatonly7percentofwhatiscommunicatediswith
words;38percentisbysound(ortone),and55percentisbybodylanguage.Morethan
90percentofcommunicationisnonverbal,andthisislostwithoutfacetofacecontact.66
Thesuccessfulleaderrecognizestheproblemsofvirtualitybutacceptsthefact
thatelectroniccommunicationisarealityofmodernorganizationallifeandcapitalizes
onitsstrengths(speed,convenience,volume,cost,andsoon).Effectiveleaders
masterchangesincommunicationtechnologyinthesamemannerthatFranklin
RooseveltusedtheradioandJohnKennedyusedtelevision.SeniorexecutiveCharles
CianchetteoftheCianbroCompaniesexplains:Networkingtechnologiesallowcompa
niestoruncohesiveyetdecentralizedoperationsinafastandefficientmanner.
Currently,morethan40percentofIBMemployeesworkfromhomeorontheroad.
Thisisanacceleratingtrendpartlybecauseofanewdemographicofyoungerworkers
whocannotimagineaworldwithoutGoogle,smartphones,socialnetworking,and

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instantmessaging.Nopreviousgenerationofemployeeshasgrownupunderstanding,
using,andexpandingonsuchapervasiveinstrumentasthecomputer.Manypeople
todayconductbusinessviavirtualofficesontheInternet,workingofftheircomputers
fromwherevertheyhappentobe.67
HiWiredcopresidentSinguSrinivasadvisesabalancedapproach:Hebelieves
onlinecommunicationtools,suchaschatandemail,shouldbeusedtoenhanceface
tofacerelationshipsratherthanreplacethem.68
Althoughtodaysworkplacehasbecomemoretimepressured,moremobile,less
dependentongeography,andmorereliantontechnologicalcompetence,thesuccess
fulleaderrecognizestheimportanceofpreservingthehumanmomentatwork.
Thiscanbedonethreeways:
1.Maintainhighstandardsofwrittenandspokencommunication,asgreatletter

writersandpublicspeakershavealwaysdone.
2.Engageinasmuchfacetimeaspossibletosustainsatisfyingandproductive

relationships.Exerttheeffort,paytheexpense,andspendthetimerequired.
3.Keepinmindthesethreedonts:Donthidebehindtechnology,dontforgetits

recorded,anddontusesarcasticorbelittlingstatements.69

The Virtual World Hits Home


Itisonethingtoknowaboutsomethingandanothertounderstandit.Understanding
requirespersonalexperience.Webeganwritingtextbooksin1980.Atthattime,
bookswereacquired,developed,andproducedinonelocation.2007markedthepub
licationofthethirdeditionofthisbook:AcquiredinNewYork,managedinChicago,
developedinIowa,producedinPennsylvania,withinternaldesignfromIndia,cover
fromCalifornia,copyeditedinGreece,proofreadinIreland,printedinCanada,with
anInstructorsGuidefromNorthCarolina.Thiswasavirtualstretchfortwoprofes
sorswhobeganwritingwithyellowpadsandpencils,andwhowerehappythere.It
tooktremendousadjustmentandthehelpofmanypatientpeopletoworkeffectively
inavirtualworld.Wewerechallengedtokeepup,butwillingtotry.

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The Team Concept


CHAPTER

11
ociologistsMaxWeber,EmileDurkheim,andGeorgeSimmelexplaintherole
ofgroupsinthehumanexperience.70Whetherpreliterateorpostindustrial,
peoplehavealwaysusedgroupstosatisfyimportantneeds:Forchildbearing
andintimacy,weusemarriageandfamily;forourinterestinthesupernatural,we
createreligioussectsandinstitutions;forsocialorderandorganization,weform
governments;foreducation,weestablishschools;forprotection,weraisearmies;
foreconomicneeds,weformworkgroupsandorganizations.71
Theimportanceofgroupdynamicsintheworkplaceandtheroleoftheleader
asteambuilderhavealonghistory.Theformalstudyofgroupsbeganinthehu
manrelationsmovementofthe1920sand1930s,ascollaborativeeffortswerefea
turedtobalancetheindividualeffortsemphasizedbyscientificmanagement
theorists.Inthe1940sand1950s,thefocusmovedtosensitivitytrainingand
Tgroupsandthedevelopmentofinterpersonalskills.Inthe1960s,aneraoforga
nizationaldevelopmentemphasizedteamandleadershipeffectivenessthrough
interventionswithongoingworkgroupsandorganizations.Inthe1970sand
1980s,competitionfromJapanandothercountriesresultedinanemphasison
participativemanagement,employeeinvolvement,andqualityimprovement
throughtheuseofteams.Inthe1990sand2000s,thefocusshiftedtohigh
performanceteamstodesignproducts,servecustomers,andimprovequalityto
maintainacompetitiveadvantageinaglobaleconomy.Leaderstodayrelyon
teamsandnewtechnologytoenablecommunicationacrosstimeandgeographic
distance.Leadershipsuccessrequiresanunderstandingofgroupbehaviorandthe
abilitytotaptheconstructivepowerofteams.72

Teamwork Means Life and Death at


Mayo Clinic
TheMayoClinic,whichemploysmorethan42,000peopleatvariouslocations,isan
exampleofanorganizationthatreliesonteamworktoprovidehighqualityhealth
care.Mayohiresatthetopofthetalentpool,butitalsoseekspeoplewhoviewqual

23

ityinmedicineasateamendeavor.Mayoshunsthestarsysteminfavoroftheteam
concept.ManyexcellentclinicianswillnotfitatMayo,includingthosewholack
interpersonalskillsandaoneteamattitude.StatesaMayophysician:TheMayo
cultureattractsindividualswhoseethepracticeofmedicinebestdeliveredwhen
thereisanintegrationofmedicalspecialtiesfunctioningasateam.Itiswhatwedo
best,andmostofuslovetodoit.Whatismostinspiringiswhenacaseissuccessful
becauseoftheteamworkofabunchofdocsfromdifferentspecialties;ithasthefeel
ingofhittingahomeruninbaseball.73

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Excellent Teams
TheRussianwriterLeoTolstoy(18281910)openshismasterpiece Anna Karenina
bysaying,Allhappyfamiliesarealike;eachunhappyfamilyisunhappyinitsown
way.74Thesamecanbesaidforgroups.Ratherthanasinglethread,thereisatapes
tryofqualitiesthatcharacterizealleffectivegroups.Themostimportantelementof
teamworkiscommitmenttoacommonpurpose.Thebestteamsalsodevelopnormsof
behaviorforworkingtogethertoachievetheirpurpose.Withaclear,motivatingpurpose
andpositivenormsofbehavior,peoplecanpulltogetherasapowerfulforcetoachieve
extraordinaryresults.75Fullyfunctioninggroupsandexcellentteamspossess12key
characteristics:
1. Clear mission.Thetaskorobjectiveofthegroupiswellunderstoodand

acceptedbyall.
2. Informal atmosphere.Theatmosphereisinformal,comfortable,andrelaxed.Itis

3.
4.
5.

6.

7.

8.

9.

10.

11.

12.

aworkingatmosphereinwhicheveryoneisinvolvedandinterested.Thereareno
signsofboredom.
Lots of discussion.Timeisallowedfordiscussioninwhicheveryoneisencour
agedtoparticipate,anddiscussionremainspertinenttothetaskofthegroup.
Active listening.Memberslistentoeachother.Peopleshowrespectforone
anotherbylisteningwhenothersaretalking.Everyideaisgivenahearing.
Trust and openness.Membersfeelfreetoexpressideasandfeelings,bothonthe
issuesandonthegroupsoperation.Peoplearenotafraidtosuggestnewand
differentideas,eveniftheyarefairlyextreme.
Disagreement is OK.Disagreementisnotsuppressedoroverriddenbypremature
groupaction.Differencesarecarefullyexaminedasthegroupseekstounder
standallpointsofview.Conflictanddifferencesofopinionareacceptedasthe
priceofcreativity.
Criticism is issue-oriented, never personal.Constructivecriticismisgivenand
accepted.Criticismisorientedtowardsolvingproblemsandaccomplishingthe
mission.Personalcriticismisneitherexpressednorfelt.
Consensus is the norm.Decisionsarereachedbyconsensus,inwhichitisclear
thateveryoneisingeneralagreementandwillingtogoalong.Formalvotingis
kepttoaminimum.
Effective leadership.Informalleadershipshiftsfromtimetotime,depending
oncircumstances.Thereislittleevidenceofastruggleforpowerasthegroup
operates.Theissueisnotwhocontrols,buthowtogetthejobdone.
Clarity of assignments.Thegroupisinformedoftheactionplan.Whenaction
istaken,clearassignmentsaremadeandaccepted.Peopleknowwhattheyare
expectedtodo.
Shared values and norms of behavior.Thereisagreementoncorevaluesand
normsofbehaviorthatdeterminetherightnessandwrongnessofconductinthe
group.
Commitment.Peoplearecommittedtoachievingthegoalsofthegroup.

Exercise111canbeusedtoevaluateagroupandimprovebothteamspiritand
teameffectivenessonthebasisofresults.Byreinforcingstrengthsandaddressing

deficiencies,peoplecantakestepstobuildandsustainahighperformancegroup.
Whenthisisdone,togethereveryonecanaccomplishmore.

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Exercise 111
Characteristics of an
Effective Group76

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Consider each of the following characteristics. Evaluate your group as it is operating now
(1 is the lowest rating; 10 is the highest).
1. Clear mission
1

10

10

10

10

10

10

2. Informal atmosphere
1
3. Lots of discussion
1
4. Active listening
1

5. Trust and openness


1

6. Disagreement is OK
1

7. Criticism is issue-oriented, never personal


1

10

10

10

10

8. Consensus is the norm


1

9. Effective leadership
1

10. Clarity of assignments


1

11. Shared values and norms of behavior


1

10

10

12. Commitment
1

Scoring:
Add all the circled numbers to find your overall score. Then see the following chart to find
your groups effectiveness rating.
Score

1224
Rating

108120

Excellent

84107

Good

4983

Average

2548

Poor

Failing

23

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Interpretation:
Refer to the following discussion to interpret your groups rating. Note that each characteristic is important, so strive to improve low ratings, regardless of the overall total.
This is a top-notch group regarding communication and teamwork. The
atmosphere is warm and supportive. The focus of attention and effort is on
Excellent
the mission. Creativity is encouraged and success can be expected.

Good

This is a strong group for morale and teamwork. There is enthusiasm and an
overall spirit of cooperation and dedication to accomplishing the mission.
Such a group attracts and keeps good people; then these people work as a
team to achieve success.

Average

Conditions are neither all good nor all bad regarding group effectiveness. As is,
the group is average. If you are a member or leader of such a group, you are
probably suffering from cognitive dissonance and wont be satisfied until
conditions are in line with your ideals.
This is a poor group environment. Major work is needed to improve attitudes
and performance. Without attention to team building, failure can be
expected.

Poor

Major change in group composition is in order. Personal and social factors


may exist that make staying together unacceptable. What is the answer?
Separation and reorganization so that talented and dedicated individuals are
not lost.

Failing

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11 / The Team Concept

Positive versus Negative


Group Member Roles
Howdoyoudevelopahighperformancegroup?Successdependsontheindividual
andwhatheorshechoosestodo.Itdependsalsoontheexampleanddirectionof
leaders.Ahighlevelofgroupperformancecanbeachievedwhenformalleadersand
influentialmembersofthegroupmodelandreinforcepositiveversusnegativegroup
memberroles.Rolesthathelpbuildandsustainahighperformancegroupareas
follows:77

Encourager.Thispersonisfriendly,diplomatic,andresponsivetoothersinthe
group.Theencouragermakesothersinthegroupfeelgoodandhelpsthemmake
contributionstofulfilltheirpotential.Theencouragerisacheerleader,coach,and
groupadvocate.
Clarifier.Theclarifierrestatesproblemsandsolutions,summarizespointsafter
discussion,andintroducesneworlatememberstothegroupbybringingthemup
todateonwhathashappened.Thegiftoftheclarifieristocreateorderoutof
chaosandreplaceconfusionwithclarity.
Harmonizer.Theharmonizeragreeswiththerestofthegroup,bringstogether
oppositepointsofview,andisnotaggressivetowardothers.Theharmonizer
bringspeaceversuswar,loveversushate,cooperationversuscompetition,and
unityversusdiscord.
Idea generator.Theideageneratorisspontaneousandcreative.Thispersonis
unafraidofchangeandsuggestsideasthatothersdonot.Oftentheseideasarejust
whatisneededtosolveaproblem.Theideageneratorisalmostalwaysacreative
andunconventionalthinker.Poseaproblem,andideaswillflow.Ideagenerators
arerichinideashalfbakedorfullybaked.
Ignition key.Thispersonprovidesthesparkforgroupaction,causingthegroupto
meet,work,andfollowthroughwithideas.Theignitionkeyisoftenapractical
organizerwhoorchestratesandfacilitatestheworkofthegroup.Inthissense,the
ignitionkeyplaysaleadershiproleingroupaction.
Standard setter.Thispersonshighidealsandpersonalconductserveasamodel
forgroupmembers.Thestandardsetterisuncompromisinginupholdingthe
groupsvaluesandgoals,andthusinspiresgrouppride.Thestandardsetteris
oftenanexpert,possessingknowledgeandskillsdeemedimportantbythegroup.
Detail specialist.Thispersonconsidersthefactsandimplicationsofaproblem.
Thedetailspecialistdealswithsmallpointsthatoftenhavesignificantconse
quencesindeterminingtheoverallsuccessofagroupproject.Avigilantfinisher,
thedetailspecialistsearchesforerrorsandomissionsandkeepsthegrouponred
alert.Tounderstandtheimportanceofthedetailspecialist,considerBenjamin
Franklinswords:
Alittleneglectmaybreedmischief:forwantofanail,theshoewaslost;forwantofashoe,
thehorsewaslost;forwantofahorse,theriderwaslost;forwantofarider,thebattlewas
lost;forwantofabattle,thewarwaslost;forwantofawar,thecausewaslost.Thecause
couldbesomethingofgreatimportancelife,liberty,thepursuitofhappinesslostfor want
of a nail.78

Groupmemberrolesthatreducegroupsuccessare:79
Ego tripper.Thisindividualinterruptsothers,launchesintolongmonologues,and
isoverlydogmatic.Theegotripperconstantlydemandsattentionandtriesto
manipulatethegrouptosatisfyaneedtofeelimportant.
Negative artist.Thispersonrejectsallideassuggestedbyothers,takesanegative
attitudeonissues,arguesunnecessarily,andrefusestocooperate.Thenegative
artistispessimisticabouteverythinganddampensgroupenthusiasm.

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Above-it-all person.Thismemberwithdrawsfromthegroupanditsactivitiesby
beingaloof,indifferent,andexcessivelyformal,andbydaydreaming,doodling,
whisperingtoothers,wanderingfromthesubject,ortalkingaboutpersonalexpe
rienceswhentheyareunrelatedtothegroupdiscussion.Theaboveitallperson
hasadontcareattitudethatdetractsfromgroupprogress.
Aggressor.Thispersonattacksandblamesothers,showsangerorirritationagainst
thegrouporindividuals,anddeflatestheimportanceorpositionofthegroupand
themembersinit.
Jokester.Thispersonispresentforfun,notwork.Thejokesterfoolsaroundmost
ofthetimeandwilldistractthegroupfromitsbusinessjusttogetalaugh.
Avoider.Thispersondoesanythingtoavoidcontroversyorconfrontation.The
avoiderisdedicatedtopersonalsecurityandselfpreservation,andisunwillingto

takeastandormakeadecision.

23

Asapracticalmeasure,consideryourownworkgroupororganization,andask,
Whoisplayingpositiveversusnegativegroupmemberroles?Whoisproviding
encouragement,harmony,newideas?Takethetimetoletmembersknowhowimpor
tanttheyaretothegroupssuccess,andhowappreciatedtheyarefortheirefforts.Be
specificandbepersonalifyouwanttoreinforcethesehelpfulbehaviors.Aboveall,
besurethatyourownactionsarepositiveandconstructive.Forexample,wherea
negativeartistmaycomplainaboutthewind,theeffectiveleaderadjuststhesails.
Thispositiveexampleisinstructiveandhelpfulforall.

Leadership

Dealing with Problem Behavior


Whatdoyoudoabouttheindividualwhoreducestheeffectivenessofthegroup?
PsychologistHarryLevinsonprescribesaninepointplanfordealingwithproblem
behavior:80
1.Whenanindividualdisruptsthegroup,talkitoverinacalmandpatientway.

2.

3.

4.

5.

6.

7.

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Recognizethattheoriginsofnegativebehaviormaybefeelingsofinsecurity,need
forattention,vulnerableselfimage,andeagernessforperfection.
Reportobservationsuncritically.Describewhathappened,especiallythebehavior
towhichpeoplereacted.Askhowthepersonthoughtothersfeltwhenshesaidor
didwhatyoudescribe.Wasthistheresultdesired?Ifnot,discusshowtheperson
canactinthefuturetogettheresponseshewants.
Pointoutthatyourecognizethepersonwantstobesuccessfulbutthattoreachhis
goals,hemusttakeothersintoaccount.Notealsothatusuallytherewillbedefeats
anddisappointmentsalongtheway.
Ifthepersonsbehaviorbecomesirritating,avoidtheimpulsetoattackorwith
draw.Instead,reporthowhemadeyoufeelandhowothersmustfeelwhenhe
behavesthisway.Lethimknowthatyouareannoyed,butyouneverthelessvalue
himasaperson.
Askwhythepersonbehavesasshedoes.Forexample,whydoessheattackpeoplein
situationsthatarenotcombative?Explainthatbeingpartofacriticaldiscussionis
onething,butturningdiscussionintoanargumentorstruggleforpowerisanother.
Ifthepersonchallenges,philosophizes,defends,ortriestodebateyourobserva
tions,dontcounterattack.Keepyoureyeon hisor hergoal.Peopledowhatthey
dofortheirownreasons.Whatexactlydoesthepersonwant,andhowcanpartici
pationinthegrouphelpaccomplishhisorhergoals?
Helpthepersonunderstandthatcompromiseisnotnecessarilysecondbest,that
theallornothingapproachusuallyresultsindisappointment,andthatcooperation
withotherscanberewarding.Expecttorepeatthisprocessagainandagain.Inall
discussionspointoutthelegitimateachievementsofwhichhecanbeproud.

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8.Apersonmaybeclosedminded.Perhapssheisthinkingofdefensivearguments

orispreoccupiedwithherownthoughts.Thenshemustbeconfrontedwiththe
factsandconsequencesofhernegativegroupbehavior.
9.If,despiteyourbestefforts,thepersondoesnotrespond,heneedstoknowinno
uncertaintermsthathisbehaviorisunacceptableandwillnotbetolerated.Donot
assumethatheknows.Heshouldbetoldrepeatedly.

Designing Teams for Success


Over50yearsago,PeterDruckerwrote:Organizationsyearshencewillbearlittle
resemblancetothetypicalcompany,circa1950.Traditionaldepartmentswillserveas
guardiansofstandards,ascentersfortrainingandassignmentofspecialists.They
wontbewheretheworkgetsdone;thatwillhappenlargelyintaskfocusedteams.
Theteamapproachisbeingusedmoreandmoreinorganizationalsettings.Senior
leadersmaysponsorteamsoffivetoeightindividualstoworkonprojectsrelatedto

238

thesuccessofthecompany.Areasaddressedincludestrategicplanning,newmarkets,
technology,productandservicequality,safety,andworklifeissues.81
Typesofteamsincludeproduction,service,management,project,action,and
advisory.Theglobalizationoforganizationsandthechangingnatureofworkhave
createdtheneedforcrossculturalandvirtualteams.Thegoalistounlockslicesof
geniusandtaptheconstructivepowerofteamsofemployees.82
Effectiveteamsgeneratecreativesolutionstobusinessproblems,thusfeedingin
novationrequiredfororganizationsuccess.TheexampleofGooglemakesthepoint.
Thereislittleinthewayofcorporatehierarchy.Innovationisachievedbycreative
andmotivatedemployeesworkinginteams.83
Whenagroupapproachisappropriate,thequestionnaireinExercise112canbe
usedtoconstructteamsforbalanceanddiagnoseexistingteamsforpotential
strengthsandweaknesses.Notethatthequestionnaireevaluates problem-solving
styles,notability.

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Exercise 112
Problem-Solving
StylesDarwin,
Einstein, Socrates,
and
Henry Ford84

239

There are 10 sets of phrases below. Rank each set by assigning a 4 to the phrase that is
most like your problem-solving style, a 3 to the one next most like your style, a 2 to the
one next most like your style, and a 1 to the phrase that is least like your problem-solving
style. Be sure to assign a different number to each phrase in the set. There can be no ties.
The example below shows how one person might rank the first set of phrases.

E
Example:

Following
instincts

R
1

Weighing
evidence
R

T
3

Developing
thoughts

A
4

Accomplishing
goals

Following

Weighing

Developing

Accomplishing

instincts

evidence

thoughts

goals

Relying on

Considering

Considering

Trying things

feelings

facts

potentialities

out

Being

Measuring

Thinking

Taking action

perceptive

effects

things
through

Emotional

Impartial

Rational

involvement

investigation

analysis

Being aware

Questioning

Using reason

Performing
deeds

details

Practical use

Letting
intuition guide

Recording

Summarizing
truths

Applying

information

Present-

Evaluation-

Future-

Achievement-

oriented

oriented

oriented

oriented

Open to

Thorough

Conceiving

Applying

experience

observation

ideas

knowledge

Conscious of

Studying

Forming

Taking risks

events

data

theories

Concrete

Unbiased

Abstract

experience

inquiry

thinking

solutions

Producing
results

Scoring:
When you have completed the questionnaire, find the total score for each column. Record
that number in the appropriate space below:
Total for
R column

Total for
E column

Total for
T column

Total for
A column

Record your totals for E, R, T, and A on the appropriate axes in Figure 111, and connect
the scores with straight lines to make a picture of your problem-solving style. The longest
line of your four-sided figure indicates your preferred styleCharles Darwin, Albert
Einstein, Socrates, or Henry Ford.

Interpretation and Discussion:


All problem solving involves having experiences (E), reflecting on results (R), building
theories (T), and taking action (A). These processes or activities constitute four steps of the
problem-solving cycle (see Figure 112). The following is a description of this cycle,
223

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E
Experience

Figure 111
A Picture of Your ProblemSolving Style

Known for goal


orientation and
concrete
achievement

40
36
33
30
27
24 Basic Researcher
21 (Charles Darwin)
18
15
12
9

Functional
Practitioner
(Henry Ford)

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

A
9
12
15
Applied Scientist 18
21
24
27
30
33
36
and creative application

Known for inquiry


and basic discovery

Reflection
Theoretical
Scientist
(Albert Einstein)

Known for abstract


thinking and new ideas

T
Theory

Figure 112
The Problem-Solving Cycle

Step 1
Having Experiences
(E)
These are
the facts.

Step 4
Taking Action (A)

Step 2
Reflecting on Results (R)

Im ready to
test my theory.

I have to put
these facts in order.

24

Step 3
Building Theories (T)

Leadership

I will come up
with a theory.

04
36
3
30
27
24
21
18
15
12
9

including the strengths and potential weaknesses of each styleCharles Darwin, Albert
Einstein, Socrates, and Henry Ford.
Having experiences (step 1) is followed by reflecting on results (step 2). If the longest
line of your four-sided figure is between E and R (see Figure 113), your preferred style of
problem solving is like that of Charles Darwin (18091882), author of On the Origin of
Species by Means of Natural Selection and The Descent of Man and Selection in Relation to
Sex. At the age of 22, Darwin sailed the South Pacific on the HMS Beagle. His observations
of plants and animals, most notably the rare creatures of the Galpagos Islands, were the
basis for his theory of evolution. About himself, Darwin wrote, My mind seems to have
become a kind of machine for grinding general laws out of large collections of facts. 85

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(Socrates)

Known for teaching


40
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11 / The Team Concept
E
Figure 113
The Charles Darwin
Problem-Solving Style

Figure 114

As a Darwin, your strengths are observing, recording facts, and identifying alternatives.
Gathering data is enjoyable to you. By style, you are a basic researcher and you love the
discovery process. Darwins are known in every fieldsocial science, natural science, the
arts, business, and the professionsfor their thorough data collection and objective analysis.
Carried to an extreme, however, the Darwin style of problem solving can lead to paralysis
as each new fact becomes even more interesting than the last, resulting in indecision. It is
important to look before leaping, but it is possible to look so long that one never leaps.
Consider the case of Darwin himself, who had developed his theories of human evolution
years before another scientist, Alfred Russell Wallace, came to similar conclusions and
would have received credit for these theories had not Darwin at last published.
After the data are gathered, theory building takes place (step 3). At this stage,
assumptions are developed and ideas are formulated. One moves from the world of
experience into the world of theory, while remaining in the mode of reflecting rather than
acting. If the longest line of your figure is between R and T (see Figure 114), your preferred
style of problem solving is the same as the theoretical scientist Albert Einstein (18791955).
Abstract conceptualization and blue-sky thinking are your forte. In 1905, known as Einsteins
year of miracles, he wrote four papers that are each regarded as works of genius. In his
description of the world, Einstein wrote, Physical concepts are free creations of the human
The
Solving
Albert
Style
Einstein
Problem-

A
T
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mind, and are not, however it may seem, uniquely determined by the external world. 86
When Einstein was asked how he would save the world in one hour, he replied 55 minutes
should be spent thinking and 5 minutes doing. The Einstein style of problem solving is like
that of the typical philosopher. Carried to an extreme, however, it can result in castles in the
air with little practical value. This is the style of the husband whose wife says, Thats good,
Albert, but when are you going to do something?
After theories have been developed, they must be tested (step 4). If your longest line
is between T and A (see Figure 115), your preferred style is that of the applied scientist.
Your strength is not in collecting and analyzing data, but in translating ideas so that they
can be put into action. As such, yours is the style of the teacher Socrates (470399 BC):
We know Socrates as one of the greatest teachers in history, perhaps the greatest of the great men
produced by Athens. . . . He wandered through the streets and down to the marketplace, or often he
would go to the public gymnasium. Then he started businessthe business of teaching. Socrates was
the founder of moral philosophy. He was scoffed at for taking his examples from common life, but he
did so to lead plain people to goodness, truth, and beauty.87

E
Figure 115
The Socrates ProblemSolving Style

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

A more modern example of the Socrates problem-solving style is Thomas Alva Edison,
a practical genius and Americas greatest inventor, who said: The only invention I can really
claim as absolutely original is the phonograph. Im an awfully good sponge. I absorb ideas
from every source I can and then I put them to practical use. Then I improve them until
they become of some value. The ideas that I use are mostly the ideas of other people who
dont develop them themselves. None of my inventions came by accident. I saw a worthwhile need to be met and I made trial after trial until discovery came. What it boils down
to is one percent inspiration and ninety-nine percent perspiration.88
Comfortable with ideas, but wanting to apply them, the applied scientist moves from
a reflective to an active orientation. This person enjoys coordinating and problem-solving
activities. When taken to the extreme, the Socrates style of problem solving may result
in impressive, but incomplete, performance because these individuals dislike details.
The Socrates-type person may give a beautiful speech, but fail to do thorough research.
Taking action automatically results in new experiences (step 1), so the problem-solving
cycle never completely ends. In work, and in life, when one problem is solved, another
arises. If your longest line is between A and E (see Figure 116), your style of problem
solving is like that of Henry Ford (18631947), whose strength was achieving results.

Upton Sinclair described Henry Ford, the functional practitioner, as follows:

24

Henry Ford was now fifty-five; slender, gray-haired, with sensitive features and a quick, nervous
manner. His long, thin hands were never still, but were always playing with something. He was a kind
man, unassuming, not changed by his great success, the worlds first billionaire. Having had less than
a grammar-school education, his speech was full of the peculiarities of the plain folk of the Middle

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West. He had never learned to deal with theories, and when confronted with one, he would scuttle
back to the facts like a rabbit to its hole. What Ford knew he had learned by experience, and if he
learned more, it would be in the same manner.89

E
Figure 116
The Henry Ford ProblemSolving Style

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

If the functional practitioner knows what needs to be done, the goal will usually be
accomplished. This is a person of deeds and action, more than ideas and contemplation.
But here, as with the other problem-solving styles, a strength may become a liability when
carried to the extreme. If the functional practitioner does not have sufficient facts, or fails
to work from a well-conceived plan, there may be tremendous accomplishmentof the
wrong thing.
The versatile style of problem solving is represented by Figure 117. This individual is
equally comfortable with each step of the problem-solving cyclehaving experiences,
reflecting on results, building theories, and taking action. As such, this person does not
have structural strengths or weaknesses resulting from style preference.

E
Figure 117
A Versatile Style of Problem
Solving

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There are several important points to remember concerning styles of problem solving:
1. All problem solving involves four stepshaving experiences, reflecting on results,
building theories, taking actionand each step must be performed well for overall
effectiveness. For example, an independent businessperson with a Socrates style must
take extra care to consider details as well as concepts, and should remember to get the
facts before making decisions, even if this does not come naturally.
2. It is possible to have preference for more than one style of problem solving. For
example, a person may be equally comfortable as a Henry Ford and a Socrates. Such a
person relates to the world in both an experiential and a theoretical sense. In either
case, this person shows a bias for action.
3. When people with different styles of problem solving live or work together, tolerance
of differences is required. A Henry Ford manager must be patient with the seeming
lack of effort put forth by an Einstein employee, and a Socrates wife must try to
understand her Darwin husbands preference for having experiences and reflecting on
results over forming ideas and applying knowledge. Appreciation of the characteristics
and needs of each type of person can go a long way toward improving relationships
and increasing performance.
4. Most people have difficulty changing their styles of problem solving. This can be seen
in school when a Henry Ford student fails or drops out. Often the cause is the nature of
the curriculum and the style of instruction versus the ability of the student. The
functional practitioner, who wants to apply knowledge and accomplish tangible
results, may have difficulty relating to book reading and theoretical discussion.
An organization or group needs all four styles of problem solving. A balance of basic
research, theoretical science, applied science, and functional practice helps maximize
individual as well as group performance. Consider the following story:
Fred was a successful research chemist when he suffered a heart attack. During his stay in the
hospital, his work was performed by younger employees. Like many large organizations, Freds
company was rich in talent, and others were qualified to do his job.
When Fred recovered and returned to work, he retained his title, his office was the same, and his
income was unchanged. However, he had lost a significant part of his jobhis duties were now
make-work assignments, while important responsibilities and decision making were handled by
others. Whereas Fred had been physically ill before, he now became depressed, and his overall health
began to deteriorate. Fred had been placed on the shelf, and he knew it.
At that time, Freds company began research and development on a new product, and the
Problem-Solving Styles questionnaire was used to create a balanced team. On the team was a
theoretical scientist, who could write formulas from wall to wall, but whom few could understand.
This was the Einstein. Also on the team was an applied scientist, who could understand the Einsteins
ideas and who knew how to bridge the gap between thinking and doing. The team had a Socrates.
The team also had a Henry Ford, who was known for his practical nature. He was a goal-oriented
person with the ability to produce results. What was missing on the new product team was a Charles
Darwin, a basic scientist, who would be sure that all the facts were gathered and all the data were
considered. Fred was chosen to be the teams Darwin.
Within a year, the team developed one of the companys most successful products. A year after
that, Freds wife phoned him at work. By accident, she reached his boss. She said: Oh, Mr. Johnson,
I have been wanting to talk to you for so long. I have wanted to thank you . . . for giving my Fred
back to me.90
Freds story shows how the needs of the individual and the needs of the organization are
interwoven and how both can be met by creating a balanced team incorporating all four
styles of problem solving.

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Leader as Team Builder

The Importance of
Hiring and
Developing
Winners

How to Create a
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Teamworkisessentialforgroupsuccess.ThetestimonyofbasketballstarMichael
Jordan,asuperbindividualcontributor,isinstructiveforpeopleinallfieldsofwork:
OnethingIbelievetothefullestisthatifyouthinkandbehaveasateam,theindi
vidualaccoladeswilltakecareofthemselves.Talentwinsgames,butteamworkand
intelligencewinchampionships.91
Leadersineveryendeavorknowthepoweroftheteamconceptforachieving
results.Effectiveleadersvalueteamworkasavirtue,andtheydemonstratethisby
theirowneffortsasteambuildersandchampionsofthegroup.92
ArolemodelforteambuildingandcoachingtosucceedisPatSummit,headcoach
ofTennesseeswomensbasketballteamsince1974,withsixNCAAchampionships
andthehighestwinpercentage(.838)ofanymensorwomenscollegebasketball
programinhistory.Summithasbothaloveforthesportandapassionfordeveloping
others.Sheevensayssheenjoyspracticingasmuchasthegamesbecauseteachingisher
realpassion.93
Thetaskoftheleaderistorecruitanddevelopteammemberswhocanperform
successfullyinthetypeofsportandlevelofleaguetheyarein.Winningperformance
isAandBlevels,notC,D,orF,foreveryteammember,aswellasfortheleader
herorhimself.
Thissimpleprincipleisemployedbyeverysuccessfulathleticcoach,yetitistoo
oftenoverlookedbytheleaderintheworkplace.Theresultisinadequateperformance
lossofproduct,people,andprofitand,inevitably,replacementoftheleader.
Whatcantheleaderdo?Theansweristocommittoexcellenceandmodelthis
idealpersonally.Theleadermustfollowthedictum:Hirethebestanddevelopthe
rest.Thesuccessfulleaderhiresthebesttalentavailable(AandBplayers),then
trainsanddevelopsallotherpersonneltoperformatAandBlevels.
WhathappenstoindividualswhocannotorwillnotperformatAandBlevels?
Forthesakeofcustomersandcoworkersandultimatelythemselves,theyarereas
signed.Thecaringleaderconsiderstheinterestsofall,knowingeffectiveperfor
manceisrequiredandtheindividualmaybebettersuitedforanothersportorleague.
Asdifficultorunpleasantasthetaskmaybe,actionmustbetaken.94
Acautionarynoteisinorderaboutthepracticeoflabelingpeopleinagroupor
organizationaswinnersandlosersandusinga requireddistributionofratingsto
reflectthis.AnexampleisEnronsrankandyanksystemofputtingemployeesin
oneoffivecategories:5percentsuperior,30percentexcellent,30percentstrong,
20percentsatisfactory,and15percentneedimprovement.First,anyinaccuraterank
ingscandestroymotivationandreducefutureperformance.Second, requiringaper
centageofgroupmemberstoberatedlowerthanothersinthegroupworksagainst
cohesion,teamwork,and,ultimately,effectiveness.Third,suchrankingsystemscan
leadtolawsuits.Forexample,employeeswithMicrosoft,Ford,andConocohave
filedlawsuitsclaimingthatrankingsystemsarebiasedtowardsomegroupsoverothers.
Mostimportantly,imaginehowcounterproductivearequireddistributionof
performancerankingswouldbeonanyhighperformanceteaminitseraofgreatness
BostonCeltics,ChicagoBulls,U.S.womenssoccerteam,forexample.Howlong
willtheteambesuccessfulifcertainpercentagesofitsmembersarerequiredtobe
labeledA,B,C,D,F,relativetoeachotherregardlessofindividualperformance?
Leadersshouldevaluateperformancecasebycase,usinggoodjudgment,ratherthan
anartificialdistributionofrankings.95
Effectiveleadersunderstandthatalltheindividualcompetenceintheworldwillnot
resultinahighperformanceteam.Anessentialcomponentofsuccessistheleaders
abilitytocreateaspiritofcooperationandaoneteamattitude.Teamleadershipis
importantfromtheresearchlabtothefashionindustry.Astudyofalmosttwothousand
researchpublicationsshowsthepercentageofjournalarticleswrittenbyteamshas
increasedsubstantiallyoverthepastfivedecades.96ExecutiveRoseMarieBravoof

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Burberry,theLondonfashionhouse,explainstheimportanceofteams:Itisntone
person.Itisawholegroupofpeopleworkingcohesivelytowardsagoalthatmakes
somethinghappenornot.97Thebestleadersdevelopsuccessfulteamsbyfollowing
11timetestedpractices:

24

Leadership

Showenthusiasmfortheworkofthegroup.Theleadersemotionignitesand
energizestheteam.
Maketimelydecisionsbasedonagreedupongoals.Inthisway,leadersshow
decisivenessandconsistency.
Promoteopenmindedness,innovation,andcreativitybypersonalexampleanda
conduciveworkclimate.
Admitmistakesanduncertainties,modelinghonestyasavirtue.
Beflexibleinusingavarietyoftacticsandstrategiestoachievesuccess.
Havepersistenceandlastingpower,nevergivinguponhopeoreffort.
Givecredittoothersfortheteamsaccomplishments,meetingpeoplesneedsfor
appreciationandrecognition.
Keeppeopleinformedaboutprogressandproblems,celebratingvictoriesand
finetuningefforts.
Keeppromisesandfollowthroughoncommitments,earningthetrustandconfi
denceofothers.
Trainforsuccess;masterfundamentalsandpracticeforperfection.
Putothersfirstandselflast,embodyingthespiritofthecaringleader.98

Researchshowswhysometeamsaresuccessfulandothersarenot.Onestudyevalu
atedanumberofhighperformanceteams,includingnationalchampionsportsteams,
hearttransplantsurgicalteams,thecrewofthe USS Kitty Hawk,andothers,todetermine
thecharacteristicsthatmakethemsuccessful.Eightcharacteristicswerealwayspresent:
1.

Aclear,elevatinggoal.

Aresultsdrivenstructure.
Competentteammembers.
4. Unifiedcommitment.
5. Acollaborativeclimate.
6. Standardsofexcellence.
7. Externalsupportandrecognition.
8.Principledleadership.
2.
3.

Whenanyonefeatureislost,teamperformancedeclines.Themostfrequentcause
ofteamfailureislettingpersonalorpoliticalagendastakeprecedenceoverclearand
elevatingteamgoals.99
Theuseofvirtualteamsisagrowingtrend.Virtualteamsareteamswhosemembers
operateacrossspace,time,andorganizationalboundariesandarelinkedthroughin
formationtechnologiestoachieveorganizationaltasks.Somevirtualteamsoperate
acrossacity;othersoperateacrosscountries,cultures,andtimezones.Onereason
whyvirtualteamshavebecomesowidespreadisthatinformationtechnologyhas
madeiteasierthanevertocommunicateandcoordinatewithpeopleatadistance.
Informationtechnologymakesvirtualteamspossible,butknowledgemanagement
andglobalizationmakethemincreasinglynecessary.Virtualteamsoperatebestwith
structuredtasksrequiringonlymoderatelevelsoftaskinterdependence.Complex
andambiguoustasksrequireanenormousamountofintensedialogueandarebetter
suitedtononvirtualteams.100
Manyteamsuseacombinationofvirtualandnonvirtualinteraction.WhenIBM
formedavirtualteamtobuildacustomeraccesssystemforShell,employeesfrom

Virtual Teams

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bothfirmsbeganwithanallhandsfacetofacegatheringtoassisttheteamwork
process.Thetwofirmsalsomadearulethatdispersedteammembersshouldhave
facetofacecontactatleastonceeverysixweeksthroughouttheproject.101
Apointtorememberisthatteamsneedmeaningfulfacetimeevenwhendoing
virtualworkacrossspaceandtime.Forexample,atLucasfilmLtd.,thecreatorof Star
Wars,Lucasstaffersacrosstheboardsaythetypeofcollaborationrequiredwouldntbe
possibleiftheyhadntbeenbroughtunderthesameroof.Inaneraofextremetelecom
muting,whencompaniesarerollingoutexpensivehighdefinitionvideoconferencing
systems,eventhehighesttechemployeessaytheresnosubstituteforfacetofaceinter

actionfortheirteamorientedprojectsifworldclassworkisthegoal.102

Stages in the Life of a Group


Regardlessofsizeortype,agrouptypicallygoesthroughpredictablestagesoverthe
courseoftime.Figure118isanillustrationoffourstagesinthelifeofagroup,as
describedbyGlennParkerandRoyLacoursiere.103Byunderstandingthesestages,
includingmajorissues,typicalmemberbehavior,andeffectiveleadershipactionsat
eachstage,theleadercanhelpagroupmovequicklytothehighmoralehigh
performancestatusofaneffectiveteam.
Stage IV
Figure 118
Stages in the Life of a
Group

Performing
Group Characteristics:
Good communication
and teamwork
Individual commitment
High morale and group
pride
High team performance
Stage III
Norming
Group Characteristics:
Agreement on roles
and tasks
Agreement on norms
of behavior
Increased cohesiveness and morale
Increased productivity
Stage II
Storming
Group Characteristics:
Conflict over task
Conflict over structure
Conflict over influence
Increased skills and
knowledge
Stage I
Forming
Group Characteristics:
Caution
Excitement
Anxiety
Low performance

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Table 111
Forming

Major Issue Is Development of Trust, Including Answers to These Questions:


1. What is going to happen?

Who is who in the group?


Where do I fit in the group?
How will I be treated?
Member Behavior Is Characterized by
Anxiety.
Search for structure.
Silence.
Caution with leader and other group members.
Leaders Can Reduce Uncertainty by

Allowing time for members to get to know each other.


Modeling expected behaviors.

Explaining purpose and goals.


Providing time for questions.

24

Leadership

Stage IForming.Inthestartupstage,thegroupisformed,butitspurposeand
membersexpectationsareunclear.Thisstageincorporatesallthediscomfortand
apprehensionfoundinanynewsocialsituation.Itischaracterizedbycautionandtenta
tivestepstotestthewater.Individualstrytodetermineacceptablebehaviorandthe
natureofthegroupstask,aswellashowtodealwitheachothertogetworkdone.
Interactionsaresuperficialandtendtobedirectedtowardtheformalleader.Skills
andknowledgeasateamareundeveloped.SeeTable111.
Stage IIStorming.Theinitialstageofformingisfollowedbyaperiodofstorming.In
thisstage,individualsreacttowhathastobedone,questionauthority,andfeel
increasinglycomfortablebeingthemselves.Thisstagecanbecharacterizedbyconflict
andresistancetothegroupstaskandstructure,evenasproductivitybeginstoincrease
asskillsandknowledgedevelop.Groupmembersexpressconcernsandfrustrations,and
feelfairlyfreetoexchangeideas.Memberslearntodealwithdifferencestoworkto
gethertomeetthegroupsgoals.Agroupthatdoesntgetthroughthisstagesuccessfully
ismarkedbydivisivenessandlowcreativity.SeeTable112.
Stage IIINorming.Thestageofstormingisusuallyfollowedbyathirdstageinthe
lifeofagroup,aperiodofnorming.Inthisstage,normsofbehavioraredevelopedthat
areconsiderednecessaryforthegrouptoaccomplishitstask.Thesenormscanbeex
plicitorimplicit.Inanycase,agreaterdegreeoforderbeginstoprevailandasenseof
groupcohesiondevelops.Membersnowidentifywiththegroupanddevelopcustomary
Major Issue Is Increased Conflict from
1. Openly dealing with problems.

Table 112
Storming

Increasing group interaction.


Power struggles for influence.
Increasing independence from leader.
Member Behavior Is Characterized by
Confrontation with the leader.
Polarization of team members.
Testing of group tolerance.
Fight-or-flight behavior.
Leaders Can Reduce Conflict by
Hearing all points of view.
Acknowledging conflict as opportunity for improvement.
Adhering to core values, such as truth, trust, and respect.
Staying focused on the goal.

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Table 113
Norming

Major Issue Is Development of Norms for


1. Team member behavior.

Decision-making processes.
Resolving differences.
Leadership behavior.
Member Behavior Is Characterized by Shift from
Power struggle to affiliation.
Confusion to clarity.
Personal advantage to group success.
Detachment to involvement.
Leaders Can Encourage Norm Development by
Modeling listening skills.
Fostering an atmosphere of trust.
Teaching and facilitating consensus.
Providing team-centered learning.

waysforresolvingconflict,makingdecisions,andcompletingassignments.Inthis
stage,memberstypicallyenjoymeetingsandfreelyexchangeinformation.Productivity
continuestoincreaseasgroupskillsandknowledgefurtherdevelop.SeeTable113.
Stage IVPerforming.StageIIIisusuallyfollowedbyafourthstage,performing.This
isthepayoffstageinthelifeofagroup.Peopleareabletofocustheirenergiesonthe
task,havingworkedthroughissuesofmembership,purpose,structure,androles.The
groupisnowfocusedonsolvingproblemsandcompletingtasks.Memberstakeinitia
tive,andtheireffortsemphasizeresults.Asthegroupachievessignificantmilestones,
moralegoesupandpeoplehavepositivefeelingsabouteachotherandtheaccomplish
mentsofthegroup.Thegroupisnolongerdependentsolelyontheleaderfordirection
andsupport;instead,eachmembertakesonleadershiprolesasnecessary.Atthisstage,
thegroupshowsthecharacteristicsofaneffectiveteam.SeeTable114.
Itishelpfultovieweachofthestagesinthelifeofagroupfromtwopointsof
view.Thefirstis interpersonal relationships.Thegroupmovesthroughpredictable
stagesoftestinganddependency(forming),tensionandconflict(storming),building
cohesion(norming),andfinally,establishingfunctionalrolerelationships(perform
ing).Eachstagefocusesonproblemsinherentindevelopingrelationshipsamong
groupmembers.
Major Issue Is Group Performance, Including
1. Using a wide range of task and process behaviors.

Table 114
Performing

Monitoring and taking pride in group accomplishments.


Focusing on goals as well as interpersonal needs.
Maintaining the values and norms of the group.
Member Behavior Is Characterized by
Interpersonal trust and mutual respect.
Active resolution of conflict.
Active participation.
Personal commitment to the success of the group.
Leaders Can Help the Group Succeed by
Being prepared for temporary setbacks.
Focusing on task accomplishments and interpersonal support.
Providing feedback on the work of the group.
Promoting and representing the group.

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Atthesametime,thegroupisstrugglingwith accomplishing tasks.Theinitial


stagefocusesontaskdefinitionandtheexchangeofinformation(forming).Thisis
followedbydiscussionandconflictoverthetask(storming).Nextcomesaperiodof
sharinginterpretationsandperspectives(norming).Finally,astageofeffectivegroup
performanceisreached(performing).104

Avoiding Groupthink
Asimportantandeffectiveasteamscanbe,therearealsopotentialproblems,thefirst
ofwhichis social loafing.Socialloafersdonotcontributetogroupeffortbecause
theydonotfeeltheywillreapindividualrewards,norwilltheyhavetosufferindi
vidualblame.105Asecondpotentialproblemis groupthink,atermcoinedbyWilliam
H.WhyteJr.in1952.
AsagroupsettlesonnormsofbehaviorinstageIIIandintoamodeofperfor
manceinstageIV,thereisariskoffallingintoapatternofgroupthink.Thisisawell
documentedpitfallingroupdynamicsdescribedbypsychologistIrvingJanisin
Victims of Groupthink.Janisdefinedgroupthinkasamodeofthinkingthatpeople
engageinwhentheyaredeeplyinvolvedinacohesivegroup,andwhenthemembers
strivingforunanimityoverridestheirmotivationtorealisticallyappraisealternative
coursesofaction.Groupthinkisanimportantconceptforaleadertounderstand.106
Whenpeoplemeetingroups,theyareoftenunderstrongpressuretoconformto

themajorityview.Whenthey bybudgetarycrises,
1. Illusion of invulnerability.Afeelingofpowerandauthorityisimportantto
dontconform,theyrisk
externalpressure,ora anydecisionmakinggroup.Itgivesmembersconfidencethattheywillbeableto
beingisolatedorcastaside. historyofrecent
carrythroughonanydecisionsreached.However,iftheycometobelievethatevery
In
setbacks.Asaresultof decisiontheyreachwillautomaticallybesuccessful,thentheybecomepreytoan
suchsituations,peoplemay
thetrilogyofgroup
illusionofinvulnerability.JanisshowedthatAmericanmilitaryleadershadthisillusion
Leadership
25
makeerrorsinjudgmentand cohesiveness,isolation, inchoosingnottofortifyPearlHarbormoreheavilypriortothedisastrousattackby
conductbasedonadesire
andstress,agroupcan theJapanesethatledtoU.S.entryintoWorldWarII.
topreservegroupharmony arriveatdecisions
2. Belief in the inherent morality of the group.Peoplewanttobelieveinthe
andtocontinuetobe
thatareunsuccessfuland rightnessoftheiractions.Intheextreme,thiscanleadtoexhortationsthatGodison
acceptedbythegroupandits possiblyeven
ourside.Suchclaimsfulfillanimportantfunctiontheyrelieveresponsibilityfor
leader.
catastrophic.107
justifyingdecisionsaccordingtorationalprocedures.Peopledothisasawayto
Janisdescribesadditional
Janisdescribeseight protectselfesteem.
factorsthat,when
symptomsthatcan
3. Rationalization.Whenafinaldecisionisreached,itisnormaltodownplaythe
combinedwith
giveagroupearly drawbacksofthechosencourse.Theprobleminagroupariseswhenlegitimate
cohesiveness,can
warningthat
objectionsexist,buttheyareovershadowedbytheperceivednegativereactiontoanyone
fostergroupthink.These
groupthink
whovoicesthoseobjections.KeyengineersintheNASA Challengerdecisionulti
factorsareahighlyinsulated maybepresent.The
matelywithdrewtheirobjectionstotheillfatedlaunch,notbecauseofanycorrection
groupwithrestrictedaccess followingisa
intheadmittedlyproblematicOrings,butrather,becausetheyrationalizedtherisk
to
descriptionofthese
ofcatastrophiclaunchfailureasonlypossible,whiletheriskofcensureandos
externalinformation,anda symptomswithcasesin tracismforcontinuingtospeakoutagainstthelaunchbecameavirtualcertainty.
stressfuldecisionmaking history
4. Stereotypes of out-groups.PresidentTrumanandhisadvisorsfellvictimto
context,suchasthatbrought toillustratetheir
thetemptationtofalselycharacterizeenemygroupsin1950withthedecisionto
on
effects:108
crossthe38thparallel,alinedrawnbytheChineseCommunistsasalineinthe

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sandbetweenNorthandSouthKorea.Thedecisionwasmadedespiterepeated
warningsfromCommunistChinathattodosowouldbeviewedasadeclarationof
warbytheUnitedStatesonChina.HowcouldTrumanandhisadvisorshaveso
seriouslymisinterpretedtheChinesewarnings?Thedecisionwasbasedlargelyona
falsestereotypeoftheChineseCommunistsasbeingweakanddominatedbyRussia,
who,itwasbelieved,didnotwantwar.Thestereotypeprovedfalse,andtheKorean
policeactionbecamearesoundingfailureastheChineseattackedwithmassiveforce.
5. Self-censorship.Asoneoftheprinciplesonwhichourcountrywasfounded,
theabilitytoexpressoneselfwithoutcensorshiphasalwaysbeenhighlyvalued.It
hasalsobeenconsideredahealthysafeguardagainstgroupcoercioninourwork
lives.Butthefactis,themostcommonformofcensorshipistheonewecommiton
ourselvesundertheguiseofgrouployalty,teamspirit,oradherencetocompanypolicy.
ThedecisionbyPresidentKennedyandhisadvisorstosendabandofCuban
exilesintotheBayofPigshasbeenrankedasthegreatestforeignpolicymistakeof
theKennedyadministration.ThedayaftertheBayofPigsfiasco,JFKsaid,How
couldIhavebeensostupid?TheansweristhatKennedyandhisadvisorssuppressed
theirdoubts,censoringthemselvestomaketheoperativebeliefseemlikethetruth.
6. Direct pressure.Pressureongroupmemberscansurfaceinmanyforms.Thenet
effectisthesame:Groupmembersareencouragedtokeepdissidentviewstothem
selves.Asoneexample,JanisreportedthatduringWatergate,Nixontimeandagainlet
everyoneinthegroupknowwhichpolicyhefavored,andhedidnotencourageopen
inquiry.Anotherexampleinvolvesthe Challengerdisaster.Severalengineersmadethe
recommendationtopostponethe Challengerlaunch.AccordingtotheRogersCommis
sionreport,certaingroupmembersrespondedwithdirectpressureonthoseengineers
toaltertheirviews,withstatementssuchasImappalledthattheycouldarriveatthe
recommendationandAtthatrate,itcouldbespringbeforetheshuttlewouldfly.
7. Mindguards.Abodyguardissomeonechargedwiththeprotectionofanother
personsphysicalwellbeing.Ingroupthink,acorollaryentitymaysurfacetoprotect
thegroupfromdisturbingthoughtsandideasamindguard.Interestingly,such
mindguardstypicallyperformtheirfunctionnotwithinthegroupitself,butfarfrom
theconfinesofgroupdiscussion.Data,facts,andopinionsthatmightbeardirectlyon
thegrouparedeliberatelykeptoutofthegroupspurview.Generally,thisisdone
withavarietyofjustifiableintentionstimeisrunningshort,aregularmemberwill
summarizeforthegroup,andnotpertinentandperhapssaddestofall,thegrouphas
alreadymadeupitsmind.
8. Illusion of unanimity.Finally,therationalizations,psychologicalpressures,
andmindguardshavetheireffectthegroupcoalescesaroundadecision.Drawbacks
aredownplayed,andtheinvulnerabilityandmoralityofthefinalcoursearereinforced.

Doubtinggroupmembersmayevenfeelthattheyhaveadequatelyputtheirownfears
torest.Morelikely,itissimplythesenseofreliefthatthestrugglehascometoan
end.Anillusionofunanimitysetsin.
Incontrasttothedestructiveforcesofgroupthink,Janisdescribesanumberof
techniquesthataleadercanemploytohelpensurearationalconsiderationofall
availablecoursesofaction:
1.Theleadershouldassigntheroleofcriticalevaluatortoeachmember,encourag
ingthegrouptogiveopenairingofideas,includingobjectionsanddoubts.Thispractice
shouldbereinforcedbytheleadersacceptanceofcriticismofhisorherownjudgments.
2.Whenchargingagroupwithatask,theleadershouldadoptanimpartialstance
insteadofstatingpersonalopinionsandpreferences.Thisapproachwillencourage
opendiscussionandimpartialprobingofawiderangeofpolicyandproblemsolving
alternatives.
3.Theleadershouldsetupoutsideevaluatorstoworkonthesamepolicy
question.Thistacticcanpreventthegroupfrombeinginsulatedfromimportant
informationandsuggestions.
4.Whentheagendacallsforevaluationofdecisionorpolicyalternatives,atleast
onemembershouldplaydevilsadvocate,functioningasalawyerinchallengingthe
testimonyofthosewhoadvocateforaposition.

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5.Afterreachingapreliminaryconsensusaboutwhatseemstobethebestpolicy
ordecision,thegroupshouldholdasecondchancemeeting,atwhicheverymem
berexpressesasclearlyaspossibleallresidualdoubtsandrethinkstheentireissue,
beforemakingafinaldecision.109

Team-Building Interventions
and Techniques
Therearemanyapproachestoteambuilding.Themostcommonisformembersofa
grouptodevelopandgrowtogetheroverthenormalcourseoftimeastheteamresponds
tochallengesandsuccessfullyperformsitsnaturalfunctions.Considerthisexample:
Fromtimetotime,thetribegatheredinacircle.Theyjusttalkedandtalkedandtalked,apparently
tonopurpose.Theymadenodecisions.Andeverybodycouldparticipate.Theremayhavebeen
wisemenorwisewomenwhowerelistenedtoabitmoretheolderonesbuteverybodycould
talk.Themeetingwenton,untilitfinallyseemedtostopfornoreasonatallandthegroup
dispersed.Yetafterthat,everybodyseemedtoknowwhattodobecausetheyunderstoodeachother
sowell.Thentheycouldgettogetherinsmallergroupsanddosomethingordecidethings. 110

Teambuildingcanbeenhancedbyexperientialstrategiesandactivities.Educational
workshopsinretreatsettingsareincreasinglypopular.Thisoffsiteformatfocuseson
topicssuchascommunication,teamwork,characteristicsofeffectivegroups,positive
versusnegativegroupmemberroles,andworkshop/labstoimproveteamperformance
goalsetting,valuesclarification,problemsolving,decisionmaking,andthelike.
Someorganizationsuseadventureandchallengeexperiencesthatcanbequite
effectiveatbuildingrelationships,developinggroupidentity,andincreasingteampride.
Theseinterventionsareusuallyconductedinfieldsettingsandinvolvearangeofactivi
tiesthatincludegroundexperiences,orlowcourseinitiatives,tobuildteamspiritand
skills,andropes,orhighcoursechallenges,thatbuildindividualconfidenceand
pride.Therearemanyvarietiesofchallengesincludingrafting,rowing,andriding.
Oneofthebestwaystodevelopandsustainteameffectivenessistomeetina
conduciveatmosphere,freeofinterruptions,anddiscussimportantissues.Meaningful
questionsinclude:

Where have we been?Whatforcesandeventshave accomplishtofulfillourmission?


What are our values?Whatprinciplesshouldguideusinmoraldilemmas?
broughtustothispoint?
Who are our stakeholders?Whocaresaboutourworkandwhatwillitmeanto
Where are we now?Whatareourcurrentprouds
themwhenwearesuccessful?
Leadership
25
andsorries?Whatareour
What should be our strategy?Whatinitiativesshouldwehavetoaccomplishour
strengths,weaknesses,opportunities,andthreats?
goalsandachieveourmission?Whatstrategic,measurable,actionoriented,and
What is our purpose or mission?Whatisour
timelyprojectsandactivitiesshouldweundertake?
reasonforexistence?
What are the critical factors that define success?Howdoweknowwhatgreat
What should be our goals?Whatshouldwe
performancelookslike?
How should we work together to fulfill our potential?Whatshouldwecontinue
doing,startdoing,orstopdoing?Howshouldwemonitorprogress?Whoshould
dowhatbywhen?111
Exercise113isaneasytouseandhighlyeffectiveexerciseforteambuilding.It
isavariationofKurtLewinsfamousforcefieldtheoryforimprovingteamperfor
mance.Agoodapproachwouldbetohaveindividualscompletetheexercisealone
andthenworkasagrouptodevelopandimproveteameffectiveness.

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Answer the following questions, first individually, then as a group.

Exercise 113
Team Excellence112

To operate as a team, what do we need?

What should we continue doing?

What should we start doing?

What should we stop doing?

How should we monitor our progress?

Actions to be taken, including who should do what by when, are as follows:

253

254

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Appreciative Inquiry
Apositiveandpopularapproachtoteambuildingisappreciativeinquiry,developedat
CaseWesternReserveUniversity.Thistechniqueemphasizesbuildingonstrengthsand
gainingcommitmentthroughparticipation.113Appreciativeinquirytypicallyusesa
FourDmodelorprocess.ThefirstDisDiscovery,oridentifyingthebestofWhat
is.Positiveexperiences,successstories,andbestpracticesareshared.ThesecondDis
Dreaming,orimaginingWhatcouldbe.Opendiscussionandnonjudgmentallistening
areimportant.ThethirdDisDesigning,orWhatshouldbe.Itincludescollectivedia
logueandagreementonadirectionandcourseofaction.ThefourthDisDelivering
Whatwillbe.Itinvolvesactionstepstoachievespecificobjectives.114Anexampleof
usingappreciativeinquiryisprovidedbytheBritishBroadcastingCorporation(BBC):

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

TheBritishBroadcastingCorporation(BBC)neededmoreinnovativeprogrammingtoreverse
decliningaudiencenumbers,butemployeescomplainedthattheradio,television,andInternet
broadcasterdidnotprovideacreativeworkenvironment.Todiscoverhowtobecomemorecreative,
thecompanysponsoredanappreciativeinquiryprocessofemployeeconsultation,calledJust
Imagine.Morethan10,000employees(about40percentofBBCsworkforce)participatedin200
meetingsheldoversixmonths.Ateachmeeting,employeeswerepairedtoaskeachotherthree
questions:(1)Whathasbeenthemostcreative/valuedexperienceinyourtimeattheBBC?(2)
Whatweretheconditionsthatmadethatexperiencepossible?(3)Ifthoseexperienceswereto
becomethenorm,howwouldtheBBChavetochange?Thepairsthendiscussedtheirinterview
resultsinteamsof10people,andthemostpowerfulstoriesweresharedwithothersatthemeeting.
Thesemeetingsproduced98,000ideas,whichboileddownto15,000uniquesuggestionsand
ultimately35concreteinitiatives.TheBBCsexecutivepublicizedtheresultsandimmediately
implementedseveralrecommendations,suchasajobswappingandanewcomerorientation
program.GregDyke,BBCsrespecteddirectorgeneralatthetime,commentedthattheappreciative
inquiryprocessprovidedvaluableguidance.Itgavemeapowerfulmandateforchange,hestated.
Icouldlookstaffintheeyeandsay,Thisiswhatyoutoldusyouwanted.115

The Role of the Leader


in the Team Concept
Itistruethatgoodteamscanboostproductivityandaccomplishtheseemingly
impossible.Itisalsotruethatpoorteamsreduceeffectivenessandgenerallycreate
problems.Istheresomethingthatcanbedonetoensureteamsuccess?Research
showsthatsuccessisenhancedifanorganizationunderstandsandeffectively
managesfiveteamprocesses:116
1. Buy-inhowtheworkoftheteamislegitimizedandgoalsareset.
2. Accountabilityhowindividualandteamperformanceismanagedandrewarded.
3. Learninghowperformanceisimprovedandskillsdeveloped.
4. Infrastructurehowtheworkoftheteamissystemizedandresourcesaccessed.
5. Partneringhowpeopleinteractandworktogethertoachievesuccessonthe

teamandacrossorganizationalunits.
Akeyfactorinallfiveteamprocessesis leadership.Teamsperformmostsuccess
fullywhentheyhavealeaderwhofacilitatestheworkofthegrouptoaccomplish
buyinagreementondirection;accountabilityclarityofassignments;learning
thedevelopmentofmembers;infrastructureallocationofresources;andpartnering

asupportiveworkclimate.Themosteffectiveteamleadersarecaringindividuals
whohaveapassionfortheworkandaconcernforpeople.117
Organizationscanempowertheirpeopleandimproveperformancethroughthe
useofteams,butsuccessfulteamsrequireeffectiveleadership.Foroptimumresults,
adesignatedleadershouldcoordinatethegroup,advocatefortheteamacrossthe
organization,accessneededresourcesandprocesses,andensurethatresultsare
supportedby,andmeaningfulto,theorganization.118

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Over100yearsago,businessmanandphilanthropistAndrewCarnegiewrote,Team
workisthefuelthatallowscommonpeopletoattainuncommonresults.Todaytech
nologygiantCiscoisactivelyandstrategicallyapplyingthismaxim.
in
AstheInternetradicallychangedhowpeopleliveandwork,newopportunities
Business Today: The wereemerginginmanyareas.CiscopresidentandCEOJohnChambersknewthat
Cisco Case
theInternetsandCiscosrapidgrowthhadincreasedthedifficultyforonetopperson
toreviewnewideas,gatherinformation,andmaketimelydecisions.ForCiscoto
continuetogrow,hereasoned,itneededtobemorenimbleandbringmoreproducts
tomarketfasterinshort,toinnovatewithspeed.
Chamberssawcollaborativeteamsasthesolutionanddesignedanew,broader,
andmoreinclusivesysteminwhichdecisionmakingresponsibilityispusheddeeper
intotheorganization.Thenewconfigurationincludes:Anoperatingcommitteeof
11peopleChambersplusothertopexecutives;severalcouncilsthatmanage$10bil
lionprojects;boardsthathandle$1billionopportunities;andworkinggroupsthat
supportthecouncilsandboardsandperformotheractivities.Theteamsarecross
functional,interdepartmental,andeventransnational.Eachisorganizedaround
promisinginitiativesorproductlines;otherteamscanspringupatthedropofahat
whenneeded.Inthenewcompany,tonotsharewhatyouknowisunacceptable,so
fewturndownaninvitationtocollaborate.
Chamberssayscollaborativetechnologiespermitalmostinstantaccesstoinforma
tionandotherpeople,providingnewwaystointeract.Ciscopromotesalltypesof
socialnetworking:blogs,videos,andevenaninternalMyCiscosystemthatem
ployeesuselikeaninternalFacebooknetwork.Thereemployeescansharewhatthey
havelearnedandprovidedetailsabouttheirexpertise.
Initially,noteveryoneembracedthenewteamworkstructure.TheoldCisco
sportedacowboyculture,withleaderscompetingaggressivelyforresources.
Nearly20percentofthemleftthecompany,decidingtheycouldntworkunder
Chamberssnewsetup.Leadersnowshareresponsibilityforeachotherssuccess.
Theyaremeasuredonhowwelltheycollaborateandarecompensatedonhowwell
allbusinessesperform,notjusttheirownunit.119
In2009,authorJamesCollinswrotearesearchbasedbooktitled How the Mighty
Fall.Thecontrasthedescribesbetweenteamsonthewaydownandteamsonthe
wayupprovidesexcellentguidanceforleadingteams(seeTable115).Teamsonthe
wayupaddressthetruth,useevidencebasedproblemsolving,emphasizetwoway
communication,haveaoneteamattitude,showmutualrespect,arecausefocused,
arelearningcentered,andacceptresponsibility.120

The Team Concept

yet do not enjoy the confidence


and admiration of their peers.

Table 115
Team Dynamics: On the
Way Down Versus on the
Way Up

Teams on the Way Down


People shield those in power
from grim facts, fearful of
penalty and criticism for
shining light on the harsh
realities.
People assert strong opinions
without providing data, evidence,
or a solid argument.
The team leader has a very low
questions-to-statements
ratio, avoiding critical input
and/or allowing sloppy reasoning
and unsupported opinions.
Team members acquiesce to a
decision yet do not unify to make
the decision successful, or worse,
undermine the decision after the
fact.
Team members seek as much
credit as possible for themselves

ratio, challenging people, and pushing


Use evidence-based problem
for penetrating insight.
solvingPeople
Have a one-team attitudeTeam members
bring data, evidence, logic, and
unify behind a decision once made and
solid
work to make the decision succeed, even
arguments to the discussion.
if they vigorously disagreed with the
Emphasize two-way
decision.
communicationThe
Show mutual respectEach team member
team leader employs a Socratic
credits other people for success yet
style,
enjoys the confidence and admiration of
using a high question-to-statements his or her peers.

Teams on the Way Up


Address the truthPeople bring
forth
Leadership
unpleasant factsCome here, look,
man, this is ugly to be discussed;
leaders never criticize those who bring
forth harsh realities.

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Team members argue to look


smart or to improve their own
interests rather than argue to find
the best answers to support the
overall cause.
The team conducts autopsies
with blame, seeking culprits
rather than wisdom.
Team members often fail to
deliver exceptional results, and
blame other people or outside
factors for setbacks, mistakes, and
failures.

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Are cause focusedTeam members


argue and debate, not to improve
their personal position, but to find the
best answers to support the overall
cause.
Are learning-centeredThe team conducts
autopsies without blame, mining
wisdom from painful experiences.
Accept responsibilityEach team member
delivers exceptional results, yet in the
event of a setback, each accepts
full responsibility and learns from
mistakes.

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Part Five Summary


AfterreadingPartFive,youshouldknowthefollowingkeyconcepts,principles,and
terms.Fillintheblanksfrommemory,orcopytheanswerslistedbelow.
LeadershipauthorWarrenBennisdetailsadvicetoleadersbasedonyearsofstudy,
including(a),,,
,,,and.
Researchshowsninewaysanorganizationcanraisemorale,including
(b)
,,,,
,and.Amasteratbuildingmoraleandachieving
businesssuccesswas(c),whobelievedthatyoucantleadjustby
thenumbers;businessmustalsobeenjoyable.Specificleadershipactionsthatbuild
moraleinclude(d),,,and
.Highmoraleandhighperformanceresultwhenapersonisina
stateof(e),versusapathy,anxiety,orboredom.Thisstatecomes
fromtheconfluenceofhighchallengeandhighskill.Thebest(mostrich)jobsare
characterizedby(f),,,
,,and.Thekeyelementsof
goodrelationshipsare(g),shownbylisteninginaresponsive
manner,and(h),shownbyexpressingoneselfhonestlyand
openly.DouglasMcGregorsbook(i)changedtheentireconcept
oforganizationallifeforthesecondhalfofthetwentiethcentury.The
characteristicsofahighperformanceworkgroupandtheneedforpositiveversus
negativegroupmemberrolesarepracticalapplicationsofMcGregorsideas.
Positiverolesinclude(j),,,

25

,,,and.In
thedesignofteamsforsuccess,(k)areimportant,asis
(l).Stagesinthelifeofagroupare(m),
,,and.Therearepotential
pitfallstoeffectivegroupdecisionmaking,including(n),
,,,and.
Organizationscanempowertheirpeoplethroughtheuseofteams,butsuccessful
teamsrequireeffective(o)tocoordinatethegroup,advocateforthe
team,accessneededresourcesorprocesses,andensurethatmeaningfulresults
areachieved.

Leadership

Answer Key for Part Five Summary


a.(anyseven) be yourself, figure out what you are good at, hire good people, treat
people fairly, focus on key objectives, ask your co-workers how to achieve the
objectives, listen well, call the play, get out of the way, cheer them on, count the
gains, start right now,page184
b.(anysix) introduce a group bonus, allow workers to determine their own work
methods, provide technical support services, provide training, reduce the number
of hierarchical levels, break production into small work units, assign whole tasks,
gain direct feedback from users, increase group interaction,page191
c. Herb Kelleher,page197

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d.(anyfour) be predictable, be understanding, be enthusiastic, set the example,


show
support, get out of the office, keep promises, praise generously, hold your fire,
always be fair,page198
e. flow,page199
f. variety and challenge, opportunity for decision making, feedback and learning,
mutual respect and support, wholeness and meaning, room to grow,page200
g. respect,page204
h. trust,page204
i. The Human Side of Enterprise,page210
j. encourager, clarifier, harmonizer, idea generator, ignition key, standard setter,
detail specialist,page219
k. problem-solving styles,page221
l. tolerance of differences,page228
m. forming, storming, norming, performing,pages232233
n.(anyfive) illusion of invulnerability, belief in the inherent morality of the group,
rationalization, stereotypes of out-groups, self-censorship, direct pressure,
mindguards, illusion of unanimity,pages234235
o. leadership,page239

Reflection PointsPersonal Thoughts on Effective Leadership, Human


Relations, and the Team Concept
CompletethefollowingquestionsandactivitiestopersonalizethecontentofPart
Five.Spaceisprovidedforwritingyourthoughts.

Howdoyourateonprinciplesofeffectiveleadership?Whatareyourstrengths?
Whatareasdoyouneedtoimprove?

26

Leadership

Whatisyourlevelofmorale?Whatpracticalstepscantheleadertaketokeep
moraleandperformancehighinaworkgroupororganization?

Haveyoueverbeenamemberofahighperformanceworkgroup?Describethe
conditions.

Discusspositiveandnegativegroupmemberroles.Whichpositiverolesdoyou
usuallyplaywhenyouperformatyourbest?Whichnegativerolesdoyouneedto
eliminate?

WhatisyourstyleofproblemsolvingCharlesDarwin,AlbertEinstein,
Socrates,orHenryFord?Doesyourcareerorcurrentjoballowyoutocapitalize
onthestrengthsofyourstyleinquiryanddiscovery,abstractthinking,teaching
andadvising,executionofresults?

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Whatshouldaleaderdotobuildatopperformingteam?Whatpoliciesandprac
ticeshaveworkedforyou?Whathaveyouseenworkforothers?

UsetheTeamExcellenceexercisetodevelopandsustainteameffectiveness.
Discussresults.

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Aroleplayexerciseshowstheimportanceofindividualbehaviorinteamdynamics:
Gatherinagroupof10to13participants.Anonymouslyassignpositivegroup
memberrolesfrompage219tohalftheparticipants;assignnegativegroupmember
rolestotheremaininghalf.Chargeeachparticipanttoplayhisorherroleasthe
groupplanstheCompanyAnnualEmployeeRecognitionandAppreciationDay.
Thebudgetis$120,000,andthetimelimitis12minutes.Attheconclusionofthe
roleplayexercise,discusstheimportanceforgroupsuccessofmodelingandrein
forcingpositivegroupmemberroles,aswellasaddressingandcorrectingnegative
groupmemberroles.

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Part Five Video Case

Hot Topic: Employees with Passion

26

HotTopicIncorporated,locatedinCityofIndustry,California,isaretailerthatlicenses
variousproducts,suchasTshirts,clothes,andaccessoriesgearedtowardalternative
andpopculturewithanemphasisonmodernmusictrends.Theaverageageofthe
employeesatHotTopicis25yearsold.
HotTopicIncorporatedreachesitscustomersthroughitstworetailstorelinesHot
Topicanditssisterstore,Torrid.HotTopicoffersamyriadofculturalitemsaswellas
accessoriesandclothingaimedatayoungermarketsegment.Torridisafashionstore
offeringmodern,trendyclothingcateringtoplussizewomen.Thisorganizationhas
beencitedontheBestSmallCompaniesandBestCompaniestoWorkForlists
manytimesoverits20yearhistory.
BetsyMcLaughlinistheCEOofHotTopicIncorporated.McLaughlinbelievesthat
thecultureatHotTopicisbasedonapassionforaconcept.ForHotTopic,thatpassion
ismusic,andforTorrid,itisfashion.McLaughlinsaysthatthepassionfortheproducts
andtheinspirationbehindthemiswhatmakeshercompanydifferentfrommanyoth
ers,andthepassionthatdrivesthecultureissharedacrossalllevelsandpositionsofthe
organization.Infact,McLaughlinclaimsthatmusicinspiresnotonlytheproductsthey
sell,butalsostoredesignandeventhepeopletheyhire.
HotTopichasauniquecorporateculturebutstructurallydoesnotdiffertremen
douslyfromotherorganizations.Employeesarefiercelyloyaltothefirmasaresult
ofthegreatworkingenvironmentwheretheyfeeltheycanfitinandbeappreciated
forwhattheycontributetotheorganization.OneexampleofhowHotTopicencour
agesfittinginisitsconcertreimbursementprogram.Employeescanattendaconcert
andbringsomeonewiththem,filloutanexpensereport,andbereimbursedforthe
costoftheirtickets.Theonlyrequirementforthisbenefitistosubmitafashionre
port.Theculturealsovaluescollaboration,opencommunication,andempowerment,
andisperpetuatedbyalackofwallsanddoorsinthecorporateheadquarters.Everyone
worksinonebigroomandsharesspace,takingemphasisoffhierarchyandpromot
ingcollaborationandopencommunication.Theemployeesaresupportedinrisktaking
decisionswhentakingcareoftheneedsofcustomers.Thisgivesemployeesafeeling
ofinclusionandempowermenttomakedecisions.
HotTopichasgrownfrom15storesjust15yearsagotonearly800storestoday.
Thisprovidesareadyapplicantpooltoallowthecompanytohireforcorporatejobs
fromwithinapracticethathastheworkerbringherorhissenseofthecorporate
culturetothenewjob.Employeesarekeptsatisfiedthroughsuchperksascellphone
discounts,onsitemassages,healthfairs,scholarshipreimbursement,andemployee
ofthemonthprograms.Anotherinterestingandnocostperkofferedtoemployeesis
the9/80program.Thisprogramallowsemployeestowork80hoursover9days
givingthemathreedayweekendeveryotherweekend.
McLaughlintalkstoheremployeesandcustomerstolearninwhatdirectionthey
wantHotTopictogo.Thisalongwithalloftheinnovativeideasandprogramsprovides
HotTopicwithauniqueculturethathelpskeeptheiremployeesandcustomerssatisfied
andloyal.

Leadership

Questions for Discussion


1.WhatmakesHotTopicsosuccessfulasaretailer?Whatmakesthemsopopular
withtheiremployees?Howcantheykeeptheirsuccessgoing?
2.Howdoestheideaofnowallsandnodoorsinthecorporateheadquartersencour
agethecultureHotTopicistryingtoperpetuate?Doyouthinkyouwouldliketo
workinsuchanatmosphere?
Formoreinformation,seewww.hottopic.com.

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Action Assignment
Asabridgebetweenlearninganddoing,completethefollowingactionassignment.
1.WhatisthemostimportantideayouhavelearnedinPartFive?
2.Howcanyouapplywhatyouhavelearned?Whatwillyoudo,withwhom,where,
when,and,mostimportant,why?

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Part 6 Understanding People


12. Human Behavior and the Art of Persuasion
13. The Diversity Challenge

A FRIEND ASKED MICHELANGELO: Hows the work going at the Sistine Chapel?
Michelangelo answered:
About the same. You know, I really never should have started this thing. Four
years, on and off, Ive been at it. What I really wanted to do was a tomb for Julius
II. But they made a decision and Im stuck with it. The worst thing is that I had to
start at the entrance of the chapel first, which I thought was a stupid idea. But
they wanted to keep the chapel open as long as possible while I was working.
His friend inquired: Whats the difference?
Michelangelo replied:
Whats the difference? Here I am trying to do a ceiling mural on the creation
of man, right? But I have to start with the end of the whole scheme, and then finish with the beginning. Besides, Ive never painted a ceiling before, and Im not
very experienced at murals either.
The friend sympathized: Boy, thats tough.
Michelangelo went on:
And on top of that, the scaffolding material I have to use is dangerous. The
whole thing shakes and wiggles every time I climb up there. One day its boiling
hot, and the next day its freezing. Its dark most of the time. Working on my back,
I swallow as much paint as I put on the ceiling. I cant get any decent help. The
long climb up and down the ladders will kill me yet. And to top everything, they
are going to let the public in and show the thing off before its even finished. It
wont be finished for another year at least. And thats another thing, they are always
nagging me to finish. And when Im finished, what then? Ive got no security. And
if they dont like it, I may be out of work permanently.
The friend responded: Gee, Michelangelo, thats tough. With no job security,
such poor working conditions, irritating company policies, and inadequate subordinates, you must really be dissatisfied with your job. Are you ready to quit?

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Michelangelo replied:
What? Quit? Are you crazy? Its a fascinating challenge. And Im learning more
and more every day about murals and ceilings. Ive been experimenting and
changing my style for these last few years, and Im starting to get a lot of recognition from some very important people. You can see for yourself that its going to
be one of the finest achievements of all time. Im the only one responsible for the
design, and Im making all of the basic decisions. It may bring me other opportunities to do even more difficult work.
Quit? Never. This is a terrific job.1
he Sistine Chapel in the Vatican Palace was painted by Michelangelo between
AD 1508 and 1512.

Learning Objectives
AfterstudyingPartSix,youwillbeableto:
Understandwhypeopledowhattheydo.
Tapthetransformationalpowerofhumanmotivation.
Achieveemployeeengagement.
Assessyourlevelofemotionalintelligence.
Knowthepowerofwordswhenspokenfromtheheart.
Diagnosestrengthsandweaknessesintheartofpersuasion.
Knowwhydiversityisanimportantsubjectforleadershipeffectiveness.
Understandgender,age,andculturaldiversity.
Describewhattheleadercandotoachievethebenefitsofdiversityand
avoidthepitfallsofprejudice.

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Human Behavior and the


Art of Persuasion

wonderwhysheactsthatway,People!Illneverunderstandthem.Wevemet
theenemy,andtheyareus.Ifyouhaveeverhadsuchthoughtsasthese,thischap
terwillbeofinteresttoyou.Understandingwhypeopledowhattheydoisimpor
tantforemployeemoraleandjobperformance.Whentheworkisdone,this
understandingisimportantindealingwithfamilyandfriends.
BusinessleaderLeeIacoccaprescribesaformulaforsuccess:Effectiveleaders
focusonthreepspeople, products,and profitinthatorder.Mark
McCormack,authorof What They Dont Teach You at Harvard Business School,
explainstheimportanceofunderstandingpeople:
Whetheritisamatterofclosingadealoraskingforaraise,ofmotivatingasalesforceor
negotiatingonetoone,ofbuyinganewcompanyorturningaroundanoldone,business
situationsalmostalwayscomedowntopeoplesituations.Thoseindividualswithafinelytuned
peoplesense,andanawarenessofhowtoapplyit,invariablytaketheedge.2

Psychological Forces
Physicalandemotionalneedsareimportantdeterminantsofhumanbehavior,helping
explainwhypeoplework,whytheyhavecertainpersonalgoals,andwhattheywantin
theirrelationshipswithothers.PsychologistAbrahamMaslowdivideshumanneedsinto
fivecategories,progressingfrombasicneedsfor survivaland security,tosocialneeds
for belongingand respect,tothecomplexneedfor fulfillment.3SeeFigure121.
Figure 121
Hierarchy of Human Needs

Fulfillment
Respect

Belonging

Security

Survival

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1. Survival.Theneedsthataretakenasthestartingpointformotivationtheoryare
thephysiological,orbasicbodytissue,needs.Takingabreathofairandactingin
selfdefensearenormalexpressionsofsuchneeds.Survivalneedsarestrongand
naturalforceswithintheperson.PsychologistViktorFrankltellsofhisexperiences
inaNaziconcentrationcampduringWorldWarII:
Whatdidtheprisonerdreamaboutmostfrequently?Ofbread,cake,cigarettes,andnicewarm
baths.Duringwakinghoursprisonerswereconcerned,aboveallelse,withwhattheywouldget
fortheireveningmealandhowmuchwouldbeavailable.Whentheyreceivedfood,theywere
tornbetweenwhethertheyshouldconsumeallofitimmediately,orsaveapartofitforthat
latertimewhentheirstomachswouldhurtfromhunger.Inshort,whetherawakeorasleep,their
greatestconcernwasforthemostbasicphysicalneedsfoodandphysicalcomfort.4

2. Security.Oncesurvivalneedsaresatisfied,securityneedsbecomeimportant.
Freedomfromthreatandprotectionfromlossaremajorsecuritygoals,helping
explainourinterestinsavingsaccounts,medicalinsurance,seniorityrights,andburglar
alarms.Allagesandtypesofpeopleexperiencetheneedforsecurity.Boththechild

whoisafraidofthedarkand 4. Respect.Once discipline,writes:


theworkerwhofears
survival,security,and Wearenotonlygregariousanimals,likingtobeinsightofourfellows,butwehaveaninnate
unemploymentfeeltheneed
belongingneedsare propensitytogetourselvesnoticed,andnoticedfavorably,byourkind.Nomorefiendish
for
satisfied,peopleare punishmentcouldbedevised,weresuchathingphysicallypossible,thanthatoneshouldbe
security,andthedriveto
motivatedbytheneed turnedlooseinsocietyandremainabsolutelyunnoticedbyallthemembersthereof.6
Leadership
268
satisfythisneedinfluences forrespecttheneedto
theiractions.
beconsideredfavorably 5. Fulfillment.Afterphysicalandsocialneedsaresatisfied,peoplearemotivated
3. Belonging.When
byselfand
bytheneedforfulfillment,whichMaslowreferredtoasselfactualization.These
survivalandsecurity
others.Thepursuitof peoplemayormaynotpleaseothersbywhattheydo,andtheireffortsmayormay
needsaresatisfied,the
fame,regardlessofthe notresultintheattainmentofintendedgoals.Regardlessoftheconsequences,ifa
needforbelong
fieldbusiness,
persondoessomethingbecauseitisvaluedpersonally,thentheactitselfisfulfilling.
ingemerges.Thisistruefor government,thearts
TheEnglishauthorphilosopherJulianHuxleysummarizestheneedforfulfill
peopleinallcultures,
canbeexplainedonlyby mentwiththefollowingobservation:
whetheraggressiveor
thepowerfulneedfor
peaceful,
respect.Itisnaturalto Humanlifeisastruggleagainstfrustration,ignorance,suffering,evil,themaddeninginertiaof
thingsingeneral;butitisalsoastruggleforsomething.Fulfillmentseemstodescribebetter
primitiveoradvanced.Every wantthe
thananyothersinglewordthepositivesideofhumandevelopmentandhumanevolutionthe
individualmakesadistinct recognitionandhonorof
realizationofinherentcapacitiesbytheindividualandofnewpossibilitiesbytherace;the
efforttobelongtosome
others.Whenthisneed satisfactionofneeds,spiritualaswellasmaterial;theemergenceofnewqualitiesofexperience
aspiredsocialgroup.Ifyou isnotsatisfied,an
tobeenjoyed;thebuildingofpersonalities.7
haveeverfeltaneedforlove individualfeels
oraneedtoexpresslove,
inferior,weak,and
Instudyingthecharacteristicsofthefulfilledperson,Maslowidentifiedpeoplehe
youhaveexperienceda
discouraged.William believedlivedrichandfulfillinglives.IncludedwereAlbertEinstein,EleanorRoosevelt,
naturalneedforbelonging, James,American
LudwigvanBeethoven,andAlbertSchweitzer.Maslowfoundthatthesepeople
andthishasinfluencedyour philosopherandfounder shared15characteristicsofselfactualization.8Toevaluateyourowndevelopment
behavior.5
ofpsychologyasa
asaselfactualizedperson,completeExercise121.

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Characteristics of the

269

Rate yourself on the following characteristics. Circle the number that best represents your
current status (1 is low; 10 is high).

Self-Actualized Person
1. Acceptance of self and others
1

10

10

10

10

2. Accurate perception of reality


1

3. Close relationships
1

4. Personal autonomy (independence)


1

5. Goal-directedness; achievement orientation


1

10

10

10

6. Naturalness (spontaneity)
1
7. Need for privacy
1

8. Orientation toward growth and new experience


1

10

10

10

9. Sense of unity with nature


1

10. Sense of fellowship with all people


1

11. Democratic character


1

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10

10

10

10

10

12. Sense of justice


1
13. Sense of humor

14. Creativity

15. Personal integrity (high principles)


1

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Scoring and Interpretation:


Add the numbers you circled to find your total score; then compare it with the corresponding description.
Score
1545
46120
121150

Progress
Not greatshould definitely improve
Just OKneeds work
Very goodkeep going!

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The characteristics I want to improve are:

Action steps I will take are:

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Persuasion

AbrahamMaslowshierarchyofneedsandcharacteristicsofaselfactualizedper
sonarecommonlytaughtinpsychology,business,andleadershipcourses.Hehasin
fluencedmanagementtheoryandpracticeforover50years,includingtheworksof
DouglasMcGregor,RensisLikert,WarrenBennis,KenBlanchard,andPeter
Drucker.

272

Inhisbook The Farther Reaches of Human Nature,Maslowprescribesfiveprinciples


fordevelopingonesfullpotential:(1)Experiencelifefullyinthepresentratherthan
dwellingonthepastorworryingaboutthefuture;(2)makechoicesinyourlifethat
willenhancegrowthbytakingreasonablerisks;(3)behonestwithyourselfandwith
otherpeople;(4)strivetodoyourbestinaccomplishingtangiblegoalsinlinewith
yourbasicvalues;and(5)commityourselftoconcernsandcausesoutsideyourself.9

Leadership

Motivation in the Workplace


Tounderstandwhypeoplebehavethewaytheydo,onemustconsidermotivation.
MotivationhasbeenakeyinteresttoleaderssinceHugoMunsterbergwrote Psychology and Industrial Efficiencyalmost100yearsago.Today,C.G.Pindersbook Work
Motivation in Organizational Behaviorisoneofthebestoverallsourcesonthesub
ject.Motivationvariesacrossandwithinindividuals.Itcombineswithabilityand
expectationtoproducebehaviorandperformance.10
Theterm motivationcomesfromtheLatinword moveremeaningtomove.An
cientscholarswerefascinatedbythefactthatsomeobjectsintheworldseemtobe
selfmovers,whileotherobjectsremainstationaryunlessacteduponbysomeoutside
force.Theyassumedthatmotionwascausedbyaspiritinsidetheobjectalittle
manofsomekindthatpushedorimpelledtheobjectintoaction.Wheneverthe
spiritwasmoved,sowastheobjectorbodythatthespiritinhabited.11
Theeffectiveleadermustmotivatepeopletoaccomplishtasks.Thisinvolves
understandingtheneedsofothersandarrangingconditionssothatindividualneeds
canbemetwhileadvancingtheorganization.Inthisway,thelittleman,or spiritof
theindividual,isawakenedandliberated.Theperformancethatresultscanbe
tremendous.
Formostemployees,afewwordsofappreciationcreaterenewedenergyandjob
commitment.Ofemployeeswholeaveacompany,5to10percentdosobecauseof
money;oftheremaining90to95percent,manyleavebecausetheydontfeelthey
arebeingrecognized.Theimportanceofmotivationissuggestedinfindingsthat
mostpeoplebelievetheycouldgiveasmuchas15to20percentmoreeffortatwork
thantheynowdowithnoone,includingtheirownsupervisors,recognizingany
difference.Perhapsevenmorestartling,theseworkersalsobelievetheycouldgive
15to20percentlesseffortwithnoonenoticinganydifference.12
Exercise122evaluatesmotivationintheworksetting.Bycompletingthisexer
cise,youwillbetterunderstandtheroleofhumanneedsintheworldofwork.

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Motivation at Work13

273

Rank your responses for each of the following questions. The response that is most
important or most true for you should receive a 5; the next, a 4; and on down to the least
important or least true, which should receive a 1.
Example: The work I like best involves
A

Working alone.

A mixture of time spent with people and time spent alone.

Giving speeches.

Discussion with others.

Working outdoors.

1. Overall, the most important thing to me about a job is whether or not


A

The pay is sufficient to meet my needs.

It provides the opportunity for fellowship and good human relations.

It is a secure job with good employee benefits.

It allows me freedom and the chance to express myself.

There is opportunity for advancement, based on my achievements.

2. If I were to quit a job, it would probably be because

It was a dangerous job, such as working with inadequate equipment or poor


safety procedures.

Continued employment was questionable because of uncertainties in


business conditions or funding sources.

It was a job people looked down on.

It was a one-person job, allowing little opportunity for discussion and


interaction with others.

The work lacked personal meaning to me.

3. For me, the most important rewards in working are those that
A

Come from the work itselfimportant and challenging assignments.

Satisfy the basic reasons people workgood pay, a good home, and other
economic needs.

Are provided by fringe benefitssuch as hospitalization insurance, time off


for vacations, and security for retirement.

Reflect my abilitysuch as being recognized for the work I do and knowing


I am one of the best in my company or profession.

Come from the human aspects of workingthat is, the opportunity to make
friends and to be a valued member of a team.

4. My morale would suffer most in a job in which


A

The future was unpredictable.

Other employees received recognition, when I didnt, for doing the same
quality of work.

My co-workers were unfriendly or held grudges.

I felt stifled and unable to grow.

The job environment was poorno air conditioning, inconvenient parking,


insufficient space and lighting, primitive toilet facilities.

5. In deciding whether or not to accept a promotion, I would be most concerned with


whether
A

The job was a source of pride and would be viewed with respect by others.

Taking the job would constitute a gamble on my part, and I could lose more
than I gained.

The economic rewards would be favorable.

I would like the new people I would be working with, and whether or not
we would get along.
I would be able to explore new areas and do more creative work.

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256
6. The kind of job that brings out my best is one in which
A

There is a family spirit among employees and we all share good times.

The working conditionsequipment, materials, and basic surroundings


are physically safe.

Management is understanding, and there is little chance of losing my job.

I can see the returns on my work from the standpoint of personal values.

There is recognition for achievement.

7. I would consider changing jobs if my present position


A

Did not offer security and fringe benefits.

Did not provide a chance to learn and grow.

Did not provide recognition for my performance.

Did not allow close personal contacts.

Did not provide economic rewards.

8. The job situation that would cause the most stress for me is
A

Having a serious disagreement with my co-workers.

Working in an unsafe environment.

Having an unpredictable supervisor.

Not being able to express myself.

Not being appreciated for the quality of my work.

9. I would accept a new position if

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Leadership

The position would be a test of my potential.

The new job would offer better pay and physical surroundings.

The new job would be secure and offer long-term fringe benefits.

The position would be respected by others in my organization.

Good relationships with co-workers and business associates were probable.

10. I would work overtime if


A

The work is challenging.

I need the extra income.

My co-workers are also working overtime.

I must do it to keep my job.

The company recognizes my contribution.

Scoring:
Place the values you assigned to A, B, C, D, and E for each question in the spaces
provided in the scoring key on page 257. Notice that the letters are not always in the
same place for each question. Then add each column to obtain a total score for each
motivation level.
The five motivation levels are as follows (each will be discussed in the Interpretation
sectionsee page 258):
Survival needs
Level I

Security needs

Level II

Belonging needs

Level III

Respect needs

Level IV

Fulfillment needs

Level V

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Scoring Key

Motivation Level
I

II

III

IV

1. A

2. A

3. B

4. E

5. C

6. B

7. E

8. B

9. B

10. B
Totals

Next, make a graphic representation of your motivation at work on the motivation graph
in Figure 122. Find the number on the scale that corresponds to each motivation level,
and draw a line across that point in the column. Then fill in the area, creating a bar chart
of your needs at work. See the sample motivation graph on page 258 (Figure 123).
The highest points of your motivation graph indicate the most important needs identified by you in your work. The lowest points show those needs that have been relatively
well satisfied or de-emphasized by you at this time.
40
50
Figure 122
Motivation Graph

High
30

20

50

30

10

40

20

10

Low

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Figure 123
Sample Motivation Graph

50

50

40

40

30

30

20

20

10

10

High

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

NerdSntgh

Low

Interpretation:
The following is a description of the five motivation levels. Also included are policies and
practices an organization should consider to help satisfy employee needs at each motivation level. In a real sense, the five best gifts to give employees are survival, security, beI
II
III
IV
V
longing, respect, and fulfillment.

Level I: Survival Needs


People motivated at the first level are concerned with physical and economic survival. If
they do not presently Survival
have a job,
they feel
the need
to findFulfillment
one. If they do have a job,
Security
Belongin
Respect
Level
their goal is to keep it and to have aMotivation
safe work environment.
There is also concern for
comfort and the avoidance of physical irritations such as inadequate space, inefficient
equipment, and inconvenient parking, restroom, and eating facilities.
Physical needs may dominate the behavior of a person who has no job or who is in economic difficulty. Consider the plight of millions of people during the Great Depression, or
that of an individual today who has lost a job, whose children need clothing, and whose
dependent parents are ill. Consider Mas words in John Steinbecks masterpiece, The Grapes
of Wrath:
But I like to think how nice its gonna be, maybe, in California. Never cold. An fruit everplace,
an people just bein in the nicest places, little white houses in among the orange trees. I
wonderthat is, if we all get jobs an all workmaybe we can get one of them little white
houses. An the little fellas go out an pick oranges right off the tree. They aint gonna be able to

stand it, theyll get to yellin so.14


An organization can meet the survival needs of its employees by providing:
Sufficient pay.

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Leadership

Safe working conditions.

Safe equipment, tools, and materials.

A supportive physical environment, with good lighting, heating, air conditioning, and
restrooms.

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Does your organization meet the survival needs of its employees? Evaluate on a scale of 1
to 10 (1 is low; 10 is high):

Level II: Security Needs


People motivated at the second level feel the need for security and predictability in their
lives. They want assurance that their jobs are not subject to loss or change. As a result, there
I
II
III
IV
V
is a concern for benefits of a protective nature, such as health insurance, retirement income,
and seniority rights. There is also a need for signs of stability from upper management.
The second motivation level, like the first, involves issues that are peripheral to the
work itself; therefore, any job that provides economic protection and a dependable work
environment will be valued by the person motivated at this level.
Survival
Security
Belongin
Fulfillmen
Security
needs may
erupt Respect
at all levels
of responsibility and in all lines of work if business
conditions are poorg or if managers actt in a threatening way. Think of how you would feel
Motivation Level
if you sensed that your job was in jeopardy; or imagine the concern you would feel if the
equipment, supplies, and other resources required to perform your job were taken away.
An organization can meet the security needs of its employees by providing:
Proper tools, equipment, and materials to do the job.

Job aids, such as training manuals and technical assistance.

Economic protection through insurance and retirement programs.

Job security through career counseling, in-service training, and seniority systems.

Confidence in management through stable and dependable actions of managers.

How well does your organization meet its employees security needs? Evaluate on a scale
of 1 to 10 (1 is low; 10 is high):

Level III: Belonging Needs


When belonging needs are the primary source of motivation, employees value work as an
opportunity for establishing warm and satisfying human relationships. Jobs that allow
them the opportunity to interact with people and to create friendships are likely to be valued, regardless of the nature of the work itself. A person motivated at this level may be
more interested in human relations than job duties when considering which career to pursue or which company to join.
Employee needs for belonging are normal. How these needs are met (whether by
counterproductive cliques and gripe sessions or by constructive work groups and employee meetings) can influence the success of an organization.
An organization can meet the belonging needs of its employees by providing:
Communication sessions between employees and management (these are most
effective when conducted in small groups).

Celebration of holidays, birthdays, and special events.

Expressions of consideration, such as notes of appreciation, hospital visits, and


sympathetic understanding when employees have personal problems.

Job participation vehicles, such as regular staff meetings, annual employee meetings,
employee task forces, committees, and performance improvement teams.

Communication outlets, such as employee newsletters, notices from management,


bulletin boards, and annual reports.
Most important, an open-door policy in which every employee feels free to share

concerns and suggestions with every other employee, regardless of level of

responsibility.
How well does your organization support the belonging needs of its employees? Evaluate
on a scale of 1 to 10 (1 is low; 10 is high):

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Level IV: Respect Needs


The fourth motivation level reflects a persons need for recognition. The respect of others
for ones special traits or competencies is important. This is the first motivation level that is
closely related to the nature of the work and depends on aspects of the job itself for satisfaction. Work that provides the opportunity to display skills that one feels others respect
will be valued and will have motivation strength. The person who is primarily interested in
self-image or reputation is motivated at the fourth motivation level.
An organization can meet its employees needs for recognition by providing:
Individual incentives for high performance, such as achievement awards, worker-ofthe-month honors, attendance awards, and recognition for suggestions.

Public acclaim for outstanding contributions at award banquets, retirement dinners,


and annual meetings.

Opportunities to improve job status through training programs, job titles, and
promotions.

Tangible rewards, such as increased pay, bonuses, commemorative plaques, letters of


recognition, gifts, and privileges.
Most important, day-to-day recognition and praise for a job well done.

Does your organization provide recognition for employees achievements? Evaluate on a


scale of 1 to 10 (1 is low; 10 is high):

Level V: Fulfillment Needs


When a person is motivated at the fifth level, his or her primary concern is to fulfill per-

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

sonal values and to experience growth. There is a desire to demonstrate life values on the
job. Writer Studs Terkel explains the motivation of employees at the fifth level:
Its about a search, too, for daily meaning as well as for daily bread, for recognition as well as
cash, for astonishment rather than torpor; in short, for a sort of life rather than a Monday
through Friday sort of dying.
There are, of course, the happy few who find a savor in their daily job: The Indiana
stonemason who looks upon his work and sees it is good; the Chicago piano tuner who seeks
and finds a sound that delights; the bookbinder who saves a piece of history; the Brooklyn
fireman who saves a piece of life.
But dont these satisfactions, like Judes hunger for knowledge, tell us more about the person
than about the task? Perhaps. Nonetheless, there is a common attribute here: a meaning to their
task well over and beyond the reward of the paycheck.15
Once people reach a certain level of material comfort and social needs are met, they
care more about fulfillment; in plain English, they are more interested in what they actually do all day. Add a strong economy and a small labor pool, and the fifth motivation
level is all the more important.
The nature of ones work is particularly critical for satisfying fulfillment needs, because
the job itself must allow a good deal of freedom of expression and opportunity for experimentation. When the fifth motivation level is dominant, the individual channels more creative and constructive energy into the work activity than she or he would if motivated
solely by the need for respect, belonging, security, or survival.
An organization can meet the fulfillment needs of its employees by:
Discussing organization values and goals in light of individual values and goals, and
tailoring job duties to accomplish both.

Providing the opportunity for personal growth, through both on-the-job assignments

and outside activities. For example, an organization may support an employees


involvement in community service activities or may support his or her continuing
education efforts.
How well does your organization meet its employees needs for fulfillment? Evaluate on a
scale of 1 to 10 (1 is low; 10 is high):
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Why People Do What They Do


Thereareninepointstorememberabouthumanmotivation.Withtheseinmind,you
willbetterunderstandwhypeopledowhattheydo,bothonthejobandintheirlives
awayfromwork.Thesepointscanalsoexplainthecomplicatedrelationshipbetween
personalgoalsandworkbehavior.16
1. A satisfied need is not a motivator.Itisnotwhatpeoplehavethatmotivates
behavior;itiswhattheydonothave,orwhattheyhavedonewithout.Oneperson
maybemotivatedbyaneedtoneverbehungryagain;another,byaneedtoneverbe
dependentagain;another,byaneedforlove;another,byaneedtobesomebody
someday;andyetanother,byaneedforselfexpression.Eachismotivatedbyaneed
thatisnotfullysatisfied.
2. Employee motivation and company success are related.Inhisbook The
Human Equation,JeffreyPfeffershowsthatprofitisdirectlyrelatedtoacompanys
effectivenessinmotivatingitsworkforce.Heidentifiessevenpracticesthatsuccessful
companiesshare:(1)employmentsecurity;(2)selectivehiringofnewpersonnel;
(3)empoweredteamsanddecentralizationofdecisionmakingasthebasicprinciples
oforganizationaldesign;(4)comparativelyhighcompensation,contingentonorgani
zationalperformance;(5)extensivetraining;(6)reducedstatusdistinctionsandbarri
ers,includingdress,language,officearrangements,andwagedifferencesacross
levels;and(7)extensivesharingoffinancialandperformanceinformationthroughout
theorganization.17
Thislistshowsthatthreeofthepracticesjobsecurity,aboveaveragewages,
andreducedwagedifferentialsaddresslowerlevelneeds;andthreepractices
empoweredteams,extensivetraining,andinformationsharingaddresshigherlevel
needs.Theremainingpractice,selectivehiring,ismadepossiblebecausethese
companiesaredesirableplacestowork.Pfefferconcludesthathighperformance
requiresbothgoodpayandanenrichedworkenvironment.
3. Psychological needs and social values are not the same.BothAdolfHitler
andMohandasGandhimayhavebeenmotivatedbytheneedforrespect(thefourth
motivationlevel),buttheiractionsreflecteddifferentsocialvalues.Similarly,two
employeesmaybemotivatedbyfulfillmentneedsbothbehavingforselfdiscovered,
selfdefinedreasons.Yettheactionsofonemaybeharmfultootherpeople,whilethe
actionsoftheothermayhelpotherpeople.Thepsychologicalforcesarethesame,
butthevaluesarenot.Psychologicalneedsexplainhumanmotivation;socialvalues
aretheconcernofethics.
4. The same act can satisfy any of the five motivation levels.Considerthata
personmayworkforanyofthefollowingreasons:(1)becausethereisnofoodto
eat,thusmeetingsurvivalneeds;(2)becausejobstabilityisindanger,thus
meetingsecurityneeds;(3)tobeanacceptedmemberofaworkgroup,trade,or
profession,therebymeetingbelongingneeds;(4)toberecognizedasimportant,
skillful,orotherwiseworthyofadmiration,thusmeetingrespectneeds;(5)forthe
personalsatisfactionexperienceddoingthejob,therebymeetingfulfillment
needs.
Same MileDifferent Motives18
Level 1 or 2 Motivation

Michael Jazey (1965, 3:53): I ran so I would not have to fight the war in Algeria.
Level 3 Motivation

Jim Ryun (1965, 3:51): I ran to get a letter jacket, a girlfriend.


Level 4 Motivation

Noureddine Morceli (1993, 3:44): I ran to be known as the greatest runner of all time.
Level 5 Motivation

Sebastian Coe (1981, 3:47): I ran because I was meant to run.

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5. All people have the same needs, but to different degrees and accompanied

by
different wants. Whatittakestosatisfymotivationalneedsand how muchisrequired
areuniquetoeachperson.Toillustrate:(1)SuesaffectionsatisfiesBillsneedfor
belonging,whileJimsbelongingneedsaresatisfiedbyacceptanceintohiswork
group.(2)Jillsneedforrespectwillbesatisfiedwhensheisrecognizedasaskilled
actress,whereasKarensneedforrespectisreflectedinhergoaltowinanOscar.Jill
andKarenfeeltheirneedstodifferentdegrees,showingthatsomepeoplehavea
greaterneedforegosatisfaction.
6. A person can be deficiency-motivated, bringing harm to self or others.Itis
possibletohaveanextremefixationonanaturalneed,sostrongthatitcanleadto
neuroticandevendestructivebehavior.Forexample,apersoncanbesohungryfor
lovethattheneedbecomesdestructive.Inthefollowingpassage,GustaveFlaubert
describesMadameBovarysrelationshipwithherhusband:
Shehadtohaveherchocolateeverymorning,attentionswithoutend.Sheconstantlycomplained
ofhernerves,herchest,herliver.Thenoiseoffootstepsmadeherill.Whenpeoplewentaway,
solitudebecameodioustoher;iftheycameback,itwasdoubtlesstoseeherdie.
WhenCharlesreturnedintheevening,shestretchedforthtwolongthinarmsfrombeneath
thesheets,putthemaroundhisneck,andhavinghimsitdownontheedgeofthebed,beganto
talktohimofhertroubles:hewasneglectingher;helovedanother;shehadbeenwarnedshe
wouldbeunhappy;andsheendedbyaskinghimforadoseofmedicineandalittlemorelove.19

NomatterhowmuchCharlesshowedhiswifethathelovedher,shewasnever
satisfied,andintheend,herneedforproofthatshewaslovedendedinadiminished
lifeandearlydeath.
Incontrast,thehealthyindividualisgrowthmotivatedandreasons,Ihavesatisfied
thisneed;nowIamreadytosatisfyotherneeds.Thispointisimportantininterper
sonalrelations,especiallyleaderfollowerrelationships.Forexample,whensomeone
isdeficiencymotivatedandpsychologicallystuckatoneoftheneedlevels(except
thefifth),directionfromothersisneeded.Inthiscase,helpandadvicefromthewise
wouldbeappropriate.Ontheotherhand,whensomeoneisgrowthmotivated,the
primaryneedisforunderstandingandnonpossessivecaring.Thosewhowanttohelp
shouldlisteninanonjudgmentalwayasthepersontalksanddiscovershisorherown
answers.20Goodbooksthatcanbeusedtounderstandanddealwithdeficiency
motivatedandgrowthmotivatedpeople,respectively,are The Road Less Traveledby
ScottPeckand If You Meet the Buddha on the Road, Kill Him!bySheldonKopp.
7. Unsatisfied needs can harm your health, as surely as if you were physically
stricken.Ifyoufeeltheneedforrecognition,butnoonerespectsyou;ifyoufeelthe
needforlove,butnoonecares;ifyoufeeltheneedforselfexpression,buthaveno
outlets,youcandevelopamotivationconditionasharmfulasphysicalillness.
Considerthefollowingcase:
Timwantedtobeanartist.Hefelttheneedtoexpresshimself,andartwastobethemeans.
Thefactthatnooneelselikedhiswork,andthathecouldnotsellhispaintings,matteredlittle
toTim;hewashappy.ThenTimmetSarah.Theyfellinloveandweremarried.
Ayearlater,twinswereborntoTimandSarah.Withthischangeinhislife,Timsmind
turnedtofood,clothing,andotherneedsforthechildren.Soonhewenttoworkinan
automobilefactoryasaproductionworker.Timlovedhisfamily,andhewasproudofhimself
forsacrificinghisneedforselfexpressionhisdesiretopaintintheinterestofhisfamily.
Bythetimefouryearshadpassed,Timwasexperiencingpoorphysicalhealthandrecurrent
depression.Hisinnerneedtopaint,sidetrackedbecauseoftheneedtoearnaliving,wouldnot
bequieted.Hefeltincompleteandunhappy.Timdevelopedproblemsatworkandbecame
increasinglyirritable.21

8. Leadership is important in meeting employee needs and preventing motivation problems.Whataleaderdoeswillvarywiththecircumstances.Sampleactions


includeimprovingjobsafety(survivalneeds),clarifyingjobassignments(security
needs),offeringawordofencouragement(belongingneeds),providingpraisefora
jobwelldone(respectneeds),andofferingnewskillsdevelopment(fulfillment

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needs).Inanycase,suchleadershipmotivatesemployeesandbringsouttheirbestin
jobperformance.Itisanexampleofenlightenedandservantleadership.22
9. The ideal is to integrate the needs of the individual with the goals of
the
organization.Iftheneedsoftheindividualcanbesatisfiedwhileadvancingthegoals
oftheorganization,theultimateinemployeemoraleandorganizationeffectiveness
willbeachieved.Toomanypeoplearedissatisfiedandperformbelowtheirpotential
becausetheirjobsarenotmotivating.Manyemployeescaremoreaboutoffthejob
projectsthanonthejobdutiesbecausetheseoutsideactivitiessatisfytheirpsycho
logicalneeds.Thefailuretointegrateindividualneedsandorganizationalgoalscan
representasignificantlossorbraindrainfortheorganization.23
JeffreyPfeffersummarizes:Ifyouwanttohavegreatbusinessresults,youhave
tohavecustomerswholoveyourproductsandbelievetheyaregettingexcellent
treatmentinthebroadestsenseoftheword.Todothat,youhavetohaveemployees
whoaremotivatedandusingtheirtalentstotheutmostoftheirability.24Itmustbe
addedthatthesamerelationshipisfoundwithemployeemotivation,jobperfor
mance,andcitizensatisfactioninpublicsectororganizations.25

Employee Engagement
Whenpeoplediscussemployeemotivation,theyoftenusetheterm employee engagement. Engagementinvolvesbothjobsatisfactionandorganizationalcommitment.26
Thechallengefacingleadersistotaptheperformancepotentialofallemployees.
StudiesshowonlyonefourthofAmericanemployeesarehighlyengaged,55percent
aresomewhatengaged,and20percenthavelowengagementorareactivelydisen
gaged.Negativeattitudesanddisruptivebehaviorofactivelydisengagedemployees
canbeharmfultoanorganization.27
Thebenefitsofengagementaresignificantinimprovingorganizationalperfor
mance.BritishretailerMarksandSpencerreportsthata1percentimprovementin
engagementproducesa2.9percentincreaseinsalespersquarefoot;andJCPenney
calculatesthatstoreswithhigherengagementproducehighersales.Researchinboth
theprivateandpublicsectorshowsthatemployeeengagementresultsinhigherorga
nizationalcitizenshipandloweremployeeturnover.28
JimHaudan,authorof The Art of Engagement,providesanexcellentframeworkfor
engagingtheheartsandmindsofpeople.Haudanidentifiestherootsofengagement,
analyzesthecausesandsolutionstodisengagement,andprescribesleadershipactions
orkeysforachievingengagementinanyorganization.Hispremiseisthatorganization
successisnotdeterminedsolelybythevisionofleaders,butalsobybringingthese
ideastolifeinawaythatismeaningfulforallemployees.
Therootsofengagementareinhumanmotivation,therealizationthatpeoplewant
survivalandsecurity,buttheyalsowantasenseofbelonging,respectfromothers,
andtheopportunitytomakeadifferenceintheworld.Employeeshavetheneedtobe
accepted.Iftheyfeelignored,theyslipintoindifference.Employeeswanttobeim
portant.Iftheyfeeldisregarded,theyloseselfesteem.Employeeswanttolivemean
ingfullivesandaccomplishsomethingimportant.Thisiswhythevision,mission,
andvaluesofanorganizationmustbeseenintheactionsofitsleaders.

Roots of
Engagement

Thecausesandsolutionstodisengagementareasfollows:
Cause1: Being overwhelmed with too many demands, too much confusion, and

Causes and
Solutions
to Disengagement

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4

inadequate resources.Thesolutionistoprioritizeandsimplifytheassignmentofwork
andprovidethesystems,procedures,tools,andsuppliestoperformgoodwork.
Employeesneedarationalworkenvironment.
Cause2: Not being relevant to customer needs because leaders are out of touch,
selfserving, incompetent, or all three.Thesolutionisforleaderstosethighstandardsof

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6 / Understanding People

Employ
eesdonotwanttoriskeconomicsecurityorpersonalwellbeing.Thesolutionisto
createasafeworkenvironmentwherehonesty,effort,andinnovationarerewarded,
andpeoplefeelfreetobethemselves.
Leadership
Cause4: Not knowing the overall plan for the organization, including a strategy to
succeed, and not understanding the importance of ones own role.Thesolutionisfor
customersatisfaction everyemployeetounderstandthevision,mission,andvaluesoftheorganizationand
andtorequire
hisorherplaceintheplan,includingperformanceexpectations,accountabilities,and
unrelentingadherenceto rewards.
thesestandardsbyall
personnel,especiallythe Cause5: Lack of personal ownership causes disengagement.Thesolutionisto
includeallemployeesinboththesuccessandfailureoftheorganization.Perfor
leadershipcorps.
manceandconsequencesmustbesharedinfair,proportional,andtransparent
Cause3: Fear of
waysasallboatsriseandfalltogether.Executiveandemployeewellbeingmust
being hurt
betiedtogether.
personally can
Cause6: Denial of reality and unwillingness to face the truth will result in employee
cause employee
disengagement.Thesolutionisforleaderstoaddressthefacts.Onlywhenthetruthis
sharedwillemployeesletgoofthepastandfocusonthefuture.Focus,traction,and
disengagement.
momentumallbeginwithtruth.
Thefollowingaretimetestedkeysorleadershipactionsforachievingemployeeen
gagement.Thegoalistoengagepeopletogetrealworkdone.
1. Keep people connected through stories and images.Homers Iliadand
Odyssey,abouttheTrojanWar,showthepowerofstories;andAristotlesaid,The
souldoesntthinkwithoutapicture.Agoodwaytocommunicatemeaningiswitha
story,andagoodwaytotellastoryiswithpictures.
2. Create pictures together that liberate the imagination.Thepowerofthe
notepad,pencil,andtwoormoreheadstogetherisenormous.Theplanonanapkin,
theprojectonaposter,andthestoryonthewallareiconsofbusinessinnovationand
achievement.Thinkingtogetherinpicturesisapotentandcreativeengagementtool.
Leadersandemployeesusedata,anecdotes,andgroupdialoguetounderstandthe
past,diagnosethepresent,anddecidethefuture.
3. Gain employee trust through competence and integrity.Peoplegivepowerto
theirleaderswhomustusetheirpowerwellortheywilltakeitaway;oratleast,they
willwithholdallegiance.Aristotletaughtthatleaderscanmaintainthetrustofothers
throughmoralvirtue,unselfishinterest,andrelevantskill.Engagementresultswhen
employeestrusttheintegrityandcompetenceoftheirleaders.
4. Empower people to own business problems.Bothpolicymakersand
actiontakersarepersonallycommittedinengagedcompanies.Engagement
requiresassigningmeaningfultaskstoachieveproductandserviceexcellence,
holdingpeopleaccountableforresults,correctingmistakesthatmayoccur,and
rewardingsuccess.Thisistheessenceofperformancemanagementthatall
leadersmustmaster.
Therearemanymodelsforemployeeengagement.JimHaudansroots,causes,
andsolutions,andkeysofengagementprovideapracticalguidethatcanbeusedto
buildhighmoraleandhighperformanceinanyorganization.Applyingthisguidecan
bedoneinacustomizedwaybyeachleader,casebycase.29

Keys of
Engagement

Emotional Intelligence
ManagementauthorFredFiedlerwrites,Leadershipistheuseofinfluencetoac
complishatask.30ThispointissupportedinWorkingwithEmotionalIntelligence,a
bookthatexplainstheimportanceofunderstandinganddealingwithpeople.Author

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Persuasion

DanielGolemanexplainsthatalthoughtechnicalskillsareimportant, emotional intelligence (EI)istheessentialandindispensablerequirementforeffectiveleadership.


Onepersonmaycallthispracticalwisdom,andanothermaycallitcommonsense
leadership.Nomatterwhatlabelisputontheskill,leadershipsuccessrequiresthe
abilitytounderstandanddealeffectivelywithpeople.31
Inthe1980sHowardGardnerproposedsevendifferentkindsofintelligence.Two

ofthese,interpersonalandintrapersonal,formthebasisofemotionalintelligence.
Interpersonalintelligenceistheabilitytounderstandotherpeoplewhatmotivates
them,howtheywork,andhowtoworkcooperativelywiththem.Intrapersonalintelli
genceisacorrelativeabilityturnedinward.Itistheabilitytoformanaccuratemodel
ofoneselfandtobeabletousethatmodeltooperateeffectivelyinlife.32
Theconceptofemotionalintelligencecanbetracedtoanarticlepublishedby
E.L.Thorndikein1920,IntelligenceandItsUse.33In1973,R.E.Walkerand
J.M.Foleyprovidedareviewofresearchpublishedonsocialintelligenceduringthe
50yearsfollowingThorndikespaper.Theynotedthetwokeyelementsof
Thorndikesdefinitionweretheabilitytounderstandtheneedsofothersandtheability
tobehavewiselyinrespecttoothers.34
Thefollowingstoryisapracticalexampleofemotionalintelligence:
Theownerofafastfoodfranchisewashavingtroublewithemployeeturnover.Themajorityof
hisemployeeswereteenagestudents,andfewwouldremainforanentiresemester.
Inanattempttosolvetheproblem,hesatdownonedayandwrotedowneverythinghe
couldthinkofaboutthem.Henotedthefactthattheywenttoschool;thatmostofthemsought
teacherapprovalandparentalapproval;thattheylikedmoney;thattheywereworkingtobuy
things,butwerethinkingaboutcollege.Mosthadprideintheirschoolgrades,werecompetitive,
andwereworkingtodevelopaworkethic.Allsoughtrecognitionandsomewereworriedabout
thefuture.
Ashestudiedthislist,theownerfocusedhisattentiononcertainwords:money,workethic,
prideingrades,teacherapproval,parentalapproval,competitive,recognition,andcollege.
Thenanideahithim:abonusplanbasedongradepointaverages.Anystudentwhoworks
forawholesemesterandearnsa2.5to3.0GPAwouldbeawardeda15centperhourbonus
forallhoursworkedthatsemester.Theantewouldbeuppedto25centsperhourforstudents
earningbetterthan3.0.
Thecostwassmalllessthan5percentofhispayrollcostsforthetimeperiod.The
advantagesweremany:
Studentswereencouragedtoworkfortheentiresemester.
Thebonusattractedbetterstudents,whotendedtobebetterworkers.
Guidancecounselorsandteachersdidhisrecruitingforhim,recommendinghisrestaurantto
studentslookingforwork.
Parentsencouragedtheirchildrentoworkathisplace.
Greatpublicrelationsfortherestauranthereceivedfreenewspaperandtelevisioncoverage.35

Ahighprofileexampleoftheimportanceofunderstandinganddealingeffectively
withpeopleisthecaseofLouisV.Gerstner,Jr.,formerchairmanandchief
executiveofIBM.By1996,Gerstnerwasleadinghiscompanybacktosuccess,
reboundingfromnearlyadecadeofproblems.36Businessanalystsandmanagement
authorswouldsaythatIBMhadrecommittedtoitscorevaluesofservicetothe
customerandperformanceexcellence,asittooktheeffortsofliterallythousandsof
talentedanddedicatedemployeestocreatearesurgenceofIBM.However,a
particularlyvisiblesuccessfactorwasthe leaderGerstnerspersonalabilitytodeal
withpeople.Inparticular,Gerstnerwaseffectiveinhispersonalappealstomajor
customers.AcaseinpointwasavisittoToronto,whereGerstnerheldaconference
with20topexecutives:
Seatedatahorseshoeshapedtable,anddressedinshirtsleeves,theIBMtopexecutiveheldforth
for90minutesinacasual,butpowerfulpresentation.Therewerenoslides,nocomputerized
overheads,andnopreparedspeech.Gerstnerchattedaboutawiderangeofsubjects,including
thechangesthattechnologyisbringingtobusinessandsociety.MostoftheCEOsintheroom
wereimpressedbytherelevanceofhisdiscoursetotheircompanies.Inthewordsofthe

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chairmanandCEOofRubbermaid,Hewasabletoconnect.LouGerstnerwasfillinga
leadersquintessentialresponsibilityinfluencingkeypeopletothinkandactinwaystobenefit
hisorganization.37

ThelegendaryfounderofFederalExpress,FredSmith,wasabelieverinusing
emotionalintelligencetosolvebusinessproblems.Hetellsaboutasituationwhere
planesweregettingbackedupeventhougheverycontrolmechanismwastried.
Smithrealizedtheunderlyingcausewasemployeesatthecargoterminalwouldrun
latebecauseitmeantmoremoneyforthem.Whatwasthesolution?Aligntheinter
estsoftheemployeeswiththeneedsofthecompany.Employeesweregivenamini
mumguaranteeandtoldiftheyfinishedbeforeacertaintimetheycouldgohome.
Theresultswereremarkablewithinabout45days,theoperationwasaheadof

scheduleandtheproblem tobalanceapeople
people.Theyaredemocraticintheircharacterandshow
wassolved.38
oriented
respectforallpeopleregardlessofpositionorstatus.Theyareappreciative,trustful,
Golemansummarizesthe personalstylewitha
andevengentleintheirdealingswithpeople,althoughsometimesthistraitisbelowthe
characterandabilityof decisivecommandrole surfaceofadignifiedandformalappearance.Golemanemphasizesthatthesuccessful
successfulleaderswiththe
andwillingnesstomake leaderisacaringleaderwhocanunderstandpeopleanddealwiththemeffectively.39
Leadership
284
phrase
difficultdeci
Thereismuchinterestandongoingresearchaboutemotionalintelligence.Elements
niceguysfinishfirst.The sions.Theseleadersdo ofemotionalintelligenceincludeselfawareness,impulsecontrol,persistence,confi
researchonleadership
notduckthetough
dence,selfmotivation,socialawareness,empathy,socialdeftness,andrelationshipman
successshowsthatthebest problemstechnicalor agement.Itisdifficulttosingleoutonetraitasmostimportantbecausedifferentaspects
com
personnel.Theyare
ofemotionalintelligencecomeintoplayindifferentsituations.Oneoverallcharacteris
mands,forces,and
purposeful,decisive,and tic,however,ispersuasiveness.Canyougetbuyinforyourideasfromthepeople
companiesarerunnotby
businesslike;butequally aroundyou?Themosteffectiveleadershaveafinelyhonedabilitytoinfluenceothers.
CaptainAhabtypeswho
characteristic,theyare Toevaluateyouremotionalintelligenceintheworkplace,completeExercise123.
terrorizetheir
positive,
Apopularmodelorganizesemotionalintelligenceintofourdimensionsrepresent
people,butbycaringleaders warm,and
ingtherecognitionofemotionsinourselvesandinothers,aswellastheregulationof
withemotionalintelligence understandingwith
emotionsinourselvesandinothers.SeeTable121.40

Table 121
Dimensions of Emotional
Intelligence

Self-awarenessistheabilitytorecognizeandunderstandthemeaningofones
ownemotions.
Self-managementistheabilitytoregulateonesownemotions,keepingharmful
impulsesincheck.
Social-awarenessistheabilitiytounderstandanotherpersonsemotionsandknow
hisorherneedseventhoughunstated.
Relationship managementistheabilitytogaincooperationandinspireothersas
wellasmanagepotentiallydysfunctionalemotionssuchasangerandfear.

Yourself
(Personal Competence)

Other People
(Social Competence)

Recognition of Emotions

Regulation of Emotions
Sources: D. Goleman, R Boyatzis, and A. McKee, Primal Leadership (Boston: Harvard Business School, 2002), Chap. 3;
and D. Goleman, An EIBased Theory of Performance, in The Emotionally Intelligent Workplace, ed. C. Cherniss and
D. Goleman (San Francisco: Jossey-Bass, 2001), p. 28.

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Exercise 123
What Is Your EI
at Work?41

The following 25 statements represent aspects of emotional intelligence. Using a scale


from 1 to 4 (1 is low; 4 is high), estimate how you rate on each trait.
I usually stay composed, positive, and unflappable, even in trying times.
I can think clearly and stay focused on the task at hand under pressure.
I am able to admit my own mistakes.
I usually or always meet commitments and keep promises.
I hold myself accountable for meeting my goals.
I am organized and careful in my work.
Self-Awareness

Social Awareness

Relationship
I regularly seek outSelf-Management
fresh ideas from a wide variety
of sources.
Management
I am good at generating new ideas.
I can smoothly handle multiple demands and changing priorities.
I am results-oriented, with a strong drive to meet my objectives.
I like to set challenging goals and take calculated risks to reach them.

285

I pursue goals beyond what is required or expected of me in my current job.


I am always trying to learn how to improve my
performance, including asking
advice from people younger than I am.

286

Obstacles and setbacks may delay me a little, but they dont stop me.
Cutting through red tape and bending outdated rules are sometimes necessary.

Leadership

I readily make sacrifices to meet an important


organizational goal.

I seek fresh perspectives, even if that means trying something totally new.

The companys mission is something I understand and


can identify with.

My impulses or distressing emotions dont often get the best of me at work.

The values of my teamor of our division or department,


or the company
influence my decisions and clarify the choices I make.

I can change tactics quickly when circumstances change.

I actively seek out opportunities to further the overall


goals of the organization
and enlist others to help me.
267

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Pursuing new information is my best bet for cutting down on uncertainty and
finding ways to do things better.
I usually dont attribute setbacks to a personal flaw (mine or someone elses).
I operate from an expectation of success rather than a fear of failure.

Scoring and Interpretation:


Add your ratings for all 25 items:

. A score below 70 indicates a need for

Copyright201TeMcGawHlCompnis,I.Arghtdev

improvement. Remember, however, that EI is not a permanent state. As Goleman notes in


Emotional Intelligence and Working with Emotional Intelligence: Emotional intelligence can
be learned, and we can each develop it, in varying degrees, throughout our lives. Personal
coaching, plenty of practice, and frequent feedback are particularly effective at developing
EI. It is part of the process called maturity.42

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12 / Human Behavior and the Art of
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Developing
Emotional
Intelligence in the
Work Setting

An Understanding
of People

Mostjobsinvolvesocialinteractionwithcoworkersandcustomers.Researchshows
thatpeoplewithhighEIarebetteratinterpersonalrelationsandperformbetterin
teams.43Humanrelationsandteamworkcanbeimprovedthroughemotionalintelli
gencetrainingasthefollowingcaseshows:
GeneralMotorscarefullyselectedstaffforitsnewHoldenproductionfacilityatPort
Melbourne,Australia,butitwasntlongbeforetheprojectunraveledduetoinfightingand
interpersonaltensions.Consultantscalledintoanalyzetheproblemsofferedthefollowing
solution:Employeesneedtoimprovetheiremotionalintelligence.Withthisadvice,the30plant
designteammembersandmorethan300otheremployeescompletedadetailedassessmentof
theiremotionalintelligence.Theautomakerthenintroducedavarietyoftrainingmodules
targetingdifferentaspectsofemotionalintelligence,suchaseffectiveselfexpression,
understandingothers,andcontrollingemotions.
Somestaffwereskepticalaboutthesetouchyfeelyseminars,soGMHoldenevaluatedthe
programtoseewhetheremployeescoresimprovedandbehaviorchanged.Thecompany
discoveredthatemployeescoresontheemotionalintelligencetestimprovedbyalmost
50percentandthatemployeesbecamemuchmorecooperativeanddiplomaticintheir
behavior.Ithasgreatlyimprovedcommunicationwithintheteamandwithotherteams
outsidetheplant,saysGMHoldenqualitysystemsengineerVesselkaVassileva.Some
employeesalsonotethatithasimprovedtheirinterpersonalbehavioroutsidetheworkplace.
Imnotsoaggressiveorassertive,saysmanufacturingengineerAlfMoore.Ifeelbetter
anditshelpedmeathome.44

The Art of Persuasion


Thesuccessfulleadermustmastertheelementsoftheartofpersuasionincluding
(1) an understanding of people,(2) the effective use of words,and(3) the
ability
to manage conflict.
NapoleonBonapartewasamasterofpersuasionbecauseheunderstoodpeople.The
secretofhisleadershipwassimple:Hefirstdeterminedwhatpeoplewantedmost;
thenhedideverythinginhispowertohelpthemgetit.Mostofustakejustthe
oppositetack:Wefirstdecidewhatwewant;thenwetrytopersuadeotherstowant
thesamethingasbadlyaswedo.Napoleonalwayskeyedhispleatowhathisarmy
wantedmostatthemoment:
Whenhisarmywashalfstarved,Napoleonpromisedthemfoodinexchangeforvictory.When
theywerehomesickandthinkingofdeserting,heappealedtotheirpridebyaskingthemhow
theywantedtoreturnhome:asconqueringheroesorwiththeirtailstuckedbetweentheirlegs?
WhentheywerefightinginEgyptunderthepyramids,heappealedtotheirsenseofhistory:
Fortycenturiesarelookingdownuponyou,hetoldthem.Helpingotherstoachieve their
goalsthatistheessenceofleadership.45

Contrarytomyth,Napoleonwasnotexceptionallyshort.Hewasfivefeetsixinches,
slightlytallerthantheaverageFrenchmanofhisday.ItwastheEnglishwhoalleged
hewasfivefeettwoinchesandseekingpowertocompensateforbeingshort.
Understandingothersrequiressensitivitytotheirneeds.Theabilitytosee
thingsfromtheotherpersonsviewisimportantinallhumanrelations,
especiallyleadership.VinceLombardiwasfamousforhisbeliefsoncoaching:
Coacheswhocanoutlineplaysonachalkboardareadimeadozen.Giveme
aleaderwhocangetinsidehisplayers,findtheirtalents,readtheirminds,and
motivatethem.46
Americasthirtysixthpresident,LyndonJohnson,recognizedthatpeopledo
whattheydofortheirownreasons,andheaccomplishedhisgoalsbyhelping
othersachievetheirs.Inherbook Lyndon Johnson and the American Dream,
historianDorisKearnsGoodwindescribeshowJohnsoncouldusuallypersuade
peopletodowhathewanted.

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The Politics of Seduction


From facts, gossip, observationa multitude of disparate elementsLyndon
Johnson shaped a composite mental portrait of every senator: his strengths
and his weaknesses: his place in the political spectrum; his aspirations in the

Senate, and perhaps,


agent of the oil
never have occurred to the senator, but he was unlikely
beyond the Senate; how industry, a wheel horse to deny Johnsons description of his desireafter all, it might be interesting, a
far he could be pushed, in of the party, or
relaxing change, even fun; and perhaps some of the businesses in his state had
what
a President of the
expressed concern about Japanese competition.
direction, and by what Leadership
United States.
Johnsons capacities for control and domination found their consummate
means; how he liked his
Johnson would, for
manifestation during his private meetings with individual senators. Face to
liquor; how he felt about
instance, explain to a face, behind office doors, Johnson could strike a different pose, a different
his wife and his family;
senator that,
form of behavior and argument. He would try to make each senator feel that
and, most important, how
Although five other his support in some particular matter was the critical element that would affect
he felt about himself. For senators are clamoring the well-being of the nation, the Senate, and the party leader; and would also
Johnson understood that for this one remaining serve the practical and political interests of the senator. From his own insistent
the most important
seat on the
energy, Johnson would create an illusion that the outcome, and thus the
decision each senator
congressional deleresponsibility, rested on the decision of this one senator.
made, often
gation to Tokyo, I just
Then too, Johnson was that rare American man who felt free to display intiobscurely, was what kind might be able to swing macy with another man, through expressions of feeling and also in physical
of senator he wanted to
it for you since I know closeness. In an empty room he would stand or sit next to a man as if all that
be; whether he wanted to how
were available was a three-foot space. He could flatter men with sentiments of
be a national leader in
much you really want it. love and touch their bodies with gestures of affection. The intimacy was all the
education, a regional
Itll be tough, but let me more excusable because it seemed genuine and without menace. Yet it was
leader in civil rights, a
see what I can do. The also the product of meticulous calculation. And it worked. To the ardor and
social magjoys
the bearing of this extraordinary leader, the ordinary senator would almost
nate in Washington, an
of visiting Tokyo may
invariably succumb.47

288

The Effective Use


of Words

Vocabulary,clarity,andeloquencecanbeusedtopersuadeotherstotakeaction,
especiallyindifficulttimes.Leaderscaninspirewithaphrase:
Ofthepeople,bythepeople,forthepeopleAbrahamLincoln
TheonlythingwehavetofearisfearitselfFranklinRoosevelt
Asknotwhatyourcountrycandoforyouaskwhatyoucandoforyour
countryJohnF.Kennedy
ThesemotivationalwordsareetchedinthememoriesofmostAmericans.
Intimesofcrisis,theconvictionofaleaderconveyedbyhisorherwordscanbe
adeterminingfactorinthecourseofevents.ConsiderthetenacityoftheEnglish

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peopleduringWorldWarII,inspiredbyadeterminedWinstonChurchillwhobraced
Britonstotheirtask.ChurchilltoldhispeoplethateventhoughallofEuropemayfall
totheGermanonslaught:
Weshallnotflagorfail.Weshallgoontotheend.Weshallfightintheseasandoceans,we
shallfightonthebeaches,weshallfightonthelandinggrounds,weshallfightinthefields
andinthestreets,weshallfightinthehills;weshallneversurrender.48

Churchillexpressedhisnationsgratitudetoitsairmenwho,althoughoutnumbered,
foughtbravelyanddefeatedtheGermanLuftwaffe,bysaying,Neverinthefieldof
humanconflictwassomuchowedbysomanytosofew.ThenChurchilldeclared:
Letusthereforebraceourselvestoourduties,andsobearourselvesthat,iftheBritish
EmpireanditsCommonwealthlastforathousandyears,menwillsay,Thiswastheirfinest
hour.49

Abouttheimportanceofwordsandthepowerofpersuasion,Churchillsaid,If
youhaveanimportantpointtomake,donttrytobesubtleorclever.Useapile
driver.Hitthepointonce.Thencomebackandhititagain.Thenhititathirdtimea
tremendouswhack!50
Churchillisamongtheselectgroupofindividualswhosenamehasbecomesyn
onymouswithhistoric,indeedheroic,leadership.Hiseffectiveuseofwordscannotbe
overestimated.
Themostrecenteditionofthe Oxford English Dictionarycontains171,476words

incurrentusage,amongthemostofanylanguage.Butitisnotthenumberofwords
youknowthatcounts,itishowyouusethewordsyouknow.
Oneofthebestexamplesofthepowerofwordstoinspirepeopleandpersuadethem
toactionisthatofPatrickHenry,revolutionaryandpatriot,whoproclaimedin1775:
Islifesodear,orpeacesosweet,astobepurchasedatthepriceofchainsandslavery?Forbid
it,AlmightyGod!Iknownotwhatcourseothersmaytake;butasforme,givemeliberty,or
givemedeath!51

DaytodayleadersareunlikelytofacethemagnitudeofchallengesthatWinston
Churchilldid;nonetheless,theyarestillrequiredtocommunicatetheirideasandinspire
theirsubordinates.TheymaynothavetheskillwithwordstothedegreethatPatrick
Henrydid,buttheystillmustbeconvincinginconveyinginformationandeffectivein
generatingemotion.Someabilitytocommunicatecanbelearnedinagoodcourseon
publicspeakinganddevelopedfurtherwithpractice.However,moreimportantthantech
niqueisto speak the truthand speak from the heart.Thesetwoprinciplesarerequired
forcredibilityandtrust,thefundamentalelementsofsuccessfulleadership.Thebestad
vicetotheleaderistoforgetpersonalego.Instead,concentrateontheaudience.Consider
whatisimportanttothem,andaddresstheirinterestshonestly,directly,andtothepoint.
ThepowerofspeakingfromtheheartisperfectlyillustratedinthecaseofCivil
WarleaderJoshuaLawrenceChamberlain,herointhedefenseofLittleRoundTop
duringtheBattleofGettysburgin1863.MichaelUseem,authorof The Leadership
Moment,describesturningpointsinhistorywhentheactionsofleadershavechanged
allthatfollowed.UseemcitesGettysburg,LittleRoundTop,andthewordsofCham
berlain,recreatedbyMichaelShaarain The Killer Angels,toshowtheimportanceof
leadershipmoments.52
InSeptember1862,JoshuaLawrenceChamberlainlefthisfamilyanda
respectedteachingpositionatBowdoinCollegetoserveintheUnionArmy
duringtheAmericanCivilWar.HebecamethecommanderoftheTwentieth
Maineandwouldbetheleaderofthisunitduringoneofthebloodiestbattlesof
thewarGettysburg.
ThefirstfewyearsofthewarhadnotgonewellforUnionforces.Theywerenowfac
ingthesecondinvasionoftheNorthbyConfederatetroops.Moralewassolowthatsome
forcesactuallyrefusedtofolloworders.Whilemovingintopositionforthebattle,some
ofthemutineersfromtheSecondMaineregimentwereorderedtoreporttoChamberlain.

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OnJuly2,1863,ChamberlainsforcesformedthesouthernflankoftheUnion
armylocatedonLittleRoundTop.Ifhistroopscouldnotholdtheirposition,Con
federateforceswouldthenbeabletocausetheentirecenteroftheUnionarmyto
collapse.TheleadershipshownbyChamberlainandthecourageofhisMaine
troopsprovedtobeaturningpointinthebattle,andtherefore,theentirewar.
ComingattheTwentiethMainewasahardenedConfederateregimentof700men
underthecommandofWilliamC.Oates.OatessFifteenthAlabamaattackedand
reattackedChamberlainsdefensiveflank,withbothsidesgainingandgiving.After
twolonghoursandfiveattacks,theUnionlineremainedunbroken.
WhenOatespulledhisregimentbacktoregroupafinaltime,thesurvivingsoldiersof
theTwentiethMainehadexhaustedtheirammunition.Chamberlainknewhecouldnot
withstandanotherattack,soheorderedhisremainingforceof200mentotaketheof
fensivewiththeonlyweaponstheyhadavailablebayonets.Hiscommandtocharge
stymiedtheConfederatearmyatLittleRoundTop.Oateswouldlaterwrite,There
neverwereharderfightersthantheTwentiethMainemenandtheirgallantcolonel.
AcriticalfactorintheoutcomeatLittleRoundTopwasthetotalnumberofmen
Chamberlainhadinhiscommandandthebraverytheyshowed.Manyofthesemen
wereformerlymutineersoftheSecondMaine;allofthemrespondedtoChamberlains
leadershiphiscalltoarmssocompellinglymade.

Chamberlains Request of Maine Mutineers


to Join His Twentieth Maine Regiment
This Regiment was formed last fall, back in Maine. . . . Some of us volunteered
to fight for the Union. Some came in mainly because we were bored at home
and this looked like it might be fun. Some came because they were ashamed

not to. Many of us came history of the world. were fighting for, in the
because it was the right Were an
end, is each other.
thing to do.
army going out to
I think if we lose this fight the war will be over. So if you choose to come
This is a different kind set other men free.
with us Ill be personally grateful.53
Leadership
of army. If you look at
Here you can be
history youll see men
something.
fight for
Heres a place to
pay, or women, or some
build a home. It
Aleaderwhospokefromtheheartandbuilthisvocabularytobemorepersuasive
other kind of loot. They
isnt the
wastheAfricanAmericanideologicalandreligiousleaderMalcolmX.
fight for land, or
landtheres
because a
always more land.
king makes them, or just Its the idea that we
The Autobiography of Malcolm X
because they like killing. all have value, you
But were here for
and
Every book I picked up had sentences that contained anywhere from one to
someme, were worth
nearly all of the words that might as well have been in Chinese. When I just
thing new. This hasnt
something more
skipped those words, of course, I really ended up with little idea of what the
happened much in the
than the dirt. What
book said. So I had come to the Norfolk Prison Colony still going through only

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book-reading motions. Pretty soon, I would have quit even these motions, unless I had received the motivation that I did.
I saw that the best thing I could do was get hold of a dictionaryto study,
to learn some words. I was lucky enough to reason also that I should try to improve my penmanship. It was sad. I couldnt even write in a straight line. It was
both ideas together that moved me to request a dictionary along with some
tablets and pencils from the Norfolk Prison Colony school.
I spent two days just riffling uncertainly through the dictionarys pages. Id
never realized so many words existed! I didnt know which words I needed to
learn. Finally, just to start some kind of action, I began copying. In my slow,
painstaking, ragged handwriting, I copied into my tablet everything printed
on that first page, down to the punctuation marks. I believe it took me a day.
Then, aloud, I read back to myself, everything Id written on the tablet. Over
and over, aloud to myself, I read my own handwriting.
I woke up the next morning, thinking about those wordsimmensely proud
to realize that not only had I written so much at one time, but Id written words
that I never knew were in the world. Moreover, with a little effort, I also could remember what many of these words meant. I reviewed the words whose meanings I didnt remember. Funny thing, from the dictionarys first page right now,
that aardvark springs to my mind. The dictionary had a picture of it, a longtailed, long-eared, burrowing African mammal, which lives off termites caught by
sticking out its tongue as an anteater does for ants.
I was so fascinated that I went onI copied the dictionarys next page.
And the same experience came when I studied that. With every succeeding
page, I also learned of people and places and events from history. Actually
the dictionary is like a miniature encyclopedia. Finally the dictionarys A section had filled a whole tabletand I went on into the Bs. That was the way
I started copying what eventually became the entire dictionary. It went a lot
faster after so much practice helped me to pick up handwriting speed. Between what I wrote in my tablet, and writing letters, during the rest of my
time in prison I would guess I wrote a million words.
I suppose it was inevitable that as my word base broadened, I could for the
first time pick up a book and read and now begin to understand what the
book was saying. Anyone who has read a great deal can imagine the new
world that had opened. Let me tell you something: from then until I left
prison, in every free moment I had, if I was not reading in the library, I was
reading on my bunk. You couldnt have gotten me out of books with a wedge.

Between Mr. Muhammads teachings, my correspondence, my visitorsusually


Ella and Reginaldand my reading of books, months passed without my even
thinking about being imprisoned. In fact, up to then, I never had been so truly
free in my life.
I have often reflected upon the new vistas that reading opened to me. I
knew right there in prison that reading had changed forever the course of my
life. As I see it today, the ability to read awoke inside me some long dormant
craving to be mentally alive. Not long ago, an English writer telephoned me
from London, asking questions. One was, Whats your alma mater? I told
him, Books.54
Source: From The Autobiography of Malcom X by Malcom X, with the assistance of Alex Haley. Copyright 1964
by Malcom X and copyright 1965 by Alex Haley and Betty Shabazz. Reprinted by permission of Random
House, Inc.

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Rhetoric in a
Nutshell

The Ability to
Manage
Conflict

Rhetoricistheuseoflanguagetoinfluenceothers.Itistheartofargumentand
theresultispersuasion.TheancientGreeksconsideredrhetorictobeanessential
skillofleadership,andtheyplaceditatthecenterofeducation.Rhetorictaught
themhowtospeakandwritepersuasively.AftertheGreeksinventedit,rhetoric
helpedRomanoratorslikeJuliusCaesarandCiceroandeveninspiredShake
speare.Americasfoundingfathersstudiedrhetoric,andtheyuseditsprinciples
inwritingtheConstitution.
Thethreeissuesofrhetoric(andpersuasion)areblame,values,andchoice,and
thesearetimegradedinthepast,present,andfuture.Blameisaboutwhoisresponsi
ble,valuesareaboutwhatisright,andchoiceisaboutdecidingthefuture.
Aristotleidentifiedthreetoolsofrhetoric:Tool1ethosisargumentby
character;tool2logosisargumentbylogic;tool3pathosisargumentby
emotion. Ethos, logos,and pathosappealtothegut,brain,andheartofpeople.
Theguttellsuswhoandwhatwecantrust,thebrainsortsoutthefacts,andthe
heartmakesuswanttodosomething.Thesethreetoolsformtheessenceof
effectivepersuasion.
Effectiveleadersmatchthetoolsofrhetorictothefivesensesoftheaudience.For
ethosorcharacter,theyusemostlysight(seeingisbelieving).For logosorlogic,they
usemostlysound.For pathosoremotion,theyusemostlysmell,taste,andtouch.
Theyemploythesetoolsandsensesinthemostadvantageoussequence.Aruleof
thumbis: ethosfirstgaintheirtrust; logossecondgaintheirminds; pathos
thirdgaintheirhearts.
Effectiveleadersstartbygainingthetrustoftheaudience.Theydothisthrough
sharedvalues,goodsense,andunselfishconcernforthewellbeingofothers.Then
theystatethefactsandmakethecaseforacourseofactionbyprovingpointslogi
cally.Thentheygaincommitmentthroughpatriotism,anger,pride,oranyotheremo
tionthatleadstoaction.Thissequencecanbedoneeasilyin15minutesandevenas
shortas2minutes.
Toreview:Blame,values,andchoicearetheissuesofrhetoric;ethos,logos,and
pathosarethetoolsofrhetoric.Theeffectiveleaderisamasterofrhetorictosupport
hisvaluesandachievehisgoals.55
Conflictingpurposesandpersonalitiesareinevitableindealingwithpeople,andtheyare
partofthenormalfunctioningofahealthygroup.Withoutknowledgeandskillinman
agingconflict,theleaderwillfailtoachieveherorhisfullpotential.56Therearemany
strategiesfordealingwithconflict.Thefollowingpointsshouldberemembered:57

itismoreaboutwhatdifferentpeopleneedandwant.Ifeveryonesneedsare
satisfiedreasonablyandeveryoneswantsareconsideredfairly,conflictcanbea
conflictasanagentfor
giftofenergythatcanresultinanewandbetterconditionforall.
change,creatingbeautifulbeaches,canyons,andpearls. Animportantissuetoaddressis,Doallpartieswanttoresolvetheconflict,and
Leadership
Wecanviewconflictaseitheraproblemoran
willallsidestrywithgoodwilltosettletheirdifferences?Iftheanswerisno,
292
thebestcourseistoagreetodisagree,invitethirdpartyresolution,andwalk
opportunity.Wecandwellonthe
separatepaths.Everystudentofhistoryknowsthatwaristheunacceptable
negativeoraccentuatethepositive.Bychoosing
alternative.
optimismoverpessimism,wecan
Ifpeoplewanttoresolvetheconflict,ithelpstoreframetheproblem.Reframing
beenergizedbyeventsandfocusedinourefforts.
Dealingwithconflicteffectivelyisrarelyaboutwhois canbedonebyhavingeachpersonseethingsfromtheotherpersonspointof
view.Seethingsfromthecustomersstandpoint,theemployeeseyes,orthe
rightandwhoiswrong;
Recognizethatconflictisnatural;indeed,natureuses

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ownersperspective.Insodoing,eachpartyrestatestheproblemfromtheother
personsstandpoint.Thisprocessoftenprovidesthebreakthroughneededfor
constructivedialogueandtheresolutionoftheproblem.
Theeffectiveleaderknowsthatconflictisaninevitablefactofhumanlife,thatno
twopeoplewillseeeyetoeyeoneveryissueallthetime,andthatwhatisneededis
creativeconflict,notdestructiveconflict.
Indealingwithconflict,peoplefallintohabitsandpatternsbyplacingdifferent
emphasisoncooperativenessandassertiveness. Cooperativenessisthedesiretosatisfy
anotherpersonsneedsandconcerns; assertivenessisthedesiretosatisfyonesown
needsandconcerns.Figure124showsfivestylesofconflictthatresultfromvarious
combinationsofcooperativenessandassertiveness.58
High
Figure 124
Styles of Conflict59

Accommodation
Seeking harmony
at all costs

Avoidance
Denying conflict
exists

Collaboration
Seeking solutions
for mutual benefit

Compromise
Bargaining to minimize
losses

Domination
Winning through
intimation

Low

Low

Degree of Assertiveness

High

AvoidanceBeingbothuncooperativeandunassertive,downplayingdisagreement,
withdrawingfromthesituation,andstayingneutralatallcosts.Avoidancepretends
thataconflictdoesntreallyexist.
AccommodationBeingcooperativebutunassertive,lettingthewishesofothers
rule;smoothingoveroroverlookingdifferencestomaintainharmony.Accommodation
playsdowndifferencesandhighlightssimilaritiestoreduceconflict.
DominationBeinguncooperativebutassertive,workingagainstthewishesof
others,engaginginwinlosestrategies,andforcingothersthroughtheexerciseof
authority.Dominationusesforce,skill,orauthoritytowinaconflict.
CompromiseBeingmoderatelycooperativeandassertive,bargainingforacceptable
solutionsinwhicheachpartywinssomeandlosessome.Compromiseoccurswhen
eachpartytotheconflictgivesupsomethingofvaluetotheother.
CollaborationBeingbothcooperativeandassertive,tryingtosatisfyeveryones
concernsasfullyaspossiblebyworkingthroughdifferences,findingandsolving
problemssothateveryonegains.Collaborationinvolvesworkingthroughconflict

differencesandsolvingproblemssothateveryonewins.

294

Thevariousstylesofconflictcanhaveverydifferentoutcomes.Conflictby
avoidanceandconflictbyaccommodationoftencreateloselosesituations.Noone
achievesonestruedesires,andtheunderlyingreasonsforconflictoftenremain.
Conflictbydominationandconflictbycompromisetendtocreatewinlose
situations.Inextremecases,onepartyachievesitsdesirestothecompleteexclusion
oftheotherpartysdesires.Trustandgoodwillaretwocommoncasualties.

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DegrofCaptivns

Collaborationseekstoreconcileunderlyingdifferences.Itresultsinwinwin
situationswhereissuesareresolvedtothemutualbenefitofallparties.Collaboration
offersthebestchanceofreachingmutuallysatisfactorysolutionsbasedontheideas
andinterestsofallparties,andofmaintainingandstrengtheningrelationships.
Collaborationisthemostpreferredofthestylesofconflict.60
Topersonalizetheconceptofstylesofconflict,completeExercise124.

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Exercise 124
Styles of Conflict61

295

Consider how you behave in conflict situations. In the space to the left of each statement,
write the number that indicates how likely you are to respond in the manner indicated:
1 very unlikely; 2 unlikely; 3 likely; 4 very likely.

1. I am firm in pursuing my goals.


2. I try to win my position.
3. I give up some points in exchange for others.
4. I feel that differences are not always worth arguing about.
5. I try to find a position that is intermediate between the other persons and
mine.
6. I am considerate of the other persons wishes.
7. I show the logic and benefits of my positions.
8. I consider the merits of all points of view.
9. I try to find a fair combination of gains and losses for both parties.
10. I try to achieve maximum benefit for all parties.
11. I try to avoid unpleasantness for myself or others.
12. I try to soothe the other persons feelings and preserve our relationship.
13. I attempt to get all concerns and issues out in the open.
14. I avoid taking positions that would create controversy.
15. I try not to hurt others feelings.

Total the numbers assigned to items 6, 12, and 15 for your accommodation score:

Scoring:

296

Total the numbers assigned to items 1, 2, and 7 to find your


Leadership
domination score:
Total the numbers assigned to items 8, 10, and 13 to find your
collaboration score:
Total the numbers assigned to items 3, 5, and 9 to find your
compromise score:
Total the numbers assigned to items 4, 11, and 14 to find your
avoidance score:
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Interpretation:
Research indicates that each style has a role to play in work situations but that the best
overall approach is collaboration. Only collaboration can lead to problem solving that is
most beneficial to all parties, resulting in true conflict resolution. You should consider any
patterns that may be evident in your scores and think about how to best handle the
conflict situations in which you become involved. Remember, collaboration involves
working through differences and solving problems so that everyone wins.62

Toexercisetheartofpersuasion,aleadermustconsidereachpersonasan
individual,learnwhatmotivatesthatperson,andthenacttosatisfypersonalneeds
whileatthesametimeaccomplishingthegoal.Thisprocessrequiresanunderstanding
ofpeople,theeffectiveuseofwords,andtheabilitytomanageconflictessential
skillsoftheleaderwhohasdevelopedemotionalintelligence.63

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Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

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The Diversity Challenge


CHAPTER

13
hecharacterofU.S.culturehasreceivedmuchattentionfromhistorians,
sociologists,andotherscholars.Characteristicsoriginallyidentifiedbyanthropol
ogistshavebeenconfirmedbylargescaleempiricalandcrossculturalstudies.
TheU.S.mainstreamcultureisconsistentlydescribedasbeingindividualistic,egalitar
ian,pragmatic,hardworking,actionoriented,databased,andamenabletochange.64

IfthereisoneadditionalwordthatcharacterizesAmericasculture,thatwordis
diversity.PeopleofHispanic,African,andAsianheritagenowconstituteatleast35
percentofallnewworkers,andhalfofallnewemployeesarewomen.65TheU.S.
workforceiscomposedofmoreminorities,recentimmigrants,andwomenthanever
before,andthispatternisexpectedtocontinueintheyearstocome.Currently,two
thirdsofglobalmigrationisintotheUnitedStates.
Inaddition,businesshasbecomeincreasinglyglobal,soleadersarechallengedto
dealeffectivelywithawidevarietyofpeopleandcustoms.Thecrossculturalleader
mustbepatient,understanding,willingtolearn,andflexible.Allthesecharacteristics
arepartof cultural sensitivity,anawarenessofandawillingnesstoinvestigatethe
reasonspeopleofanothercultureactastheydo.66
ResearchersAdlerandBartholomewhaveidentifiedfivecompetenciesneededby
crossculturalleaders:(1)understandingbusiness,political,andculturalenviron
mentsworldwide;(2)knowingthetastes,trends,andtechnologiesofothercultures;
(3)workingsimultaneouslywithpeoplefrommanydifferentcountries;(4)adapting
tolivingandtravelinginforeignlands;and(5)learningtorelatetopeoplefromother
culturesonthebasisofequalityandmutualrespect.67
Table131presentsasamplingofappropriateandinappropriatebehaviorsina
varietyofcountries.Itisimportanttoemphasizetheword sensitivitybecausecultural
stereotypesdonotalwaysapplywitheveryindividual.Thecaringleaderknowsthat
eachpersonmustbeconsideredasauniqueindividual,casebycase.
Protocol Dos and Donts68
Table 131
Europe

Dos

Great
Britain
France

Italy
Spain

DO hold your fork (tines pointed down) in the left hand


and your knife in the right hand throughout the meal.
DO say please and thank youoften.
DO be punctual for appointments.
DO shake hands (a short, quick pump) when greeting,
being introduced, and leaving. Only close friends kiss
cheeks.
DO write business correspondence in Italian for priority
attention.
DO make appointments between 10 A.M. and 11 A.M.,
or after 3 P.M.
DO write business correspondence in English, unless
your Spanish is impeccable.
DO take business lunches at 2:30 P.M. and dinner at 9
P.M.
or 10 P.M. Be prepared to dine until midnight or later.

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Donts

DONT ask personal questions. The British protect their privacy.


DONT gossip about royalty.
DONT expect to complete any work during the French
two-hour lunch.
DONT try to do business during Augustles vacances
(vacation time).
DONT eat too much pasta, as it is not the main course.
DONT hand out business cards freely. Italians use them
infrequently.
DONT expect punctuality. Your appointments will arrive 20
to 30 minutes late.
DONT make the American sign for OK with your thumb
and forefinger. In Spain, this sign is vulgar.
Continued
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Table 131 Continued


Asia
Japan
China
Korea

DO find a highly respected third party to act as your

DONT attempt to get a deal going by directly approaching


a target who is below the top level in the organization.
introducer
DONT use black borders because in China, black is associated
to the lower-ranking person with whom you need to work. with death.
DO print your business cards and stationery without
DONT say no. Koreans feel it is important to have visitors
black borders.
leave with good feelings.
DO say yes, perhaps, or I will carefully consider
your suggestion.
Mexico and Latin America

Mexico

DO meet two or three times before expecting to

Brazil

consummate
a deal.
DO create a good impression by expressing an interest in
the
Portuguese language.

DONT fly into a Mexican city in the morning and expect to


close a deal by lunchtime.
Dont attempt to impress Brazilians by speaking a few words
of Spanish; Portuguese is the official language of Brazil.

29

Othercrossculturaldontsinlcude:InBuddhistcultures,nevertouchsomeones
head,whichisbelievedtobesacred;inMuslimcultures,nevertouchoreatwiththe
lefthand,whichisthoughttobeunclean;inGermanyorSwitzerland,dontpoint
yourfingertowardyourselfitinsultstheotherperson.

Leadership

A Brief History of Diversity


DiversityisnotanewissueintheAmericanworkplace.Fromthelate1800stothe
early1900s,mostofthegroupsthatmigratedtotheUnitedStateswerefromItaly,
Poland,Ireland,andRussia.Membersofthesegroupswereconsideredoutsidersbe
causetheydidnotspeakEnglish.Theystruggled,oftenviolently,togainacceptance
inindustriessuchascoal,steel,automobiles,insurance,andfinance.
Aslateasthe1940s,andinsomecaseslaterthanthat,collegesroutinelydis
criminatedagainstimmigrants,Catholics,andJews,establishingstrictquotasthat
limitededucationandemploymentprospects.Itwasntuntilthe1960sthatthe
struggleforacceptancebythevariouswhiteethnicandreligiousgroupshadonthe
wholesucceeded.
ThemostdifficultstruggleforequalityhasinvolvedAmericasnonwhiteminori
ties.RigidsegregationremainedafactofAmericanlifefor100yearsaftertheCivil
War,andracialdiscriminationineducation,employment,andhousingthroughout
theUnitedStateswasaharsh,dailyreality.
Then,in1954,theunanimous Brown v. Board of EducationSupremeCourtdeci
siondeclaredsegregationunconstitutional,settingthestagefortheCivilRightsAct
of1964.ManyrightsallAmericanstakeforgrantedtodayequalemployment
opportunity,fairtreatmentinhousing,theillegalityofreligious,racial,andsex
discriminationreceivedtheirgreatestimpetusfromthecivilrightsmovement.
ThetraditionalAmericanimageofdiversityisoneofassimilation.TheUnited
Statesisidealizedasameltingpotoftheworld,aplacewherereligious,ethnic,
andracialdifferencesareblendedintoanAmericanidentity.AsallAmericansknow,
thisjourneyisfilledwithchallenges,setbacks,and,yes,victoriestoo.69

Managing Diversity
Mostlargecorporationstodayaremultinationalfirmsthatmaintainmanufacturing,
marketing,service,oradministrativeoperationsinmanydifferentcountries.Infact,
virtuallyallofthe500largestU.S.industrialcorporationsmaintainoperationsinmore
thanonenation.Knowingtheculturaltendenciesofbusinesspartners,competitors,and

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customersisimportantforsuccess.Forexample,fortraditionalNavajos,enculturatedas
collectivists,savingmoneyisadishonorableactofselfishness.Asuccessfulsalespitch
forindividualretirementaccountswillbetailoredtothebenefitsforthefamily,notfor
theindividual.70
Onthebasisofcommonlanguage,geography,religion,andhistory,10distinct
culturalclustersemerge:Anglo,LatinEurope,NordicEurope,GermanicEurope,
EasternEurope,LatinAmerica,MiddleEast,SubSaharanAfrica,SouthernAsia,and
ConfucianAsia.
Leadershipcharacteristicsandtheneedsoffollowersvaryacrossculturesinthe
areasofvaluebasedleadership,teamorientedleadership,participativeleadership,
humaneleadership,independentleadership,andselfprotectiveleadership.Thema
jorityofU.S.employeespreferthefirstfourandopposethelasttwocharacteristics
ofleadership.71
Leadershipitselfisvaluedtodifferentdegreesacrosscultures.TheDutchplace
emphasisonegalitarianismandareskepticalofthevalueofleadership.Termslike
leaderand managercarryastigma.Ifafatherisemployedasamanager,Dutchchil
drenarereluctanttoadmitittotheirschoolmates.72
Althoughdiversityisthenewreality,manyleadersareunpreparedtohandleit.
Oftentheirpreviousexperienceshavenotcoveredthekindsofsituationsthatarisein

todaysmulticulturalsettings.73Oneshortexamplegivesdiversityahumanperspec
tive,showinghowdifficultitcanbeforemployerandemployeeaswell:
AnAmericannursingsupervisorgaveadirectivetooneofherFilipinonurses,andthesupervisor
wantedittobedonestat!Forthesupervisor,thatmeantnow,immediately,beforeanythingelse.
TheFilipinonurse,meaningnodisrespectbutwithadifferenttimeorientation,completedwhat
shehadbeendoingandthencompliedwiththesupervisorsrequestfivetotenminuteslater
thanexpected.Tothenurse,statmeantsoon.Afewminutesdelaywasacceptable.Shecould
completeherworkinashorttime,thentakecareofthesupervisorsrequest.Shecertainlydid
notseeherbehaviorasinsubordinate.Thesupervisorsawthissituationdifferently.Thenursewas
eithercasualaboutherdutiesordisrespectfulofauthorities.74

Inadditiontodifferentperceptionsabouttime,peoplecanhavedifferentideasabout
workhabits,communicationpatterns,socialroles,andamyriadofotherworkplace
issues.Forexample,employeemotivationpracticescontinuetoreflectwhitemale
experiencesandattitudes.Someofthesemethodscanbehighlydysfunctionalwhen
appliedtowomenortoAfricanAmericans,Asians,Hispanics,orNativeAmericans.
Considerafewexamples:75

AmanagerwaspleasedwithanewbreakthroughachievedbyoneofhisNative
Americanemployees.Therefore,herecognizedherwithgreatfanfareandpersonal
praiseinfrontofalltheotheremployees.Humiliated,shedidntreturntoworkfor
days.
Afterlearningthatafriendlypatonthebackwouldmakeemployeesfeelappreciated,
amanagertookeverychancetopathissubordinates.HisAsianemployees,who
hatedbeingtouched,avoidedhimliketheplague.
Anewemployeeswife,anEasternEuropean,stoppedbytheofficewithabottle
ofchampagne,fullyexpectingeveryonepresenttostopandcelebrateherhusbands
newjob.Whenpeoplemerelysaidhelloandthenreturnedtowork,shewas
mortified.Herhusbandquitwithinafewdays.

Aninterestingfindingisthatsomequalitiesareuniversallyendorsedascharacter
isticsofoutstandingleaders,andsomeattributesareuniversallyviewedasobstacles
foreffectiveleadership.Positivequalitiesincludetrustworthiness,intelligence/skill,
andmotivationalability.Negativequalitiesincludedishonesty,incompetence,and
egocentricity.Acrossallcultures,thequalitiesofintegrity,knowledge,andinterper
sonalskillarevalued.76
Dealingwithdiversityeffectivelymeansbehavinginawaythatcreatestrustand
respectamongpeople,andgainsbenefitsfromtheirdifferences.Ananalogymakes

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A Class Divided

thepointwell:Ifyouwereplantingagardenandwantedtohaveavarietyofflowers,
youwouldneverthinkofgivingeveryflowerthesameamountofsun,thesame
amountofwater,andthesametypeofsoil.Instead,youwouldcultivateeachflower
accordingtoitsneeds.Neithertherosenortheorchidismoreorlessvaluable
becauseitrequiresuniqueorspecialtreatment.77
Leadersofdiverseworkgroupsmaywonder,HowcanIpossiblylearnaboutall
thesepeople?Theansweristhatalthoughyoucantlearnallthereistoknowabout
everyculture,themoreyouknow,themoresuccessfulyouwillbe.Inaddition,
peoplewillappreciateyourefforts.
Itcanbedifficulttochangethehabitsofpeople.Thoseinpowerhaveestablishedor
beenrewardedbyconditionsastheyare,sothereisatendencytoresisteffortsto
change.Avideothatcanraiseconsciousness,influencepeopletovaluediversity,and
helpbuildcommunityis A Class Divided.
A Class Dividedisadramaticaccountofanexperimentonprejudiceperformedby
gradeschoolteacherJaneElliot,inwhicheyecolorbecomesthebasisfordiscrimi
nation.Thisthemeisplayedoutintheadultworldaswellwithliveinteractionina
prisoninstitution.Thetwoprimarylessonsare(1)torecognizetheevilofdiscrimina
tion,and(2)torealizethepoweroftheselffulfillingprophecywherebybeliefscan
createreality.Theprescriptionforthevieweristoadoptan eyes-level approachinall
humandealingsneverlookupandneverlookdownatanyoneonthebasisofage,
race,sex,oranyotherphysicalattribute.Also,becausepeopletendtofulfilltheex
pectationsofothersandliveupordowntotheirimage,stackthecardsandexpectthe
best.Onascaleof1to10,thisvideoisa10forimpact,connectingonahumanplane
withallaudiences.

In2010,JaneElliotreportedonher40yearquest torememberthewordsof
tostampoutprejudiceandcru
NathanRutstein,socialjusticeadvocateandauthorof Healing Racism in America,
eltyinhumanrelations:spottysuccessinanever
Prejudiceisanemotionalcommitmenttoignorance.78
endingbattle.Shepointstothe
evilsofracism,sexism,andnationalismthatharm
Leadership
30
Diversity Prescription
humanbeingsthroughoutthe
world,sayingitisaglobalproblem.Elliotstatesthat, Today,diversityreferstomorethanrace,religion,gender,andethnicity.Itisabroad
Toooften,peoplejudgeothers
termthatencompassesmanydifferences,includingage,disabilitystatus,military
basedonwheretheyliveandwhattheylooklike
experience,sexualorientation,economicclass,educationallevel,personalitycharac
withoutknowinganythingabout
teristics,andlifestyle.Intheenlightenedworkplace,thereisaphilosophyofpluralism
themasindividuals.Shebelievesnooneisborna andarelentlessefforttoeliminateracism,sexism,ageism,andotherdiscriminations.
bigotandthereisnogenefor
Wherethisoccurs,allpeoplehavereasontobelievethattheyareacceptedandrespected
racism.Shebelievesall ismsarelearnedresponses andthattheirvoiceswillbeheard.Theprescriptionistoturnwallsinourmindsand
andyouhavetobetaughttohate
heartsintobridgesthatjoinandmakeastructurethatisstrongerthanitsindividual
someone.Hersolutioniseducation.Sheencouragesus cells.Theprescriptionistovaluediversityasastrength.Tothatend,remember:

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Allpeopleshouldbetreatedwithrespectanddignitywemusthavean eyes-level
approachratherthanan eyes-upor eyes-downapproachinourdealingswithpeople,
regardlessofsocialstatus.
Everypersonshouldmodelandreinforceanessentiallydemocraticcharacterand
humanisticapproachtolife.
Valuingdiversityprovidesstrengthandapositiveadvantagefororganizations
operatinginmulticulturalenvironments.

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In The New Leaders: Guidelines on Leadership Diversity in America,AnnMorrison


reportstheresultsofherstudyondiversitypracticesinU.S.basedprivateandpublic
organizations.Thepracticesconsideredmostimportantare:
1. Top managements personal involvement.
2. Targeted recruitment.
3. Internal advocacy groups.
4. Emphasis on Equal Employment Opportunity statistics.
5. Inclusion of diversity in performance evaluations.
6. Inclusion of diversity in promotion decisions.
7. Inclusion of diversity in management succession.
8. Diversity training groups.
9. Networks and support groups.
10. Work and family policies that support diversity. 79

Manycompanieshaveembracedtheconceptofdiversityandhavemadeenormous
effortstocapitalizeonthestrengthsofadiverseworkforce.Considertheexperiences
ofAppleComputer.

Apple Computer
Apple has been able to incorporate diversity at every level of the organization.
Key components include:
Communicationbetween employees and senior management about diversity issues. For example, African American employees meet with upper-level
officers to discuss empowerment strategies, networking, and ways to assist
the company in meeting its business goals.
Involvementwith multicultural communities through company-sponsored
and employee volunteer groups.
Celebrationof multicultural holidays and events. Festivities are open to
everyone, and these are held on the corporate campus.
Recruitmentof talent from multicultural communities. Apple has formed
ongoing relationships with minority, womens, and disability-oriented

organizations.
Educationabout the meaning and benefits of diversity. Each manager is
provided guidance that outlines what constitutes good management behavior from a multicultural perspective.
These programs and others have raised diversity as a highly visible issue at
every level of the corporation.80

Forthesecondtimeinthreeyears,Verizonhasrankednumberoneon DiversityInc
magazinesTop50CompaniesforDiversity.Minoritiesmakeup35percentofVeri
zons230,000employeesand38percentofmanagementpositions.MagdaYrizarry,
vicepresidentofworkplacecultureanddiversity,states,Asacompany,weserve
wideanddiversemarketsandpeople;sofromourleadershiptoourfrontlineemploy
ees,weunderstandandvaluediversity.Verizonisamodelemployerandareflection
oftheincreasingdiversityofpeoplelivingintheUnitedStatesandinmanyother
countries.81

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Benefits of Diversity
Thefollowingarebenefitsorganizationsreceivebyvaluingandmanagingdiversityas
anasset:increaseinworkforcecreativity;broaderrangeofknowledgeandskill;bet
terdecisionsbasedondifferentperspectives;betterservicesprovidedtodiversepop
ulations;abilitytorecruitexcellenttalentfromtheentirelaborpool.Metaanalyses
oftherelationshipbetweendiversityandoutcomesshowthatdiversitycanprovide
organizationswithacompetitiveadvantagewhenitisusedinselectingandcompos
ingworkteams.Farfrombeingastumblingblock,diversityintheworkplacecanbe
aspringboardforopportunityandexcellence.82

Diversity Strategies and Techniques


Thefollowingarestrategiesandtechniquesthatcanhelpindividualsandorgani
zationsmanagediversityeffectively.83

Connectwithandvalueyourownculture.Assesshowyourbackgroundtranslates

intoyourownlifestyle,values,andviews.
Thinkabouthowitfeelstobedifferentbyrememberingtimeswhenyoufeltthat
youwereintheminority.Examinehowyoufeltandtheimpactonyourbehavior.
Trytounderstandeachpersonasanindividual,ratherthanseeingthepersonasa
representativeofagroup.
Participateineducationalprogramsthatfocusonlearningaboutandvaluing
differentcultures,races,religions,ethnicbackgrounds,andpoliticalideologies.
Makealistofheroesinmusic,sports,theater,politics,business,science,andso
forth.Examineyourlistforitsdiversity.
Learnaboutthecontributionsofolderpeopleandpeoplewithvisual,hearing,or
otherimpairments.Considerhowtheircontributionshavehelpedusall.
Learnaboutotherculturesandtheirvaluesthroughtravel,books,andfilms,and
byattendinglocalculturaleventsandcelebrations.
Continuallyexamineyourthoughtsandlanguageforunexaminedassumptionsand
stereotypicalresponses.
Includepeoplewhoaredifferentfromyouinsocialconversations,andinvitethem
tobepartofinformalworkrelatedactivities,suchasgoingtolunchorattending
companysocialevents.
Whendealingwithpeople,trytokeepinmindhowyouwouldfeelifyourposi
tionswerereversed.

What Individuals
Can Do

What Organizations
Can Do

30
304

Leadership
Leadership

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Includeemployeesfromavarietyofbackgroundsindecisionmakingandproblem
solvingprocesses.Usedifferencesasawayofgainingabroaderrangeofideas
andperspectives.
Developstrategiestoincreasetheflowofapplicantsfromavarietyofbackgrounds.
Forexample,ifyoucommonlyrecruitstudentsfromcollegecampuses,ensurethat
thestudentpopulationsrepresentadiversityofbackgrounds.
Lookforopportunitiestodevelopemployeesfromdiversebackgroundsandprepare
themforpositionsofresponsibility.Tellthemabouttheoptionsintheirpresent
careers,aswellasothercareeropportunitieswithintheorganization.
Showsensitivityinthephysicalworkenvironment.Displayartworkandliterature
representingavarietyofcultures,andmakestructuralchangestoensureaccessibility.
Formagrouptoaddressissuesofdiversity.Invitememberswhorepresentavariety
ofbackgrounds.

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Implementtrainingprogramsthatfocusondiversityintheworkplaceprograms
designedtodevelopagreaterawarenessandrespectfordifferences.
Payattentiontocompanypublicationssuchasemployeenewsletters.Dotheyreflect
thediversityofideas,cultures,andperspectivespresentintheorganization?
Evaluateofficialrules,policies,andproceduresoftheorganizationtobesureall
employeesaretreatedfairly.
Developmentoringandpartneringprogramsthatcrosstraditionalsocialandcul
turalboundaries.
Talkopenlyaboutdiversityissues,respectallpointsofview,andworkcoopera

tivelytosolveproblems.
Exercise131canbeusedtodevelopunderstandingandappreciationoftherich
varietyofindividualsinagroup.Ithighlightstheuniquenessofeachpersons
experiencesandthespecialtalentseachpersonhas.

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Exercise 131
The Diversity Wheel

305

Form discussion groups whose members reflect the diversity one might encounter in the
workplace. Using the topics in the Diversity Wheel, group members, one at a time, may
share information on a particular topic with other members. As each topic is discussed,
members can learn to understand and respect others points of view, backgrounds, and
cultural differences.

Most
school
attended
High

Best skill/
talent

Favorite
music/art

306

Military
experience

influential
book

Personal
motto to
live by
Favorite
food

Leadership

Job/
profession
Diversity
Wheel

Birthplace/
birth order

Most
Current
goal in life

Most
unusual
interest/

Best friend

influential
teacher/
leader

attribute

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

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Why Tolerance Is Important


Toleranceisimportantbecauseintolerancecanleadtodiscrimination,anddiscrimination
canhaveharmfuleffects.PutyourselfintheshoesofwriterpsychiatristAlvinPoussaint:
Awhitepolicemanyelled,Hey,Boy,comehere.Somewhatbothered,Iretorted:Imnoboy.He

thenrushedatme,inflamed,andstoodtoweringoverme,snorting,Whatdjasay,Boy?Quickly
hefriskedmeanddemanded,Whatsyourname,Boy?Frightened,Ireplied,Dr.Poussaint.Ima
physician.Heangrilychuckledandhissed,Whatsyourfirstname,Boy?WhenIhesitated,he
assumedathreateningstanceandclenchedhisfists.Asmyheartpalpitated,Imutteredinprofound
humiliation,Alvin.Hecontinuedhispsychologicalbrutality,bellowing,Alvin,thenexttimeIcall
you,youcomerightaway,youhear?Youhear?Ihesitated.Youhearme,Boy?84

Poussaintwashumiliatedand,inhiswords,psychologicallycastrated.Frustra
tionandpowerlessnessareburdensprejudicedpeoplemayintentionallyorunknow
inglyplaceonothers.Poussaintwasthevictimofdiscriminationbornofintolerance.
Foranexampleoftheproblemofprejudice,considertheexperienceofgolfingcham
pionTigerWoods:Ibecameawareofmysocialidentityonmyfirstdayofkindergarten.
Agroupofsixthgraderstiedmetoatree,spraypaintedthewordniggeronme,and
threwrocksatme.Thatwasmyfirstdayofschool.Itwasaneyeopeningexperience,
beingjustfiveyearsold.WeweretheonlyminorityfamilyinallofCypress,California.85
Mostpeoplewouldagreethatthedirectionofprogressistowardassimilationand
multiculturalism(pluralism).Forprogresstooccur,theretrulymustbesocialtoler
ance.Theneedforsocialtoleranceiscapturedbestinthefollowingstory:

The Cold Within


Alexander Pope
Sixhumanbeingsweretrappedoneday
Inblackandbittercold.
Eachonepossessedastickofwood,
Orsothestorystold.
Withdyingfireinneedoflogs,
Thefirstoneheldhersback;
Forofthefacesaroundthefire,
Shenoticedonewasblack.
Thenextonelookingacrosstheway
Sawonenotofhischurch,
Andcouldntbringhimselftogive
Thefirehisstickofbirch.
Thethirdonesatintatteredclothes;
Hegavehiscoatahitch.
Whyshouldhegivewoodtouse
Towarmtheidlerich?
Therichestmansatbackandthought
Ofthegoldhehadinstore,
Andhowtokeepwhathehadearned
Fromthelazy,shiftlesspoor.
Theblackmansfacebespokerevenge
Asthefirepassedfromhissight;
Forallhesawinhisstickofwood
Wasachancetospitethewhite.
Andthelastmanofthisforlorngroup
Didnaughtexceptforgain.
Givingonlytothosewhogave
Washowheplayedthegame.

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Thelogsheldtightindeathsstillhands
Wasproofofhumansin.
Theydidntdiefromthecoldwithout;
Theydiedfromthecoldwithin.86

Can People Change?


Onceattitudesform,canpeoplechange?Isitpossibletochangebehaviorintheareas
oftoleranceanddiscrimination?ConsiderthestoryofClaiborneP.Ellis.

Ku Klux Klan to
becoming the
regional business
A manager of the
ttLeadership
International Union
it of Operating
u Engineers.
d The story illustrates
e a series of attitude
s changes. Ellis began
C by hating blacks,
and Catholics,
a Jews,
and ended by
n evaluating
C members of these
h groups based
a on their individual
n behavior.
g
Ellis was born in
Durham, North
e
Carolina. His
Claiborne P. Ellis
family struggled
describes his journey
constantly
with poverty, and
from childhood to
many of his early
becoming president
memories involve
of the Durham, North
the economic
Carolina, chapter of the
depres-

30

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sion of the 1930s. He was very close to his father, who worked during the
week in a textile mill, but drank a great deal on weekends. When C.P. was
around 17 years old, his father died. C.P. had to leave school to help support
his family. He took a series of low-skilled jobs and eventually borrowed $4,000
to buy a service station. By then he had married and was working my butt off
and just never seemed to break even. Two months before the final loan payment was due, he had a heart attack. Despite his wifes efforts, the service station was lost. He had been taught to abide by the law, go to church, do right
and live for the Lord, and everything will work out. But it didnt work out. The
continuing failure to lift his family into minimal economic security turned a
smoldering bitterness into hatred. He wanted to blame something or someone for his failures and soon found a convenient group as a target.
While Ellis owned the service station, he was invited to join the Ku Klux
Klan. It was an opportunity he seized eagerly because, It gave me an opportunity to be part of something. Not only did he enjoy belonging to a group,
but also his long-standing sense of inferiority began to disappear. His father
had been a member of the Klan, and Ellis was well versed in their attitudes.
The Klan hated blacks, Jews, and Catholics. And so did Ellis. He quickly rose
through various offices to the presidency of the local chapter. Because the civil
rights movement was becoming active in Durham at this time, Elliss hatred
was directed mostly at blacks. In particular, he despised a woman named Ann
Attwater, who seemed involved in every boycott and demonstration he went
to watch.
Although the Klan is notorious for protecting the anonymity of its members, Ellis unashamedly brought the local chapter out into the open. He began
attending meetings of the city council and county commissioners to represent
the Klans point of view. He and his group had numerous confrontations
with representatives of the black community at various board meetings.

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13 / The Diversity Challenge

Members of these boards would not publicly agree with the attitudes of the
Klan, but many privately shared these views. The people who called to praise
him also avoided him in public. While searching for an explanation for this inconsistency, Ellis began to reconsider his role. It struck him that he was being
used. As a result of our fighting one another, the city council still had their
way. They didnt want to give up control to the blacks, nor to the Klan. It was
at this point that Ellis recalled doing some real serious thinkin. Although he
was becoming convinced of the correctness of his beliefs about being used, he
could not persuade other Klansmen. He had to struggle with the inconsistency
on his own, and it caused him many a sleepless night.
During this period, a critical event occurred. The state AFLCIO received a
federal grant to assist them in finding solutions to the racial problems in the
public schools. To his amazement, Ellis was asked to join a citizens panel to
discuss these problems. As soon as he learned that members of the black community would also be invited, he refused the invitation by saying, I am not
going to be associated with those types of people. On a whim, however, he
attended the first evening meeting. Many of the participants, including Ann
Attwater, were familiar to him because of past confrontations. The moderator
of the meeting was a black man who encouraged everyone to speak freely.
During the meeting, Ellis did just that, repeating his extreme anti-black attitudes. To his surprise, some of the black members who did not agree with a
single one of his attitudes praised him for his honesty in expressing his views.
Elliss involvement in the group began to grow. On the third night, with backing from some of the black participants, he was elected co-chairperson of the
group along with Ann Attwater.
Despite mutual reluctance, Ellis and Attwater agreed to put aside their personal differences and to work together toward the common goal of finding

solutions. Through their joint work, they began to see many similarities between themselves. Their efforts to recruit more panelists from among members
of their respective groups were met with the same suspicion and rejection.
Furthermore, the children of both had come home from school in tears. Elliss
child was ridiculed by his teacher for being the son of a Klansman, while
Attwaters child was ridiculed by her teacher for being the daughter of an activist. The discovery of such commonalities and their joint work led Ellis to a
feeling of respect and liking for Attwater. Through their leadership, the panel
agreed on a number of resolutions. Although the school board did not implement all of them, the panel members had worked together effectively.
Elliss attitudes did not change immediately. His initial justification for working on the panel was that school integration was the law and that all people
should be law-abiding. In the hope of implementing the panels recommendations, he ran for the school board. He was still associated with the Klan, but
he did not campaign for Klan themes. His platform was simply that before
making any decisions, he would listen to the voice of all of the people. The
campaign brought him into contact with many blacks. At long last, he began
seeing people as individuals. With this change came a sense of rebirth. He no
longer had sleepless nights and enrolled in an evening program that resulted
in his receiving a high school equivalency diploma. During this period, he helped
to organize the first labor union at his place of employment. When the opportunity arose, he gladly switched his career to labor union work, where he felt he
could help the poor, both black and white.87

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Communication
across
Genders

Gender Diversity in the Workplace


Diversitytakesmanyforms,andoneofthemostobviousisgender.Theparticipation
ofwomenintheworkplacecontinuestoincrease.Todaysleadersmustaddressthe
changingcompositionoftheworkforceandthespecialneedsofwomen.
Oftheapproximately150millionpeopleemployedintheUnitedStates,almost
half(46.7percent)arewomen.88WiththechangingroleofwomeninAmericansoci
etyfromwifeandmother,towifeandmotherandcareerpersonaswell,therehas
beenamergingofthesexesintheworkplace.Thishasbroughttheneedforbetter
understandingbetweenmenandwomenasworkassociates.Communicationplaysan
importantpartinthisequation.
In You Just Dont Understand: Women and Men in Conversation,linguistDeborah
Tannenbuildsastrongcaseforherhypothesisthatboysandgirlsgrowupindiffer
entworldsofwords.Tannennotesthatboysandgirlsplaydifferently,usuallyin
samesexgroups,andthattheirwaysofusinglanguageintheirgamesareseparated
byaworldofdifference:
Boystendtoplayoutside,inlargegroupsthatarehierarchicallystructured.Theirgroupshavea
leaderwhotellsotherswhattodoandhowtodoit,andresistsdoingwhatotherboyspropose.
Itisbygivingordersandmakingthemstickthathighstatusisattained.Anotherwayboys
achievestatusistotakecenterstagebytellingstoriesandjokes,andbysidetrackingor
challengingthestoriesandjokesofothers.Boysgameshavewinnersandlosersandelaborate
systemsofrulesthatarefrequentlythesubjectsofarguments.Finally,boysarefrequentlyheard
toboastoftheirskillandargueaboutwhoisbestatwhat.
Girls,ontheotherhand,playinsmallgroupsorinpairs;thecenterofagirlssociallifeisher
bestfriend.Withinthegroup,intimacyisthekey,anddifferentiationismeasuredbyrelative
closeness.Intheirmostfrequentgames,suchasjumpropeandhopscotch,everyonegetsaturn.
Mostofgirlsactivities,suchasplayinghouse,donothavewinnersorlosers.Althoughsomegirls
arecertainlymoreskilledthanothers,theyareexpectednottoboastaboutit,orshowthatthey
thinktheyarebetterthantheothers.Girlsdontgiveorders;theyexpresstheirpreferencesas
suggestions,andsuggestionsarelikelytobeaccepted.Whereasboyssay,Gimmethat!andGet
outtahere!girlssay,Letsdothis,andHowaboutdoingthat?Anythingelseisputdownas
bossy.Theydontgrabcenterstageusually,theydontwantitsotheydontchallengeeach
otherdirectly.Muchofthetime,theysimplysittogetherandtalk.Girlsarenotaccustomedto
jockeyingforstatusinanobviousway;theyaremoreconcernedwithbeingacceptedandliked.
Girlslearnthatbydisplayingdifferences,theyjeopardizeacceptancebytheirpeers.Theystriveto
appearthesameas,notbetterthan,theirfriends,thuscreatingpowerthatisdeadeven.In
contrast,boys,fromtheearliestage,learnthattheycangetwhattheywanthigherstatusby
displayingdifferences,especiallysuperiority,thereforefavoringhierarchicalpower.89

Tannenbelievesdifferencesdevelopedinchildhoodcastalongshadowintoadult

hood.Whenmenandwomentalktoeachotherabout
troubles,forexample,thereisa
potentialproblembecauseeachexpectsadifferent
response.Menmayignoreor
avoiddealingwithfeelingsandemotions,preferring
Leadership
31
insteadtoattackunderlying
causes.Women,expectingtohavetheirfeelings
supported,maymisconstruemens
aggressiveapproachandfeelthattheythemselvesare
beingattacked.Ingeneral,
wheremenseekstatus,womenseekconnection.90
Tannenexplainsthatfromchildhood,thereisa

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tiontonegotiatestatus;womentalktocreaterapport.Theclashofthetwostylescan
leadtofrustrationinpersonalrelations,ofcourse,butintheofficeaswell,fromthe
femalemanagerwhofeelssheisntheardinmeetings,tothemaleexecutivewhois
baffledwhenhisgrufforderssparkresentmentoranger.91
Tothequestion,Whotalksmore,womenormen?seeminglycontradictoryevi
denceisreconciledbydifferencesbetweenpublicspeakingandprivatespeaking.
Mengenerallyaremorecomfortabledoingpublicspeaking,whereaswomenusually
feelmorecomfortabledoingprivatespeaking.Anotherwayofcapturingthesediffer
encesisbyusingtheterms report talkand rapport talk.Formostmen,reporttalkis
primarilyameansofpreservingindependenceornegotiatingandmaintainingstatus
inahierarchicalsocialorder.Totheman,talkisforinformationthatcanequateto

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Women in
Leadership
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power.Formostwomen,thelanguageofconversationisprimarilyalanguageofrapport.
Tothewoman,talkisforinteractionthatcanequatetolove.Tellingthingsisawayto
showinvolvement,andlisteningisawaytoshowsheisinterestedandcares.92
Itisinterestingtonotehowtermsusedintraditionallymalesportspermeatethe
languageoftheAmericanworkplace:Whenyour teamison offense,youllneeda
strategyto score.Thismayincludean end runaroundthe oppositionanda knockout
punch.Whenthe ball is in your court,itstimeto step up to batand hit a home run.
Whenyouareplaying hardball,youllneeda game planto get the ball rollingsoyou
can get to first base.Youmayhaveto punt, pass the ball,and touch baseswith teammates,or tackletheproblemyourself.Yourgoalmaybethe whole nine yards,butbe
carefulnotto step out of bounds.Ifyou strike out,youmayhaveto throw in the
towel;butifyouwin,youcanmakeitintothe big leagues.
Whatshouldwedoaboutdifferencesinthewaymenandwomencommunicate?
Shouldwomentrytochangetobemorelikemen,orviceversa?Neitherchangeis
theanswer.Itisimportanttosimplyrecognizethatnaturaldifferencesexist.When
peopledontknowtherearedifferencesincommunicationstyles,andthattheyare
formedinthenormalcourseofgrowingup,theyendupattributingcommunication
problemstosomeonesbadintentionsorlackofability.93
Historically,womeninhighleadershippositionshavecomefromnonprofitorgani
zations,educationalinstitutions,andpublicoffice;increasingly,theycomefromthe
businessworld.Censusdatarevealthatwomenconstitute15.7percentofthecorpo
rateofficerranksofFortune500companies.Duringthepastdecade,womenhave
startedbusinessesattwicetherateofmen,andtoday44percentofsmallbusinesses
intheUnitedStatesareownedoroperatedbywomen.Womennowconstitutenearly
halfofthemanagerialworkforce.94Ingovernment,womenserveinagrowingnum
berofleadershipcapacities,including12percentofstategovernors,17percentof
U.S.senators,and16.8percentofmembersoftheU.S.HouseofRepresentatives.95
TheCenterforCreativeLeadershiphasidentifiedsixsuccessfactorsforwomenin
highleadershippositions:

Help from above.Womeninhighlevelsofleadershiphavetypicallyreceivedthe


supportofinfluentialmentors.
A superior track record.Heldtohighstandards,executivelevelwomenhaveusu
allymanagedeffectivelyandhavedevelopedanexcellentrecordofperformance.
A passion for success.Seniorlevelwomenhavebeendeterminedtosucceed.They
workedhard,seizedresponsibility,andachievedtheirobjectives.
Outstanding people skills.Successfulwomenexecutivestypicallyutilizeparticipa
tiveleadership,employeeempowerment,andopencommunicationtofostertrust
andhighlevelsofmoraleamongsubordinates.
Career courage.Successfulwomenleadershavedemonstratedcouragetotake
risks,suchastakingonhugeresponsibilities.
Mental toughness.Seniorlevelwomenareseenastenacious,demanding,and
willingtomakedifficultdecisions.96

Metaanalysisandindividualstudiesshowthatwomenleaderstendtobemorepartic
ipativeandlessautocraticinleadershipstylethanmaleleaders,andthisapproachiswell
suitedtomiddlemanagementpositionsintwentyfirstcenturyorganizations.Analysisof
leadershipeffectivenessshowsthatfemaleandmaleleadersdonotdifferinoveralleffec

tiveness,althoughthereremainsaslighteffectivenessadvantageformaleleadersinmas
culinedomainsandfemaleleadersinfemininedomains.97Comparisonstudiesbetween
menandwomenshowessentialsimilarityinmotivationtobealeader,jobsatisfaction,
andemployeesatisfaction.However,researchshowswomenarelesslikelytopromote
themselvesandinitiatenegotiationforopportunities,resources,andadvancement.98
Althoughwomenhavemadeprogressinattainingandbeingsuccessfulinleadership
roles,Figure131showsthateachrungontheresponsibilitypyramidisprogressively
moredifficulttoclimb.Ateachlevel,ahigherpercentageofwomenaresidetracked.99

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Figure 131
Long-Term Perspective on
Change: Few New Cracks
in the Glass Ceiling100

Sources: U.S. Bureau of Labor Statistics, 2008 Catalyst,


Statistical Overview of Women in the Workplace, 2009.

Severalfactorscansidetrackwomenintheworkplace.Theglassceilingisa
catchphrasefortheimpedimentswomenfaceastheyseektopleadershippositions.
Sidetrackingmechanismsinclude:

Lack of encouragement.Womenareoftenignoredinthegroomingofexecutives
forseniorleveljobs.Menaremoreoftenmovedaroundandcrosstrainedwithin
thecompanytolearnaboutdifferentaspectsofthebusiness.101
Lack of opportunity followed by disillusionment.Inanationalpollofmiddle
managementwomen,71percentreportednothavingthesamechancesforpromo
tiontotopexecutivejobsastheirmalecounterparts.Oncethere,unequal
rewardscanbeademotivator.Atthemanageriallevel,onaverage,forevery
dollarearnedbywhitemen,whitewomenearn74cents,AfricanAmerican
womenearn58cents,Hispanicwomenearn48cents,andAsianandother
womenearn67cents.102
Closed corporate culture.Manywomenwhoentertheexecutivesuitedosoby
modelingestablishedbehaviorpatternsandmanagementcustoms.Thosewhodo
notconformfindthatthealternativeistoleavetheorganization.103
Womens ghettos and the feminization of jobs on the corporate staff.Somewomen
acceptorareshuntedintostaffjobsthataredifficulttoexchangeforlinejobs,
wheresalariesandresponsibilitiesareusuallygreater.Manyofthesestaffjobsare
devoidofresponsibilityforfinanceandoperations,twoimportantdisciplinesfor
seniorleaderstomaster.104
Demands of parenthood.Inthemajorityoffamilies,womenarethefirstlineof
defenseinraisingchildren.Whentheschoolcallsorachildisill,itisusuallythe
motherwhoresponds.Womenexperiencemorecareerinterruptionsthanmen,largely
becausetheyassumemoredomesticresponsibility.Thedemandsoffamilylifecan
105

Double standards.Womenmayhavetobemorecompetentthanmentobe
acceptedbythedominantgroup.Thisdoublestandardcanbeseenwhenmistakes
madebymalesaretolerated,butmistakesmadebyfemalesarenottolerated,and
when,tobeselectedorpromoted,awomanmustbeclearlysuperiortoeverymale
candidate.106

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Anexampleofgenderbiasandacreativesolutionisseenintheevaluationofmen
andwomenauditioningforsymphonyorchestras.Traditionallymaledominated
orchestrasmadeonechange:allapplicantswererequiredtoauditionwhilehidden
behindascreen.Thissmallchangegreatlyincreasedtheproportionoffemalemusi
ciansinsymphonyorchestras.107

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Empiricaldatashowthatthenumbersofwomenintheworkforceandinleadership
positionsaregrowing.Genderstereotypingremains,however,andthisoftenleadsto
biasedjudgment.Genderstereotypescanaltertheperceptionandtreatmentofwomen
innegativeways.Womenwithselfconfidenceintheirabilities,commitmenttoachieve
theirgoals,andthehelpofindividualsinhigherpositionsareincreasinglysuccessfulin
overcominggenderstereotypes.108TheexamplesofCEOAnneMulcahyandPresident
UrsulaBurnsofXeroxareinspirationalandinstructive;seewww.xerox.com.
Formoreinformationaboutwomenintheworkplace,visittheWebsiteforthe
WomensBureauoftheU.S.DepartmentofLabor:www.dol.gov/wb/.Seealsothe
WebsiteoftheNationalAssociationforFemaleExecutives:www.nafe.com.

Generational Differences
Oneimportantdimensionofdiversityisagedifference.Leading,following,and
workingacrossgenerationsisachallengeforpeopleofallages.Itisdifficultforolder
peopletorealizethisaboutyoungerpeople:Theydonotknowwhat Sputnikis;
TiananmenSquaremeansnothingtothem;theydontrememberthe1960s,letalone
the1950s.Itisdifficultforyoungerpeopletorealizethisaboutolderpeople:They
grewupbeforeMTV,AIDS,themicrowave,andtheiPod.
Manylabelsandtimeperiodshavebeenusedtoidentifyemployeesacrossgenera
tionalcohortssincemanagementauthorandspeakerMorrisMasseyproducedhis
influentialandhelpfulvideoseriesin1970,WhatYouAreIsWhereYouWere
When,designedtobridgethegapbetweenpeopleofdifferentages.Todayscohorts
andtheirdifferentattitudesandexpectationsare:(1) Baby boomers,bornbetween
1946and1964,seemtoexpectanddesiremorejobsecurityandaremorefocusedon
economicandsocialstatusthanyoungercohorts;(2) Generation Xemployees,born
between1965and1979,expectlessjobsecurityandaremotivatedmorebywork
placeflexibility,theopportunitytolearn(especiallynewtechnology),andegalitari
anismandfunorganizations;(3) Generation Yemployees,bornafter1979,are
noticeablyselfconfident,optimistic,multitasking,andmoreindependentthaneven
Generation Xworkers.Thesestatementsdontapplytoeveryoneineachcohort,but
theydoreflectshiftingvaluesandexpectationsacrossgenerationsinsocietytoday.109
Indealingwithyoungergenerations,olderpeopleshouldrememberwhentheirown
behaviortestedthetoleranceandoftenthepatienceoftheirelders.Thosewholived
valuebasedlivesofresponsibility,courage,andjustice,butwererelaxedaboutsuchmat
tersofstyleasmusicanddress,wererolemodelsfordealingwithyoungpeopletoday.
Fortheirpart,youngpeopleshouldadopttheexampleofprincipledlivingandap
requireenormousenergyandtimethatmayinterferewithbusinessperformance.
preciationforgenerationaldifferencesshownbyallenlightenedpeople.Theresultwill
besocialstructuresthatenjoytheknowledgeandwisdomofolderpeople,aswellas
thespiritandvitalityofyoungergenerations.Howcanthishappen?Notbylegislation,
edict,orforce;butbytheunderstandingandrespectfulbehaviorofeachindividual.

Leadership, Diversity,
and Personal Example
Leadershipplaysapivotalroleindealingwithdiversity.Tobemosteffective,leaders
should:

Empower others.Sharepowerandinformation,solicitinput,andrewardpeopleon
thebasisofperformance,withoutregardtorace,gender,age,personality,jobclas
sification,andsoon;encourageparticipationandshareaccountability.
Develop people.Provideopportunitiesforgrowth,andthenmodelandcoach

desiredbehaviors;delegateresponsibilitytothosewhohavethe
abilitytodo

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Value diversity.Viewdiversityasanasset;understanddiverseculturalpractices;
facilitateintegrationamongpeople;helpothersidentifytheirneedsandoptionsto
beproductivecontributors.
Communicate.Clearlycommunicateexpectations,askquestionstoincreaseunder

standing,andshowrespectthroughlistening;developcommunicationacross
culturalandlanguagedifferences;provideongoingfeedbackwithsensitivityto
individualdifferences.110
Theeffectiveleaderhasan integrativeapproach.Thisinvolvesbringingtogether
peopleofdifferentcultures,races,genders,personalities,andstagesofdevelopment,
andintegratingthemintoawholethatisgreaterthanthesumofitsparts.Thisinte
grationisnotsimplyameltingdownprocess;rather,itisabuildingupinwhichthe
identityoftheindividualispreserved,yetsimultaneouslytranscended.Theeffective
teamthatresultsdoesnoteliminatediversity.Instead,itwelcomesotherpointsof
view,embracesopposites,andseekstounderstandallsidesofeveryissue.
Asimportantasleadershipis,inthefinalanalysis,itfallsoneachpersontodothe
rightthing.In The Measure of Our Success,MarianWrightEdelmanwrites:
Rememberthatthefellowshipofhumanbeingsismoreimportantthanthefellowshipofrace
andclassandgender.Bedecentandfairandinsistthatothersbesoinyourpresence.Dont
tell,laughat,orinanywayacquiescetoracial,ethnic,religious,orgenderjokes,ortoany
practicesintendedtodemeanratherthanenhanceanotherhumanbeing.Walkawayfromthem;
starethemdown;makethemunacceptable.Throughdailymoralconsciousness,faceuptorather
thanignorevoicesofdivision.Rememberthatwearenotallequallyguilty,butweareall
equallyresponsibleforbuildingadecentandjustsociety.111

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Part Six Summary


AfterreadingPartSix,youshouldknowthefollowingkeyconcepts,principles,and
terms.Fillintheblanksfrommemory,orcopytheanswerslistedbelow.
BusinessleaderLeeIacoccasprescriptionforsuccessfocuseson
(a),,and,withtheemphasison
(b)asthemostimportantaspectoftheformula.Psychological
determinantsofbehaviorincludefivehumanneedsidentifiedbyAbrahamMaslow
needsfor(c),,,
,and.Therearemanyprinciplesofhuman
motivation,including(d),,,and
.Leadershipsuccessrequirestheabilitytounderstandpeopleand
dealwiththemeffectively,andthisrequires(e),atermdeveloped
byDanielGoleman.Elementsoftheartofpersuasioninclude(f),
,and.Effectivespeakingrequiresspeakingfrom
the(g).Managingconflictmosteffectivelyrequires
(h),versusavoidance,accommodation,domination,andeven

compromise.TheAmericanworkplaceisincreasinglydiverseandincreasinglyglobal;
thusleadersarechallengedtodealwithawidevarietyofpeopleandcustoms.Managing
diversityrequires(i),elementsofwhicharepatience,understanding,
willingnesstolearn,andflexibility.Thereare10practicesthataremostimportantin
tappingtheconstructivepotentialofdiversity,including(j),
,,,and.The
effectiveleaderinamulticulturalenvironmentis(k),embracingother
pointsofviewandseekingtounderstandallperspectivesofeveryissue,while
developingawholethatisgreaterthanthesumofitsparts.
Answer Key for Part Six Summary
a.

people, products, profit,page249

b.

people,page249

c.

survival, security, belonging, respect, fulfillment,page249

d.

(anyfour) a satisfied need is not a motivator; employee motivation and company


success are related; psychological needs and social values are not the same;
the
same act can satisfy any of the five motivation levels; all people have the same
needs; a person can be deficiency-motivated; unsatisfied needs can harm your
health; leadership is important in meeting employee needs; the ideal is to
integrate
individual needs with organizational goals,pages261263
e. emotional intelligence,page265
f. an understanding of people, the effective use of words, the ability to manage
conflict,page269
g. heart,page271
h. collaboration,page275
i. cultural sensitivity,page279
j.(anyfive) top managements personal involvement, targeted recruitment, internal
advocacy groups, emphasis on Equal Employment Opportunity statistics,
inclusion of diversity in performance evaluations, inclusion of diversity in
promotion decisions, inclusion of diversity in management succession, diversity
training groups, networks and support groups, work and family policies that
support diversity,page283
k. integrative,page296

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Reflection PointsPersonal Thoughts on Human Behavior, the Art of


Persuasion, and the Diversity Challenge
CompletethefollowingquestionsandactivitiestopersonalizethecontentofPart
Six.Spaceisprovidedforwritingyourthoughts.
Whatmotivationalneedsdoyoufeelintheworkplace?Doesyourjoballowthe
satisfactionofyourmotivationalneeds?

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Leadership

Discusswhatacompanyshoulddotomeetemployeeneedsfor(a)survival,
(b)security,(c)belonging,(d)respect,and(e)fulfillment.Whatpoliciesandprac
ticeswouldyourecommend?

Howimportantisemotionalintelligenceforleadershipsuccess?Doyouknowa
leaderwhoisamasteratunderstandinganddealingwithpeople?

Considertheelementsoftheartofpersuasionintheleadershipprocess.Evaluate
yourselfintheareasofunderstandingothers,usingwordseffectively,anddealing
withconflict.Whichareasareyourstrengths?Whichdoyouneedtoimprove?

DiscusstheroleofleadersintheU.S.CivilWarinthecontextofposition,power,
andsocialinfluence.ExamplesareLincoln,Davis,Lee,Grant,andJoshua
LawrenceChamberlain.

Inthe1990s,SouthAfricaexperiencedtremendoussocietalandgovernmental
changewithoutthelevelofviolencethatmanyanticipated.Effortsatreconcilia
tionandbuildingconsensuswereexemplaryactsofleadership.Discusstheroles
ofNelsonMandela,DesmondTutu,andF.W.DeKlerkinfacilitatingchange,rec
ognizingdiversity,andleadingcourageously.

Whatexperienceshaveyouhadindealingwithdiversity?Haveyoueverwitnessed
firsthandtheharmfuleffectsofintoleranceanddiscrimination?

Discussgenderdiversityintheworkplace,includingtheincreasingnumbersof
womenintheworkforceandinleadershippositions.Ifyouhaveeverhadan
oppositesexleader,discusstheprosandconsofyourexperience.

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Part Six Video Case


Cirque du Soleil: A Truly Global Workforce
In1984,GuyLalibertlefthishomeinCanadatomakehiswayacrossEuropeasa
circusperformer.Thereheandotherartistsentertainedinthestreet.Thetroupewas
calledCirqueduSoleilcircusofthesun.Itstartedwithasimpledream:agroupof
youngartistsgettingtogethertoentertainaudiences,seetheworld,andhavefundoing
it.Lalibertandcompanyquicklyfoundthattheirentertainmentformwithout
wordsstiltwalking,juggling,music,andfirebreathingtranscendedallbarriersof
languageandculture.Thoughheunderstoodthatanentertainercouldbringtheexotic
toeverycorneroftheworld,LalibertdidnotenvisionthescopetowhichhisCirque
duSoleilwouldsucceed.Today,CirqueperformsfivepermanentshowsfourinLas
VegasandoneinWaltDisneyWorldandfivetravelingshows.In20plusyearsof
liveperformances,44millionpeoplehaveseenaCirqueshow.Despitealongterm
declineinthecircusindustry,Cirquehasincreasedrevenue22foldoverthelast
10years.GrowthplansincludeadditionaltoursinAsiaandpermanentshowsinNew
York,Tokyo,andLondon.
CirqueduSoleilisafamilyofmorethan3,000individuals700ofwhomarethe

318

showsartistsfrom40differentcountries.EachofCirquesemployeesisencour
agedtocontributetothegroup.Thisinputhasresultedinrich,deepperformances
andexpansionintoalternativemediaoutletssuchasmusic,books,television,film,
Websites,andmerchandising.Thecompanysdiversityassuresthateveryshowreflects
manydifferentculturalinfluences.Differentmarketswillhaveanexoticexperience
ataCirqueshow,regardlessofwhichshowisplayingwhere.Cirquedoestarget
specificmarketswithproductsdesignedtoengageaparticularaudience.YetCirque
haslittleneedtoadaptitsproducttonewmarkets;theproductisalreadyablendof
globalinfluences.Theresultisapresentationofacrobaticartsandtraditional,live
circuswithanalmostindescribablefreshnessandbeauty.
CirqueduSoleilscommitmenttoexcellenceandinnovationtranscendsculturaldif
ferencesandthelimitsofmanymodernmedia.ItsintensepopularityhasmadeCirque
boththeglobalstandardofliveentertainmentandtheplacefortalentedindividuals
fromaroundtheworldtoperfecttheirtalents.Theextentofthediversity,however,does
poseahostofuniquechallenges.Everyemployeemustbewellversedinvariousforms
andstyles.Tofosterculturalenrichment,Cirquepurchasesandsharesalargecollection
ofartwithemployeesandgivesthemticketstodifferenteventsandshows.
Theperformersworkinthemostgruelingandintimatesituations,withtheirlives
dependingononeanother.Theastoundingspectaclestheyachieveonstageresult
fromhoursofplanning,practice,andpainstakingattentiontodetailamongartists
fromdiversecultureswhospeak25differentlanguages.Sensitivity,compromise,and
hungerfornewexperiencesareprerequisitesforsuccessatCirque.Theorganization
haslearnedtheartofsensitivityandcompromiseinitsrecruiting.CirqueduSoleil
hashadapresenceintheOlympicsforadecade.Itworkscloselywithcoachesand
teamstohelpathletesconsideracareerwithCirque aftertheircompetitiveyearsare
over,ratherthanluringtalentawayfromcountriesthathavemadehugeinvestments
inathletes.ThispracticehasgivenCirqueahugeadvantageintheathleticcommunity,
asourceofgreattalentfromallovertheglobe.
GuyLaliberthasnotforgottenhishumblebeginningsasaCanadianstreet
performer.NowthatCirqueduSoleilhasachievedaninternationalpresenceand
incrediblesuccessthegroupearnedover$1billioninannualgrossrevenuein
2011ithaschosentohelpatriskyouth,especiallystreetkids.Cirqueallocates
1percentofitsrevenuestooutreachprogramstargetingyouthindifficulty,regardless
ofthelocationintheworld.Lalibertunderstandsthattobesuccessfulinaworld
market,onemustbeacommittedandsensitiveneighbor.CirquesMontrealhead
quartersisthecenterofanurbanrevitalizationprojectthatthecompanysponsors.
CommunityparticipationandoutreachbringinternationalgoodwillandhelpCirque
duSoleilpreventmanyofthedifficultiesglobalbrandsoftenfacewhenspanning
cultures.

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Questions for Discussion


1.WhyisCirqueduSoleilsuccessfulthroughouttheworld?Whydoestheproduct
transcendculturaldifferencesbetweencountries?
Formoreinformation,seewww.cirquedusoliel.com.

Action Assignment
Asabridgebetweenlearninganddoing,completethefollowingactionassignment.
1.WhatisthesinglemostimportantideayouhavelearnedinPartSix?
2.Howcanyouapplywhatyouhavelearned?Whatwillyoudo,withwhom,where,
when,and,mostimportant,why?

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14. Effective Delegation and How to Assign Work
15. The Role of Personality

WHEN I WAS BUILDING MICROSOFT, I set out to create an environment where


software developers could thrive. I wanted a company where engineers liked to
work. I wanted to create a culture that encouraged them to work together, share
ideas, and remain highly motivated.
Bill Gates
Co-founder, Microsoft

Learning Objectives
AfterstudyingPartSeven,youwillbeableto:
Multiplypersonaleffectivenessbydelegatingauthority.
Knowtherulesforeffectivedelegation.
Knowhowtogiveorders.
Knowthetypesofskillsneededateachlevelofmanagement.
Understandtheimportanceofpersonpositionfitbasedonpersonality
typesandjobfamilies.
Dealeffectivelywithdifferenttypesofpeople.
Knowthestrengthsandneedsofyourownpersonalitytraditional,
participative,orindividualistic.

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How to Assign Work

heeffectiveleaderisanarithmeticartist,subtractinganddividingwhenless
canbemore,addingandcompoundingtoachieveagreatergood.Inthisway,
theleaderenliststheenergiesandimprovestheeffectivenessofthegroup.
ConsiderthecaseofMicrosofts Bill Gatesandtheabilityhehasshowntomultiply
hiseffectivenessthroughtheeffortsofothers.Seewww.gatesfoundation.org.
Gateswrites:Developyourpeopletodotheirjobsbetterthanyoucan.Transfer
yourskillstothem.Thisisexcitingbutitcanbethreateningtoamanagerwhowor
riesthatheistraininghisreplacement.Smartmanagersliketoseetheiremployees
increasetheirresponsibilitiesbecauseitfreesthemanagerstotackleneworundone
tasks.1
Successfulleadershipmeanspickingtherightpeoplefortherightassignmentsand
developingthem.Thesefollowersarenotclonesoftheleader,butarepeoplewho
havetalentsthatmaybedormantorunderdeveloped.
Inherwonderfulbook Jesus CEO,managementauthorLaurieBethJoneswrites
regardingtargetedselection:Whowouldpicksomeonewhosmellslikefishand
mud?Whowouldpickanunpopulartaxcollector?Whowouldpickleadersfrom
filthywharvesandtoilfilledfields?ButHedid,andtogethertheychangedthe
world.2
Effectiveleadershipinvolvesseeingqualitiesinothersunknowntothemselvesand
treatingothersinawaythatbringsouttheirbest.Theeffectiveleaderusesthemulti
plicationkeytheabilityto delegatetodevelopothersandachievemoresuccess
thanwouldotherwisebepossible.
Ifyouhavedoubtsastotheimportanceofdelegation,considerthatthelifespanof
mostbusinessesisoneandahalfgenerations.Thepatternisthis:Apersonstartsa
business,anditlaststhroughhisorherworkinglifetime.Ittakessuccessorsonlyhalf
aworkinggenerationtoputthecompanyoutofbusiness.3
Thequestionis why?Surelythefounderdoesnotintendthisresult.Theanswer
isfailuretodeveloppeoplebecauseoffailuretodelegatepower.Bywithholding
authority,leadersguaranteethattheircompanieswillhaveshortlifespans.Whenthe
leaderisunableorunwillingtodevelopothersthrougheffectivedelegation,no
provisionismadeforcontinuationofthebusinessanditslastingsuccess.4
Intodaysdownsized,fastpaced,andhightechworkplace,delegationisnotonly
advisablebutalsonecessaryforsuccess.Allemployeesneedtobeinvolvedifthefull
valueoftheirskillsistoberealized.
Therearetwowaysofexertingleadershipstrength:Oneispushingdown
throughintimidation;theotherispullingupthroughdelegation.Pullingupthrough
delegationisinfinitelymoreeffective,anditisthechosenapproachofthesuccessful
leader.
ArolemodelforeffectivedelegationwasThomasAlvaEdison,theWizardof
MenloParkandthegreatestinventorofthemodernage.Bytheendofhislife,
Edisonwasgranted1,093patentsforhisinventions,oneforevery11daysofhis

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adultlife.Edisongavecreditforhissuccesstothemenheworkedwith,amixed
crewofdreamers,gadgeteers,andcraftsmenwhoworkedasateam.Astorythatis
characteristicofhimisoneofdelegationandtrust:WhenEdisonwasworkingon
improvinghisfirstlightbulb,totheastonishmentofonlookers,hehandedafinished
bulbtoayoungerhelper,whonervouslycarrieditupstairsstepbysteptothevac
uummachine.Atthelastmoment,theboydroppedit.Thewholeteamhadtowork
anothertwentyfourhourstomakethebulbagain,butwhenEdisonlookedaround
forsomeonetocarryitupstairs,hegaveittothesameboy.Thegestureprobably
changedtheyoungmanslife.Edisonknewmorethanalightbulbwasatstake.5

Delegation Success Story


ThinkagainofthefamoussuccessstoryofHerbKelleherandSouthwestAirlines
thistimeasaninstanceoftrulyeffectivedelegation.
HerbKellehermayhavebuiltSouthwestAirlinesfromadoodlescratchedonacocktailnapkin
tothemostsuccessfulairlineinhistory,butheisthefirsttosayhedidnotdoitalone.Caring,
competentandcommittedleadershipmayberequired,butliterallythousandsof turned-on
employeeswerealsonecessary.Thetriggeringswitch:effectivedelegation.Twonotable
examplesareJimParker,generalcounselfor15yearsandnowCEO,andColleenBarrett,
originallyasecretaryandnowpresidentofthecompany.6

Therearemanyreasonsleadersfailtodelegate.Somedonotknowhow.Othersdo
notthinktheiremployeeswilldothejobaswellastheythemselveswill.Othersdo
nottrusttheiremployeestofollowthrough.Stillothersfailtodelegatebecausethey
feartheiremployeeswillshowthemupbydoingabetterjob.
Regardlessofthecause,failuretodelegateshouldbecorrectedfortwoimportant
reasons:
1.Delegationgivestheleadertimetocarryoutimportantresponsibilitiesintheareas

ofestablishingdirection,aligningresources,andenergizingpeople.
2.Delegationhelpsprepareemployeesformoredifficulttasksandadditional
responsibility.Employeeswhoareboredandunderusedcomealivewhenimportant
jobsaredelegatedtothem.7
Delegationisthekeytomultiplyingtheeffectivenessoftheleaderandthegroup
asawhole.Exercise141canbeusedtodiagnosedelegationstrengthsandareasfor
improvement.Completetheexercisebasedonyourselfasaleaderorbasedona
leaderyouknow.

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Exercise 141
Delegation Diagnosis8

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325

Answer each of the following 25 questions. Do not debate too long over any one; go with
your first reaction.

Yes

No

1. Do you spend more time than you should doing work your
employees could do?
2. Do you often find yourself working while your employees are idle?
3. Do you feel you should be able to answer personally any question
about any project in your area?
4. Is your in-box usually full?
5. Do your employees take initiative to solve problems without
your direction?
6. Does your operation function smoothly when you are absent?
7. Do you spend more time working on details than you do on
planning and supervising?
8. Do your employees feel they have sufficient authority over
personnel, finances, facilities, and other resources for which they
are responsible?
9. Have you bypassed your employees by making decisions that were
part of their jobs?
10. If you were incapacitated for an extended period of time, is there
someone trained who could take your place?
11. Is there usually a big pile of work requiring your action when you
return from an absence?
12. Have you ever assigned a job to an employee primarily because it
was distasteful to you?
13. Do you know the interests and goals of every person reporting to you?
14. Do you make it a habit to follow up on jobs you delegate?
15. Do you delegate complete projects as opposed to individual tasks
whenever possible?
16. Are your employees trained to their maximum potential?
17. Do you find it difficult to ask others to do things?
18. Do you trust your employees to do their best in your absence?
19. Are your employees performing below their capabilities?
20. Do you always give credit for a job well done?
21. Do employees refer more work to you than you delegate to them?
22. Do you support your employees when their authority is questioned?
23. Do you personally do those assignments that only you could or
Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

should do?
24. Does work pile up at any one point in your operation?
25. Do all your employees know what is expected of them in order
of priority?
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Scoring:
Give yourself 1 point for each Yes answer for numbers 5, 6, 8, 10, 13, 14, 15, 16, 18, 20,
22, 23, and 25:

Give yourself 1 point for each No answer for items 1, 2, 3, 4, 7, 9, 11, 12, 17, 19, 21,
and 24:
.
Record your total score here:

Interpretation:

32

Score

Evaluation

2025

You follow effective delegation practices that help the efficiency and
morale of your work group. These skills maximize your effectiveness as
a leader and help develop the full potential of your employees.

1419

Your score is OK, but nothing special if you are striving for excellence in
leadership. To improve your delegation skills, review the questions you
missed and take appropriate steps so that you will not repeat those
delegation mistakes.

13 and below

Delegation weakness is reducing your effectiveness as a leader. The


overall performance of your work group is lower than it should be
because you are either unable or unwilling to relinquish power to
others. In addition, delegation mistakes may cause dissatisfaction
among employees. At the minimum, they will not develop job interest
and important skills unless you improve in this area. Remember Andrew
Carnegies admonition: It marks a big step in a supervisors
development to realize that other people can be called upon to help do
a better job than one can do alone.9

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14 / Effective Delegation and How to Assign
Work

Steps and Rules for Effective


Delegation
Figure141showsthestepsforeffectivedelegation.

Select the person for the task

Figure 141
The Steps for Effective
Delegation

Define the task


Gain the subordinates views
Give authority and resources to perform the task
Use checkpoints to review progress
Hold accountable / Reward results

Thefollowingrulesforeffectivedelegationapplytoleadingindividualsaswellas
groups.Leaderswhoincorporatetheseruleswillmaximizethejobperformanceand
workmoraleofemployees,andwillincreasetheoverallproductivityoftheirwork
groups.10

employees
wholikepersonalinvolvement.Includeideaorientedemployeesinbrainstorm
commontoallleaders,of
ingorinformulatingpolicies.Capitalizeonthespecialstrengthsofallyour
losingcontrol.Remember,tohoardyourpoweristoloseit.Only employees.
bydelegating
Use delegation as a development tool.Improvetheknowledge,skills,andatti
authoritytoothersandholdingthemaccountableforresultswill tudesofemployeesbydelegatingtasksthataremeaningfulandchallengingand
youaccomplish
thatraisetheirabilitiestonewlevels.
moreandgreaterwork.
Delegate work fairly among all employees.Recognizethefactthatsome
Dont delegate the bad jobs, saving the good
employeeshavehighercapacitylevels,butdontoverburdenthoseemployees
ones for yourself.Dontbelikethe
whileunderworkingothers.Delegationthatisperceivedasunfairlowersthe
supervisorwhoalwayscallsonherorhisassistantforthedirty
moraleandperformanceofboththeoverusedandunderusedworkers.
work,latenight
When you delegate authority, be sure to back your employees if that
work,anddisciplining,reservingforherorhimselfalltheeasy
authority
assignmentsand
is questioned.Whenallelseisequal,supportyouremployees.Ifsomeonehas
theonesthatbringreward.
madeamistake,discussthemistakeprivately;thenletthatpersoncorrectthe
Know your employees.Effectivedelegationrequires
problemhimorherself.
knowingtheaptitudes
Let employees know what decisions they have authority to make and
andinterestsofallyouremployees.Ifallelseisequal,assignsocial delegate
tasksto
decision making to the lowest possible level.Thisapproachimproves
employeeswhoenjoydealingwithpeople,factfindingandreport
effectiveness
preparation
andefficiencybyavoidingreferralsthroughmanydepartmentsandlevelsofanor
tothosewhoenjoyinvestigationandwriting,andhandsonworkto
ganizationtosolveaproblemorreceiveananswer.
Share power with employees.Fightthenaturalfear,

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Delegate with consistency.Dontgoondelegationcampaigns,overwhelmingem


ployeessometimesandunderusingthemothertimes.
Delegate whole tasks so that employees can see projects through to completion; allow sufficient time to get jobs done.AvoidtheZeigarnikeffect,aterm
attributedtotheRussianresearcherBlumaZeigarnik,inwhichemployeemorale,
commitment,andperformancedeterioratebecauseemployeesarenotabletofinish
tasks.Workthathasnotbeenstartedmayormaynotbeamotivator,butunfinished
tasksalmostalwaysdemotivate.11
Insist on clear communication.Obtainagreementtoprovideregularfeedbackon
progressandproblems.Aneffectivetechniqueistopostavisiblecalendarwith
assignmentduedatesmarked.Clearcommunicationandconscientiousfollowup
willensurethesuccessofdelegatedtasks.
Make good use of questions when delegating work.Encourageemployeestoask
questionstoclarifyassignments.Also,askwhatyoucandotohelpthemsucceed.
Explain the importance of assignments.Showemployeeshowassignedtaskscan
satisfyimportantindividualneeds,aswellasadvancethegoalsoftheorganization.
Learn to live with work styles that are not like your own.Establishhighstandards
ofperformanceanddonottoleratelowqualitywork;however,balancethis
requirementwiththefactthatnotwopeopleareexactlyalike,andanother
personsapproachtoataskmaynotbethesameasyourown.
Avoid delegating tasks that are pets, personal, or petty.Sometasksshouldnot
bedelegated:(1)Ifanassignmentisa pet,thatis,oneuniquetoyourowninterest
orskill,youshoulddoit;perhapsnooneelsewillbeabletodoitaswell;(2)ifa
taskisprivateor personal,doityourself;otherwise,itputsanunfairburdenon
youremployees;(3)ifataskis petty,neverdelegateit;todosolowersselfrespect
andtherespectofyouremployees.
Follow the three Ds for all workdo it, delegate it, or ditch it. Doassignments

yourself; delegateworktocompetentemployeesassoonaspossible; ditch


unimportanttasks.Inanycase,dontletassignmentspileup,astheywillultimately
reducetheefficiencyofyourworkgroup.
Whenpeoplemicromanage,theycreateaclimateofdistrust.Thislowersmorale
anddestroyscreativity.Themicromanagerbecomesabottleneckintheflowof
communicationanddecisionmaking.Byapplyingprovenrulesforeffectivedelegation,

leaderscanmultiplypersonaleffectiveness,developemployeetalents,havegood
leaderfollowerrelations,andobtainthehighestpossiblelevelofjobperformance.

32

Assigning Work Effectively

Leadership

MegWhitman,formerCEOofeBay,walkedintoanonlinefleamarketandbecame
inspired.Shejoinedthecompanyandwassuccessfulbecausesherecognizedoppor
tunity,madeadecision,andgavetheorderstomakeitwork.Whitmanknewpeople
shecoulddependontogetthejobdone,andsheassignedworkeffectively. Assigning
work effectivelyisoneofthemostimportantskillsofthesuccessfulleader.The
followingisalistofprovenprinciplesforperformingthisleadershiptask:12

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Consider the availability of the employees time and whether this is the ideal
person to do the job.Iftheemployeesscheduleisheavilyloaded,explainthe
prioritylevelofthework.Acommonmistakeisfortheleadertoassignajobto
theonewhocangetitdone,evenifthisisthesamepersonoverandoveragain.
Thispracticecreatesthreeproblems:(a)Theoverworkedemployeebecomes
resentful;(b)theoverworkedemployeedoesnotknowthepriorityofmany
assignments;and(c)theabilitiesofunderworkedemployeesarewastedornever
developed.

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14 / Effective Delegation and How to Assign
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Use work assignments as a means of


obtainmorecooperationbyaskingforassistancethanbycommandingothers
developing people.Ifataskdoesnothave
todoajob.
tobedoneperfectlyorwithinacertaintimeperiod,trygivingitto
Use the correct language for the employees training level.Recognizethe
anemployee
whohasneverdoneitbefore.Besidesshowingyouhavefaithin fact
thatmanypeoplewillnotunderstandyourwordsandtermsasreadilyasyoudo.
theemployee,
youwillbedevelopinganotherpersonwhowillbefamiliarwiththe Mostoccupationsandjobshaveabbreviations,slangwords,andtechnicallanguage
thattheneworuntrainedpersonwillnotunderstand.WhatdoesoneBLTwithout,
jobifthe
rush!meantoanewemployee,particularlyifthepersonisfromaforeigncountry?
regularperformerisnotavailable.
Forsuchaperson,understandingtheEnglishlanguagemaybedifficult,even
Know exactly what you want to communicate
withoutacronymsandjargon.
before giving an order.Con
Make assignments in a logical sequence, using clear and concise
fusionontheleaderspartcreatesdoubtandlackofconfidencein
language.
employees.
Ifyouaregivingaspeechtoyouremployees,prepareandpractice Peoplerememberthingsbestthatareclearlystated.Ifyouskiparoundand
arevague,employeeswillmissthepointofyourmessageorwilleasily
itsothat
whatyousaywillbeclearandunderstandable.Ifyouaregoingto forgetit.
haveacon
Be considerate but never apologetic when asking someone to do a job.
ferencewithyouremployees,makenotesoftheimportantpoints Imag
youwantto
inethatawatermainbreaksonacold,snowynightandBill,theforeman,says
coverandrefertothem,ifneeded,duringthemeeting.Ifyouare toJoe,thelaborer:Joe,Ifeelsosorryforyourhavingtogodowninthathole
assigninga
inthisfreezingweather.Itsgoingtobelikeice!Boy,amIgladIdonthaveto
task,rehearseforclarity,andwriteitdownifitiscomplexorhas go...brrrr!
morethan
IfJoewasntfeelingsorryforhimselfbeforeBillstartedtalking,hewouldbe
onepartorstep.
now.AbetterwayforBilltomaketherequestwouldbe:Joe,Ihavesomedry
If many duties or steps are involved in an order, clothesforyouinthetruck,andathermosofcoffeewillbereadywhenyoucome
up.Goodluck.Theruleis:Noapologies,justconsideration.
follow oral communication
with a note, and keep a copy.Keepingrecordsof
Talk deliberately and authoritatively, but avoid shouting across a room
importantconferences,orders,
or
andrulescanbehelpful.Asareference,anote(shortandtothe
making an unnecessary show of power.Saveyourpoweruntilitisneeded.You
point)canbean
reduceeffectivenessandputpeopleonthedefensiveifyouareconstantlyforceful.
excellentmemoryaid.However,dontbecomememocrazy;this Thefamiliarstatement,Shedoesntraisehervoiceveryoften,butwhenshedoes,
practiceencour
everyonelistens,exemplifiesthisprinciple.
agesdefensivebehaviorandwastesbothtimeandgoodwill.
Take responsibility for the orders you give.Avoidquotingotherstogaincompli
Ask rather than tell, but leave no doubt that
anceortorelieveyourselfofpersonalresponsibility,aswhenaleadersays,Dont
you expect compliance.This
blameme.Thebosssayswehavetodoit.Ifyoudonottakepersonalresponsi
approachshowsbothcourtesyandrespect.TheadageYoucan
bilityfortheordersyougive,theresultswillbe(a)lossofrespectfromyour
catchmore
employees,(b)lossofconfidencefromyoursupervisor,and(c)reducedcommitment
bearswithhoneythanyoucanwithvinegarapplieshere.Youcan tofollowyourorders.
usually

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Give people the opportunity to ask questions and express opinions.Thisisa


vitalpointbecause(a)employeesmaybeconfusedbyanassignment,andques
tionscanhelpclarifyinstructions;(b)employeesmayhaveinformationorknow
somethingyoudonot;(c)whenyouencouragequestionsandselfexpression,you
demonstraterespectforemployees;and(d)whenyouallowtheopportunitytoask
questionsandexpressopinions,youwillberewardedwithincreasedcreativityand
commitmentfromyouremployees.
Follow up to make sure assignments are being carried out properly, and
modify
them if the situation warrants.Someleaderssay,Idonthavetimetofollowup;
Iamtoobusygivingorders.Thefollyhereisthatunlessthereisfollowup,an
inappropriateorderorassignmentmayberepeated.Withoutfollowup,onenever
learnsfromexperience.
Iffollowuprevealsthatanorderisamistake,admittheerror.Aleaderwhohas
theattituderightorwrong,thatismydecisiondoesthreethingsifthedecision
iswrong:(a)losestheopportunitytocorrectthemistake;(b)losestherespectof
peoplewhoareconcernedaboutthequalityofwork;and(c)setsanexampleof
egotismandclosedmindedness.

PersonPosition Fit

33

AgoodruletofollowinassigningworkandselectingemployeesisPAP:
Leadership

Performance.Canthepersondotheworkatthelevelrequired?Willperfor
mancebehigh?Thebestindicationsarepreviousperformanceandcurrentwork
samples.
Attitude.Doesthepersonwanttodothework?Willmotivationbehightotryones
best?Thebestindicationisbehavioritself.Measurecommitmentbyactions,not
words.
Psycho-social Fit.Willtheworklocation,schedule,culture,andthelikematchindi
vidualandfamilyneeds?Thebestindicationcomesfromfullinformationexchange.
Thismayrequirelocationandjobvisits.
Whenallthreeelementsarepresent,apositivefitexistsbetweenthepersonandtheposi
tion,andthepayoffwillbeenormousinbothhighmoraleandworkperformance.Re
memberthatonceapersonishiredanddeployed,organizationalstructure,climate,
resources,andprocessesmustbepresentforthatpersontosucceed.13
LanceMorrowwritesin The Temping of Americathattodaysworkforcemustbe
fluidandflexible,alwayslearningandgrowing.Hismessageisthateachpersonis
onhisorherown.Forgoodorill,todaysemployeeshavetocontinuallydevelop
andmarketthemselvesinaneverchangingworkenvironment.RobertSchaen,
formercontrollerofAmeritechandcurrentlyapublisherofchildrensbooks,
writes:

Job Families

Thedaysofthemammothcorporationsandlifetimeworkcontractsarecomingtoanend.
Peoplearegoingtohavetocreatetheirownlives,theirowncareers,andtheirownsuccesses.
Somepeoplemaygokickingandscreamingintothenewworld,butthereisonlyonemessage
there:Yourenowinbusinessforyourself.14

Managingyourcareerrequiresknowingyourstrengths.Theconceptofjobfamilies
canhelpinthisarea.OneofthebestmodelscomesfromJohnHolland,whoidenti
fiessixpersonalityandoccupationaltypes15(seeFigure142).
Typesmostsimilartoeachotherarearrangednexttoeachother,whilethose
mostdissimilarfalldirectlyacrossthehexagon.Nopersonisapuretype,and
mostpeoplehaveapatternofinterestscombiningallsix.Thefollowingare
descriptionsofeachpersonalityandoccupationaltype,includinggeneral

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14 / Effective Delegation and How to Assign
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Realistic

Investigative

Figure 142
Hollands Model of
Personality and
Occupational Types

Artistic

Conventional

Enterprising

Social

characteristics,personalitytraits,sampleoccupations,andatypicalhighstressac
tivityorsituation:

Realisticpeoplelikeworkingoutdoorsandworkingwiththeirhands.Theyprefer
todealwithconcretephysicaltasksratherthanwithpeople.Theyaredescribedas:

honest

natural

modest

strong

frank
humble

practical
competent

robust
stable

rugged
selfreliant

Sample occupations:engineer,surveyor,farmer,electrician,mechanic
Typical high-stress activity:makingaspeech

Investigativepeopleenjoytheresearchanddiscoveryprocess.Theyaretask
orientedandpreferworkingalone.Theyaredescribedas:
analytical

independent

introverted

scientific

critical
curious

intellectual
methodical

rational
reserved

scholarly
cautious

Sample occupations:biologist,chemist,physicist,anthropologist,geologist
Typical high-stress situation:partiesandsmalltalk

Artisticindividualsthriveinartisticsettingsthatofferopportunitiesforself
expression.Theyaredescribedas:
creative

imaginative

intuitive

unique

emotional
expressive

impractical
impulsive

nonconforming
original

idealistic
aesthetic

Sample occupations:artist,writer,decorator,actor,composer
Typical high-stress activity:followingrulesandregulations

Socialpeopleliketoworkwithotherpeopleandareconcernedwiththeirwelfare.
Theyhavelittleinterestinmachineryorphysicalexertion.Theyaredescribedas:
friendly

helpful

responsible

tactful

generous
kind

insightful
tolerant

caring
understanding

concerned
supportive

Sample occupations:teacher,counselor,socialworker,advisor,therapist
Typical high-stress activity:performingmaintenanceandrepairs

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Enterprisingpeopleenjoyleading,speaking,andconvincingothers.Theyare
impatientwithroutineanddetailwork.Theyaredescribedas:
adventurous

energetic

selfconfident

enthusiastic

ambitious
varietyloving

optimistic
pleasureseeking

sociable
outgoing

charismatic
dominant

Sample occupations:salesperson,businessexecutive,producer,promoter,lawyer
Typical high-stress situation:restrictedfreedomofaction

Conventionalpeoplepreferhighlyorderedactivities,bothverbalandnumerical,
thatcharacterizedetailwork.Theyhavelittleinterestinartisticorphysicalskills.
Theyaredescribedas:
conscientious

dependable

organized

calm

careful
conservative

orderly
neat

selfcontrolled
efficient

structured
accurate

Sample occupations:accountant,assembler,banker,costestimator,taxexpert
Typical high-stress situation:ambiguityandclutter
Therearemanyhundredsofprofessionsandspecialtiesintheworldofwork,and
theyareconstantlychanging.Hollandsmodelofbasicpersonalityandoccupational
typesisusefulinconsideringavenuesforpeakperformancethroughoutonescareer.
Thebestapproachistobewhatyouareanddowhatyoulove.Successwillfollow.
Exercise142isbasedonRichardBollessexcellentbook What Color Is Your

Parachute?16Itprovidesausefulwaytoevaluateyourownpersonalitybasedon
Hollandsmodelofjobfamilies.

33

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Exercise 142
Understanding
Personality and
Occupational Types

Presented below is a room in which a party is taking place. People with the same or similar interests have gathered in the corners of the room as described.
Realistic

People who have


mechanical ability; prefer
to work with objects,
machines, tools, plants, or
animals; or like to be outdoors
People who like to work
People who like the
Conventional
Investigative
with data, have clerical or
discovery process
numerical ability, enjoy carrying
to
things out in detail or
observe, learn, investifollowing through on
gate, analyze, evaluate,
systems and procedures
and solve problems
The Party

People who like to work


with peopleinfluencing,
persuading, leading,
or managing others for
organizational goals or
for economic gain

People who have artistic,


innovative, or intuitional
abilities, and like to work in
unstructured situations,
using
their imagination or
Artistic
creativity

Enterprising
People who like to help
peopleto inform,
enlighten, advise, train,
develop, or cure them
and who are skilled
with words

Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

Social

1. Which corner of the room would you be drawn toward? Which group of people would
you most enjoy being with for the longest time?
2. After a period of time, everyone in the corner you have chosen leaves the room. Of the
groups that remain, which one would you most enjoy being with for the longest time?
3. After a period of time, everyone in the second corner you have chosen leaves the
room. Of the groups that remain, which one would you most enjoy being with for the
longest time?

Action Steps:
Consider the skills and activities of the people in each corner you have chosen. Do further
research on vocations and work opportunities that require these skills and activities. Read
the Occupational Outlook Handbook, available at all libraries and online
(www.bls.gov/oc/home.htm), access O*NET Online!, U.S. Department of Labor,
http://www.online.onetcenter.org, and interview successful people who are engaged
in your areas of interest.

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14 / Effective Delegation and How to Assign
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Management Roles and Skills


In1955,RobertKatzwroteanimportantarticleinthe Harvard Business Review,
titledSkillsofanEffectiveAdministrator.Manystudieshavebeenconductedsince
thenshowingthataleaderseffectivenessdependsonknowledgeandskillsinsolving
organizationalproblems.Further,thetypesofproblemstobesolveddependonthe
leadersroleorlevelofresponsibility.17
Top managersestablishtheorganizationsgoals,overallstrategy,andoperatingpol
icy.Theseindividualsofficiallyrepresenttheorganizationtotheexternalenvironment.
Middle managersareresponsibleforimplementingthepoliciesandplansdeveloped
bytopmanagementandforsupervisingandcoordinatingtheactivitiesoflowerlevel
managers.Theycanbesignificantsourcesofinnovationandproductivitywhengiven
theautonomytomakedecisionsaffectingtheiroperatingunits.
Front-line managerssuperviseandcoordinatetheactivitiesofoperatingemploy
ees.Theytypicallyspendalargeproportionoftheirtimecoordinating,facilitating,
andsupportingtheworkofsubordinates.
Figure143showsthetypesofskillsneededforeffectiveperformanceateach
levelofmanagement.Thevaryingamountsofskillsneededarerepresentedbythe
differentsizedblocks.Notethat relational skill,theabilitytounderstandandwork
effectivelywithpeople,isequallyimportantatalllevelsofresponsibility.
Figure 143
Types of Skills Needed at
Each Level of Management
Responsibility18

Adescriptionofeachtypeofskillfollows:
Technical skillreferstohavingknowledgeaboutandbeingproficientinaspecific
typeofworkoractivity.Itincludesdetailedjobknowledge,handsonexpertise,and
thespecializeduseofequipment,techniques,andprocedures.Boththetechnical
expertandtheworkgroupsupervisorshouldhaveahighdegreeoftechnicalskill.
Examplesincludeacomputerspecialistdesigningaprogram,alawyerpreparinga
legaldocument,andamaintenancesupervisoroverseeingarepairjob.
Relational skillreferstohavingknowledgeaboutandbeingabletoworkwithpeo
ple.Itincludestheabilitytomotivate,coordinate,andadviseotherpeople,eitheras
individualsorasaworkgroup.Sensitivityinhumanrelationsandawillingnessto
helpothersareessentialelementsofrelationalexpertise.Successatalllevelsof
managementfirst,middle,andtoprequiresgoodhumanrelationskills.Examples
includeanofficesupervisorhandlinganemployeeperformanceproblem,asales
managercoordinatingasalesforce,andaplantsuperintendentsolvingaproblem
betweenthemanufacturingandschedulingdepartments.
Conceptual skillreferstohavingknowledgeaboutandbeingabletoworkwithcon
ceptsandideas.Itincludestheabilitytothinkabstractly.Longrangeplanning,strate
gicdecisionmaking,andtheweighingofethicalconsiderationsinemployee,
customer,andgovernmentrelationsallrequireconceptualskills.Examplesincludea
laborrelationsvicepresidentevaluatingaproposedlaboragreementandacompany
presidentdecidingwhethertosupportacommunityserviceproject.

Theimportanceoftheseskillsvariesbymanageriallevel.Technicalskillsaremost
importantforfirstlevelmanagement.Conceptualskillsbecomemoreimportantthan

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technicalskillsasyourisehigherintheorganization.Relationalskillsareimportant
throughoutyourcareerateverylevelofmanagement.
Figure144showstheamountoftimeeachlevelofmanagementnormallyspends
onthefourprocessesorfunctionsofmanagementplanning,organizing,directing,
andcontrolling.Notethattheconceptualskillsneededincreaseateachhigherlevel
ofresponsibility.

Figure 144
Normal Distribution of a Managers
Time19

Organizing
10%
Planning
15%

Organizing
25%
Planning
55%

Planning
25%

Controlling
20%

Directing
40%

Directing
55%

Directing
15%

Controlling
10%

Controlling
10%

Management Level

Skills

Responsibilities
Organizing

Top-Level Management

Conceptual
Skills
Middle-Level
Managers

Middle-Level Management

First-Level
Managers

Strategic
Planning and
20%
Decision-Making
Top-Level

Relational
Skills

First-Level Management

Managers

Coordination and Planning


for Implementation

Technical Implementation
Skills

Management Processes/Functions
Planning includes charting a direction, determining strategies to succeed, and making policy decisions.
Organizing involves aligning structure, people, and resources to achieve goals.
Directing entails supervising, facilitating, coaching, and developing people.
Controlling focuses on tracking progress against plans and making corrections.

Toincreaseyourunderstandingofthedifferentfunctionsofmanagementateach
levelofresponsibility,completeExercise143.

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Functions and Levels
of Management
In-Box Practice20

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Each of the individuals described below occupies one of three levels of management: first,
middle, and top. Each is also involved in one of the four management functions: planning
(P), organizing (O), directing (D), and controlling (C). Read the descriptions; then fill in
the chart that follows.
Manager A of Wolverine World Wide has hired a market research company to investigate
Asian markets for Wolverine shoes. If the market studies are promising, Manager A will set
up a distribution network in Asia.

Manager G has spent the morning resolving an argument among three of the companys
clerical workers. The workers all want to take their lunch breaks at the same time, but one
of the workers needs to remain in the office to answer the telephone.

Manager B is responsible for cleaning the buildings and taking


care of repairs for the
county schools. He has spent the past weeks making a schedule,
ordering equipment, and
Leadership
assigning work teams.

33

Manager H is conducting a performance review of senior officers, focusing on quality of


production, customer satisfaction, market share, employee morale, and financial
performance.

Manager C has trained her employees in the proper way to


present the meal when the
restaurants customers order this evenings special.
Manager D is reviewing the companys three main sales goals for
the current year. By next
week, she will have a detailed progress report ready to present at
the monthly meeting of
the companys sales managers.
Manager E wants to use the companys surplus funds to buy a
wholesale food distributor.
However, the asking price for the distribution company is more
than the amount of
money on hand. So Manager E has contacted the bank about a 10year loan to finance
the purchase.
Manager F has decided that the human resources department
needs an additional
employee to interview job applicants. Manager F writes a helpwanted advertisement to
place in the local newspaper.

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Answer Key:
A

Middle

First

First

Middle

Top

First

First

Top

Manager

Management Level
Management Function
First, Middle, Top
P, O, D, C

A
B
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D
E
F
G
H

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Work

The Vital ShiftMoving


from Doer to Coordinator to Thinker
IntheU.S.workplace,therewardforbeinganoutstandingproducerisoftenpromo
tionintomanagement.Successismeasuredbystatusintheorganization,asbluecollar
workersaspiretowhitecolorjobsandfirstlineleadersstrivetorisetoexecutive
levels.Inmuchoftherestoftheworld,mobilityislessthenormaspeoplearehired

intoeitherblueorwhitecollarjobsandareexpectedtoremainthere,andasman
agementpositionsaretypicallyfilledonthebasisofeducationorsocialstanding.
Theopportunitytobecomeamanagerandriseintheorganizationisnotascommon
elsewhereasitisintheUnitedStates.21
Apromotiontosupervisorcanbemorethanajobchange;formanypeople,itcan
beacultureshock.Theprogressionthroughcareerstagesandmanagementlevelsis
notalwaysasmoothone.AsseeninFigure145,someofthemostdifficulttimesare
theperiodsofvitalshift,whenapersonleavesonetypeofworkandmovestoanother.
Movingfromaperiodofdoingthings,throughaperiodofcoordinatingpeople,to
aperiodofthinkingaboutideascanbedifficultbecausedifferentinterestsandskills
areinvolvedateachstage.Whenthetransitionisnotmadesuccessfully,theresultis
theoverpromotionsyndromepopularizedbyauthorLaurenceJ.Peter.Accordingto
the Peter Principle,theindividualmaybedissatisfiedbecausethenewworkisnot
interestingormayfeelinadequatebecauseneededskillsaremissing.Atthesame
time,theorganizationandthoseitservesareharmedbecausetheindividuallacks
competenceinperformingthetasksoftheposition.Ineffect,theindividualhasbeen
promotedtohisorherlevelofincompetence.22
Figure 145
Vital ShiftsMoving from
Doer to Coordinator to
Thinker23

Turbulence

Doing

Early Career and


First-Level
Management

Turbulence

Coordinating

Middle Career and


Middle-Level
Management

Thinking

Later Career and


Top-Level
Management

The New-Job Tryout


Oneofthebestwaystosuccessfullymakeavitalshiftistousethenewjobtryout.This
approachallowsanindividualtoworkatadifferenttypeofjoborlevelofresponsibility
foraninterimperiodoftimetoseeiftheworkisagreeableandcanbeperformedeffec
tively.Ifeitherthepersonortheorganizationdecidestheemployeeshouldnotcontinue
inthenewjob,employeeprideiseasilypreservedbecausethejobwasconsideredatwo
waytryout.Withoutsuchatrialperiod,fearofembarrassmentoranunwillingnessto
hurtpeoplesfeelingsmayresultinapersonsbeingretainedinanunsuitableposition,
evenwhenthisharmstheindividualortheorganization.Thenewjobtryouthelpssolve
thisproblem.Forexample,beforeapermanentjobassignmentismade,thesecretary
maytryoutofficemanagement,thetradespersonmaytryoutsupervision,orthecaptain
maytryoutthechiefsposition.Anotherwayanindividualcangainarealisticideaofa
desiredjobroleorlevelisbyshadowing.Theindividualshadowsthepersoninarolefor
adesignatedtimeperiod,providingtheindividualwiththeopportunitytoaskquestions
andgetafeelforthepositionbeforesteppingintoit.

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CHAPTER

34

15
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salm8asks,Whatisman,thatthouartmindfulofhim?Thescientist
answers,Manisaproductofinternalandexternalforces.Eachpersonisthe
resultofinteractionbetweenbiologicalheritageandculturalhistory.Thekind
ofpersonyouareandwhatyoudodependonbothrawmaterial(heredity)andwhat
isdonewiththisrawmaterial(howitisshapedandgrown).Wemusteattolive;but
whetherweeatriceormeat,andwhetherweusefingersorutensils,isinfluencedby
cultureandexperience.24
TheDutchphilosopherBaruchSpinozadescribesthe personalnatureofpersonal
ity:Tobewhatweareandtobecomewhatwearecapableofbecomingistheulti
mateendoflife.25Morethanacenturyago,SorenKierkegaardemphasizedthatthe
mostcommondespairistheunwillingnesstobeoneselfandthatthedeepestformof
despairischoosingtobeotherthanoneself.Eventherichestpersonalityisnothing
beforehehaschosenhimself.Ontheotherhand,evenwhatonemightcallthepoor
estpersonalityiseverythingwhenhehaschosenhimself;forthegreatthingisnotto
bethisorthat,buttobeoneself.26
Personalityisalso social,aseriesandintegrationofsocialroles.Shakespeare
wrote:

Alltheworldsastage,
Andallthemenandwomenaremerelyplayers;
Theyhavetheirexitsandtheirentrances,
Andonemaninhistimeplaysmanyparts,
Hisactsbeingsevenages.27

Throughoutourlives,wedefineourselvesasleaders,parents,citizens,andother
socialbeings,adoptingthegoals,values,andcharacteristicsoftheseroles.Social
rolescanbesoimportantthattheindividualmaybreakdownwhenrolesare
changed.Imaginethesuccessfulbusinessmanwho,onlosinghisfortuneandpres
tige,commitssuicide.Orimaginethehomemakingmotherwho,havingraisedher
children,becomesdepressedandphysicallyill.28
Leadersaremoreeffectivewhentheyunderstandthepersonalitiesoftheirsubor
dinates.Also,bygaininginsightintothesubjectofpersonality,workgroupmembers
canunderstandtheirreactionstotheleaderandtoeachother.Thekeyistoremember
thatdifferentpersonalitieshavedifferentneedsandwaysofbehaving.Thewise,car
ing,andeffectiveleaderwillvaluethesedifferencesandwillstrivetomakethebest
useoftheuniquecontributionsofalltypesofpeople.29
ThequestionnaireinExercise151measures style of interpersonal relations,an
importantelementindealingwithpeople.Asyoucompletethequestionnaireand
interprettheresults,keepinmindthatnoquestionnairecancapturethefullflavorand
uniquenessofasinglehumanbeing.Thereisnoonejustlikeanyoneelseanywherein
theworld.Eachindividualisbiologicallydifferentbecauseweareproductsofmillions
ofancestors,notwoofwhomwereexactlyalike.Additionally,eachpersonisunique
320

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15 / The Role of Personality

inhisorherexperiences,resultinginperceptionsandjudgmentsthataredifferent
fromeveryotherpersons.
Alsonotethatthefollowingproblemsmayexistwithselfreportquestionnaires:
(1)Answersmaybeinaccurate(e.g.,anunemployedparentmayfeeljustifiedinlying
onanemploymenttest);(2)therelationshipbetweentestscoresandotherbehaviors
maybeunknownorlackdependability(e.g.,theremaybenocorrelationbetween
testscoresandjobperformance);and(3)thesametesttakenondifferentoccasions

mayproducedifferentresults(e.g.,apersonsmoodandrecentexperiencemay
influencescores).Thus,noquestionnaireshouldbeusedasabasisfordecision
makingunlessithasbeenprovedvalidandreliable.30

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Exercise 151
Interpersonal Style
Questionnaire31

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This questionnaire consists of 26 statements. There are no right or wrong answers. The
best answers are your true opinions.
For each statement, indicate which of the three alternativesa, b, or cis most true or
most important to you by circling a, b, or c in the Most column. Then choose the least
true or least important of the two remaining alternatives, and circle its letter in the Least
column. For example, if a is circled under Most, then either b or c should be circled
under Least. For every statement, be sure you circle one alternative in each column.
Do not skip any questions, and do not debate too long over any one statement. Your
first reaction is desired.
Most

Least

TPI

TPI

ca

1. When I enter new situations, I let my actions be guided by


a. my own sense of what I want to do.
b. the direction of those who are responsible.
c. discussion with others.

ca

2. When faced with a decision, I consider


a. precedent and traditions.
b. the opinions of the people affected.
c. my own judgment.

ab

ca

3. People see me as
a. a team player.
b. a free spirit.
c. a dependable person.

ca

4. I feel most satisfied when


a. I am working on personal goals.
b. I do things according to standards.
c. I contribute to a project.

ca

ca

5. I try to avoid
a. not being myself.
b. disappointing those in authority.
c. arguments with my friends.

bca

ab

cb

6. In my opinion, people need


a. guidelines and rules for conduct.
b. warm and supportive human relationships.
c. freedom to grow.

ab

7. Over time, I have learned


a. no person is an island.
b. old paths are true paths.
c. you pass this way only once.

ac

8. I want to be treated
a. as a unique person.
b. as an equal.
c. with respect.
9. I avoid
a. not meeting my responsibilities.
b. compromising my personality.

cb

c. the loss of good friends.

34

ac

acb

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Most

Least

TPI

TPI

10. What the world needs is


a. more people who think independently.
b. more understanding among diverse people.
c. more people who respect and abide by the law.

ca

cb

11. I am most happy when


a. I am free to choose what I want to do.
b. there are clear guidelines and rewards for performance.
c. I share good times with others.
12. I am most responsible to

ca

cb

cb

ab

for my actions:

a. family and friends


b. higher authorities
c. myself

13. To be a financial success, one should


a. relax; money is not important.
b. work in cooperation with others.
c. work harder than others.

14. I believe
a. there is a time and place for everything.
b. promises to friends are debts to keep.
c. the one who travels fastest travels alone.
15. I want the value of my work to be known
a. soon after completion.
Cogpyhtri201TGeMawcHlConmpis,.IgAhrvted

b. with the passage of time.


c. while I am doing it.

ca

cb

ab

16. A group member should support


a. the decisions of the majority.
b. only those policies with which he or she personally agrees.
c. those who are in charge.
17. I believe feelings and emotions
a. should be shared with discretion.
b. should be shared openly.
c. should be kept to oneself.
18. The people I enjoy working with are
a. free-thinking.
b. well organized.
c. friendly.

19. I value
a. teamwork.
b. independent thinking.
c. order and organization.

cab

20. I believe in the saying


a. all work and no play makes Jack a dull boy.
b. united we stand, divided we fall.
c. there are no gains without pains.

cb

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Most

Least

TPI

TPI

ca

21. My workday goes best when I


a. have freedom of operation.
b. know what is expected of me.
c. experience fellowship with good companions.

ca

22. If I suddenly received a large sum of money, I would


a. use most of it now for the things I want.
b. invest most of it for the future.
c. spend half of it now and save the rest.

bca

ab

ca

cb

23. I grow best by


a. following established truths.
b. interacting with others.
c. learning from personal experience.

ab

24. It is important that I


a. plan a year or two ahead.
b. live my life to the fullest now.
c. think about life in a long-term way.

ab

25. I am known for


a. making my own decisions.
b. sharing with others.
c. upholding traditional values.

cb

26. I work best


a. with structure and organization.
b. as a member of a team.
c. as an independent agent.

Scoring:
Step 1:
Add the total number of circled letters for each of the six columns. Put these totals in the
T andPI. Each
I Most and Least section total should be 26.
boxes below marked T, P,
Most

Least

26)

(Total

26)

(Total

Step 2:
Determine your scores for T, P, and I by using the following formula:
Score 26
Most
Least. For example, if your T Most was 20 and your T Least was 12,
your T score would be 26
20
12
34. Complete the following equations:
26
___________
___________
___________
T Score
T Most
P Score

26

___________
P Most

I Score

26

___________
I Most

T Least
___________

___________

P Least
___________

___________

I Least

(Your total should be 78.)

Total

___________

34

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Interpretation:
The letters T, P, and I represent three styles of interpersonal relations:
Traditional
T

Participative

Individualistic

If your highest score is T, you are traditional. You are known for your high standards and
sense of tradition. If your highest score is P, you are participative. Caring about people
and serving others are high values for you. If your highest score is I, you are individualistic,
loving freedom and personal independence. If you are within 1 point of the same score
for all three, you have built-in versatility for dealing with different types of people. If your
two high scores are T and I, there are two opposite forces in your world asking you to act
two different ways. One force is saying be traditional, and the other is saying be individualistic. Although this dichotomy can present problems, it can also be good if it allows
you to accomplish your values and goals in life. Values and goals are more important than
style of interpersonal relations. Note that occasionally it may be difficult for others to
understand you because of the different signals you send.

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Types of People and Types of Culture


Onewaytoshowthatallstylesofinterpersonalrelationshaveequalvalueistoidentify
peopleinhistorywhorepresentdistinctlydifferentstylesandwhoareeachheldin
T
P
I
highesteem.
Traditional.Whenhistoriansidentifypeoplewhohavehadthemostimpacton
humankind,thenameofMosesalwaysmakesthetop10.Asaleaderandicon,Moses
istheforemostindividualinJewishhistory.Hisleadershipstyleexemplifiedtraditional
behavior.Awomaninhistorywhowastraditionalwasthelongestreigningmonarchof
alltheEuropeanmonarchs.Indeed,awholeeraorperiodofhistorywasnamedafter
QueenVictoria,knownforhermoralstrengthandhighstandardsofconduct.32
Participative.AwomaninhistorywhowasparticipativewasEleanorRoosevelt.She
waspeoplecaringandpeopleserving.Alwaysconcernedwiththewelfareofothers,she
focusedherlifeonthebettermentofsociety.33SomeofthebestproductsoftheUnited
StateshavebeentheideasandaccomplishmentsofparticipativeBenjaminFranklin.
Indeed,withoutFranklin,theUnitedStateswouldnotexistasweknowittoday.
TherewerefewactivitiesinwhichBenjaminFranklindidnotexcel.Philosopher,inventor,
diplomat,printer,scientisthewasalloftheseandmore.Byhismanyachievements,including
discoveringelectricityandhelpingtowritetheConstitution,Franklinlefthismarkuponthe
faceofAmericaandtheworld.34

Individualistic.OneofAmericasmostinfluentialthinkerswastheindividualist
HenryDavidThoreau,whowrote:
Ifamandoesnotkeeppacewithhisfriends,
perhapsitisbecausehehearsadifferentdrummer.
Lethimsteptothemusichehears,

howevermeasuredorfaraway.35

Personality and
Culture

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AnexampleofawomanwhowasindividualisticisJoanofArc,wholedtheFrench
peoplebyherconvictionandbraveexample.AboutJoanofArc,MarkTwainwrote:
[Sheis]easilyandbyfarthemostextraordinarypersonthehumanracehasever
produced.36
Ifyouwereanemployer,youwouldprobablyhavetroubledecidingwhichof
theseindividualstohire.Eachhasspecialqualitiesandwouldmakevaluablecontri
butions.However,eachisdifferentinstyleofinterpersonalrelations,andeachwould
requiredifferenttreatmenttobebothhappyandproductive.
Peopleareproductsoftheirculturefamily,town,andcountry.Thus,styleof
interpersonalrelationsisinfluencedbyhowweareraised.Societiesteachandreinforce
behaviorstyles;justasindividualsaretraditional,participative,andindividualistic,so
arewholegroupsofpeople.37
Becausepersonalityisasocialconstruct,itinvolvescrossculturalvariations.Studies
acrossculturesshowthatstyleofinterpersonalrelationsisabasicdimensionor
characteristic.38Traditionalsocialorientationsputtheneedsandinterestsofthegroup
abovetheindividual.Individualisticsocialorientationsinvolveseparatingtheselffrom
others.Participativesocialorientationsseekamiddlegroundbetweenindividualistic
andtraditionalstyleswithanemphasisonwarmandsupportivehumanrelations.39
Traditionalculturestendtobeformalandstructured,suchasthoseofEngland,Germany,
andSpain.ManynonWesterncultures,includingthoseofJapan,China,andIndia,are
traditionalinnature.40Confucianidealsoffilialloyaltyandfiverightrelationships
betweenfatherandson,rulerandsubject,husbandandwife,brotherandsister,friend
andfriendformthebasisofmuchofEastAsianculture.Participativeculturesdevelop
inmeltingpotsocieties:TheUnitedStatesisabout20percenttraditional,60percentpar
ticipative,and20percentindividualistic.IndividualisticculturesincludetheFrench,
Italian,andGreek.Indeed,theGreekcivilizationisbasedonindividualism.

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Itisimportanttonotethatthereareexceptionstothesegeneralizations.For
example,itispossibleforanindividualFrenchmantobemoretraditionalthanthe
mosttraditionalGerman;andtheremaybeaGermanwhoismoreindividualistic
thanthemostindividualisticFrenchman.Itisalsoimportanttonotethathumantraits
varyindegrees,sothatapersontypicallyisamixtureofallthreestyles.Whileyou
maybeprimarilyparticipative,youprobablyhaveafewtraditionalandindividualis
ticcharacteristicsaswell.
Describingwholegroupsofpeopleaccordingtointerpersonalstyleshouldnot
obscuretheextensivediversityandvariationthatcharacterizeeachindividualperson.
Also,itshouldbenotedthatcertainqualitiesbelongpotentiallytoallpeople,suchas
basichonesty,concernforothers,andopenmindedness.41

Understanding Others
Certaincharacteristicsdistinguisheachstyleofinterpersonalrelations.Asyourea