Effective Leadership: Theory, Cases, and Applications


Ronald H. Humphrey

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    First, I dedicate this book to all the scholars who have done research on leadership. It has been my great pleasure to read your articles. Without your contributions this book would not have been possible. I truly believe that your work is exciting—leadership is one of the most thrilling topics that we can possibly study. It has all the drama of life—the struggle for success, self-esteem, and recognition; the need for social relationships, friendships, and even love; and finally the need for meaning and purpose in life. Your research reveals the importance of all of these needs to leadership. When describing your research, I have tried to use a writing style that will capture the imaginations of our students and let them see how exciting your work on leadership really is. I hope that I have done your great work justice.

    Second, I dedicate this book to all the inspiring leaders that I have profiled in this book. During the time that I was writing this book, I was going through an unusually difficult time in my own life. Many of the people that I love most, including my family and friends, began to suffer many of the tragedies that afflict humanity: accidents requiring hospitalization and long-term therapy; chronic, long-lasting illnesses; and even death. Naturally these tragedies weighed down my spirits and made it hard for me to write the optimistic and cheerful book that I envisioned. During this difficult time, something helped me recover my optimistic attitude: your biographies and life stories. I read about how you overcame your own problems, difficulties, and crisis situations and went on to achieve amazing personal and financial success. Moreover, you achieved this success while creating innovative products and services that benefited customers, while providing great jobs for employees, and while donating generously to charities. Your careers have inspired me, and I hope that I have managed to capture the inspiring nature of your life stories within the pages of this book.

    Third, I dedicate this book to the students and other readers of this book. I hope that the leadership cases inspire you to success in your own life. We all go through difficulties in life, and I hope that whenever you go through your own troubles that you remember the inspiring examples in this book and persevere to your own success. And I hope you realize that leadership can be fun as well. The leaders in this book have lived life on their own terms, and they have been true to themselves while having a great time being leaders. The true life stories in this book are also backed up by solid academic research done by thousands of scholars. Millions of people have participated in the studies done by these researchers. So you can have confidence that you are getting not just an inspiring message but also a scientifically valid one. You are the future leaders of the world, and I hope this book helps you in your quest for personal happiness and financial well-being.


    Why I Wrote This Book: Many inventors or entrepreneurs come up with their inventions or start their businesses because none of the existing products meet their needs. In the same way, my frustration with the existing textbooks inspired me to write this textbook. Many of the comprehensive leadership textbooks in the market are in their sixth or seventh editions, and some had their first editions published well over a quarter of a century ago. Although these books have been updated, their basic approach still reflects the leadership viewpoints that predominated at the time of their first edition. The world has changed a lot in the last quarter century, and businesses and nonprofit organizations alike have changed with it. Modern organizations have had to become more flexible and adaptable, and better educated employees now want more than a just a paycheck from their jobs.

    I entered the field during the transition between the newer and the older approaches, so I was educated in the older leadership models and I've even done some research on these more traditional approaches. Many of the findings from these older studies still hold up. So I wanted a book that covered the traditional models, but that also included the newer approaches. A number of new leadership theories and philosophies have emerged in the last 25 years that reflect the changes in leadership that have taken place in the world. I have been actively involved in researching and developing these new approaches, so it is important to me to use a textbook that is up to date and that includes these newer leadership models. For example, I began researching the value of emotions to the workplace when few other management faculty were investigating emotions. I attended the first conference on Emotions in the Workplace in 1998. At that time, it was a small conference, but the network that was formed then has since gained official recognition by the Academy of Management (which hosts its website) and now has 1,300 faculty members around the world. I was also one of the founding members of the Network of Leadership Scholars, and this network has brought me into contact with researchers doing innovative research in a wide variety of areas. Many of these researchers have become my friends and colleagues, and I wanted to use a book that included the great work that they are doing. I was also one of the early management researchers in the area of identity theory, and I've been happy to see so many other faculty move into this area. In addition, I've been an active participant in the authentic leadership caucuses at the Academy of Management, and I am currently researching authentic leadership. Much of my early work focused on perceptual biases that caused managers to underestimate the abilities of lower-level employees, so my leadership philosophy also matches the leadership at every level, self-leadership, and shared leadership approaches.

    I also wanted a book with cases that profiled great leaders who could serve as role models. Some of the textbooks were almost all theory and research and did not use in-depth cases. Others used short, fictionalized, unrealistic-sounding leadership cases that seemed tailored to exactly match some theory. Why use fictionalized cases when there are so many fascinating leaders around? It seems to me that if you can't find a real leader whose life experiences match the theory then it's probably a pretty poor theory! There were a few leadership books with exciting leadership cases, but these lacked the current theory and research to back up their leader profiles. So this is why I wrote a book that covers the traditional leadership theories and the exciting research that is being done right now, and one that has inspiring real-life leadership cases.

    Appropriate Classes for This Book: Every year I teach a graduate leadership course targeted to students across the university from a wide variety of academic disciplines. These students come from a variety of applied disciplines, such as education, nursing and health care administration, social work, sports leadership, public administration, engineering, information systems, accounting, finance, and human resources. The students also come from academic areas such as psychology, sociology, and other liberal arts. In addition, I teach leadership courses for MBA students. My own research also has an interdisciplinary focus, and I have published with faculty from at least five different academic areas. Thus, I am aware of the leadership issues that are relevant to a wide range of disciplines, and I have made sure that the Effective Leadership textbook includes research that has been done in these different areas. I have also profiled leaders from a wide range of occupations and industries. As a result, Effective Leadership is appropriate for classes in various schools and disciplines.

    Appropriate Level: Although I used the draft chapters of Effective Leadership in my graduate leadership classes, I have written the textbook in a clear and readable style that should be equally accessible to both undergraduates and graduate students. Many of the reviewers for the textbook teach undergraduate leadership classes, and they felt that the book's engaging writing style would work with undergraduates. The free online course pack that is on the textbook website also helps professors tailor the rigor of the course. Instructors can add to the class rigor by assigning articles from the course pack. Some of the articles are qualitative studies that include interesting quotes from leaders, and undergraduates might find these articles interesting. Other articles may have more of an appeal to graduate students. The low cost and concise nature of Effective Leadership also leaves room for instructors to assign their favorite readings without unduly burdening students with excessive reading or expenses. However, most professors will probably find that the material in each chapter is more than enough to keep the discussion going for the entire class time and that assigning extra readings is not necessary. In these cases, students may find the articles in the online course pack useful when doing research for term papers or class presentations.

    Textbook Features

    Companion Website: To access additional online learning tools go to www.sagepub.com/humphreyel

    On the Instructor Teaching Site you will find the following resources:

    • A Microsoft® Word® test bank, is available containing multiple choice, true/false, and essay questions for each chapter. The test bank provides you with a diverse range of pre-written options as well as the opportunity for editing any question and/or inserting your own personalized questions to effectively assess students' progress and understanding.
    • A Respondus electronic test bank, is available and can be used on PCs. The test bank contains multiple choice, true/false, and essay questions for each chapter and provides you with a diverse range of pre-written options as well as the opportunity for editing any question and/or inserting your own personalized questions to effectively assess students' progress and understanding. Respondus is also compatible with many popular learning management systems so you can easily get your test questions into your online course.
    • Editable, chapter-specific Microsoft® PowerPoint® slides offer you complete flexibility in easily creating a multimedia presentation for your course. Highlight essential content, features, and artwork from the book.
    • Learning Objectives are provided to guide instructors and students in a chapter by chapter listing of takeaway learning goals.
    • The Leader's Bookcase: A Free Online Course Pack. Every chapter includes a free article that can be downloaded from the textbook website. Students can read these articles on their own to learn more about the topics covered in each chapter, or faculty can assign these articles to supplement the textbook.
    • And more!

    The Student Study Site is open access and provides students with the following study tools:

    • Self-Assessments: Each chapter also includes online self-assessments so that students can learn more about their own leadership styles. After taking the online assessments, students can also read tips about how to improve their performance as a leader.
    • Web resources: Videos of leaders describing their leadership techniques are included for every chapter.
    • And more!

    Chapter Features: Every chapter includes the following features:

    • Chapter Road Map: Each chapter begins with a listing of the major headings in the chapter. This gives students a quick overview of the chapter. The introduction to each chapter also lists several key questions that will be answered by reading the chapter.
    • Real Leadership Cases: Although some leadership books use fictional cases, Effective Leadership uses 100% real leadership cases about actual leaders and organizations. Each chapter features three or four cases that demonstrate leadership principles while also showing the excitement, passion, and power of leadership. Most of these cases feature inspiring leaders who have become successful while also contributing to society. A few cases, however, demonstrate what happens when leaders abuse their power or make strategic mistakes.
    • Personal Reflections: This conversationally written feature encourages students to reflect on their own experiences as they relate to the course material.
    • Applications: There are application questions scattered throughout each chapter. These questions are useful for stimulating classroom discussion and for getting students to apply the material to their own lives.
    • Put It in Practice: This feature summarizes the material learned in each chapter in a way that highlights the practical implications of the material.
    • Exercises: Each chapter ends with two or more exercises that can be done in class to engage students and to create an active learning environment.

    Extended Coverage of Key Leadership Theories: In the last 20 years, perhaps more research has been done on transformational leadership theory than on any other leadership theory. Another leadership theory, leader-member exchange theory, has also been extensively researched. Before these theories became prominent, the older Ohio State model of leadership was also widely studied. Because of their prominence, these three theories are described in Chapter 1. The research on personality traits, teams, etc., often uses leadership scales from these three theories to measure leadership, so the research on these models is covered throughout the book. Many leadership textbooks use a single chapter to cover charismatic, transactional, and transformational leadership. Transformational leaders often use charismatic appeals, and there is a separate chapter on charisma. Moreover, the leadership techniques that transactional leaders use are substantially different from those used by transformational leaders. Transactional leaders use goal setting and contingent rewards to motivate followers, and these tactics are covered in Chapter 14. In contrast, transformational leaders rely more on inspiration to motivate followers, and these types of motivational techniques are covered in Chapter 15, the capstone chapter for the book. By having separate chapters on charisma, transactional leadership, and transformational leadership, this book can go into more depth on these leadership styles. Leader-member exchange theory also has its own chapter instead of sharing a chapter with several other theories. Likewise, the Ohio State model predominates in the chapter on the behavioral approach to leadership.

    Coverage of New and Emerging Leadership Models: This book also covers the latest models of leadership. There are chapters on identity theory, authentic leadership and servant leadership, self-leadership, empowerment, shared/distributed leadership, and on the importance of affect to leadership. This book gives considerable attention to the importance of affect, so the research on affect and leadership is covered throughout the book. Many of the newer leadership models emphasize how leadership occurs at every level of the organization, and this perspective also runs throughout the Effective Leadership textbook.

    Ethics and Social Responsibility: There are numerous examples throughout the book that show the importance of ethics and social responsibility to leadership. The book covers abusive leadership, fraud, and other unethical and illegal behaviors. On the positive side, this book also profiles leaders who develop environmentally friendly corporate policies, feed the hungry, risk their lives to help the sick or injured, improve worker safety, hire the disabled, mentor teenagers and support foster homes, help employees cope with personal problems, support education, and contribute generously to charity. The chapter on authentic leadership and servant leadership in particular shows the importance of ethics to leadership, but social responsibility is a theme that resonates throughout the book.

    Global Research and Leadership: I have copublished with researchers located in universities in seven countries, so I am aware of the excellent research on leadership being done in countries besides the United States of America. Thus, this book has a very strong focus on leadership around the world. Every chapter features research that was done in a variety of countries. In addition, Chapters 1, 5, 11, 12, and 15 cover large scale cross-cultural research on leadership. Moreover, the leaders profiled in the book come from a wide range of countries and demographic backgrounds.

    Women and Leadership: When I first started teaching management, few MBA students were women. However, times have changed, and leadership textbooks need to change with the times. In my interdisciplinary leadership classes, over half the students are female, and in my management classes, almost half are female as well. In order to provide role models for these students, I have included 15 outstanding female leader profiles in Effective Leadership.Chapter 5 covers women in leadership by reporting on a study of male and female leaders around the globe. In addition, the opening and closing cases for the chapter demonstrate that women can use a variety of leadership styles, including those stereotypically portrayed as more typical of men. Moreover, the coverage of women leaders is not restricted to a single chapter. Indeed, the textbook opens and closes with case studies of outstanding female leaders.

    Featured Research Articles: Each chapter features several research articles that are covered in depth. This lets students appreciate how leadership research is conducted. This also helps students understand the value of an evidence-based approach to leadership. Although many popular leadership books are based on the author's own opinions, Effective Leadership draws upon the scientific method and literally thousands of studies to evaluate which leadership approaches really work. By reading about these featured research studies, students can judge for themselves how strong the evidence is for any particular theory or approach.

    An Interdisciplinary Approach: This book reports on the leadership research that has been done in the applied professions such as management, health care, education, social work, public administration, sports leadership, and military leadership, as well as the research done in core academic areas such as psychology, social psychology, sociology, history, political science, and other disciplines. The case studies also profile leaders from a similar range of occupations and professions. The book not only features a large number of entrepreneurial leaders and corporate leaders but also leaders from nonprofits and governmental agencies.

    Thanks to the Reviewers: Effective Leadership has gone through several rounds of reviews, and at each stage it has benefited from excellent feedback from the reviewers. There is definitely a learning curve when it comes to writing a textbook. At each round of reviews, the reviewers helped point me in the right direction with regard to writing style and textbook features. I wanted to make Effective Leadership a concise and affordable book, and that meant I had to make some tough choices about what to include and what to leave out. The reviewers provided invaluable advice in this regard, and I've done my best to include the theories and features that they wanted. My thanks go to these reviewers who have given generously of their time while providing me with feedback:

    Dr. Mesut Akdere, University of Wisconsin-Milwaukee

    Pauline J. Albert, St. Edward's University

    Scott J. Allen, John Carroll University

    Anthony C. Andenoro, Gonzaga University

    Lucy A. Arendt, University of Wisconsin-Green Bay

    Neal M. Ashkanasy, PhD, Professor of Management, The University of Queensland

    Karla M. Back, State University of New York, Alfred State College

    Kristin Backhaus, State University of New York at New Paltz

    Myrna L. Bair, Ph.D., Director, Women's Leadership Development Program, Institute for Public Administration, University of Delaware

    Emily Balcetis, New York University

    Mark Beattie, Gonzaga University

    Alice Black, PhD, nonprofit consultant, formerly affiliated with The Ohio State University

    Eric B. Dent, PhD, Professor, University of North Carolina, Pembroke

    Professor Peter Gronn, AcSS, Faculty of Education, University of Cambridge, England

    Sheneice M. Hughes, M.A.P., Tarrant County Community College, Southeast

    Deborah R. Litvin, Bridgewater State University

    Luigi F. Lucaccini, School of Management, University of San Francisco

    Christopher P. Neck, Associate Professor of Management, University Master Teacher, Arizona State University, W. P. Carey School of Business, Department of Management

    Sherry H. Penney, PhD, Sherry H. Penney Professor of Leadership, College of Management, University of Massachusetts Boston

    Dr. Sharon Perry-Nause, Tiffin University

    Kira Kristal Reed, PhD, Syracuse University

    Ronald E. Riggio, Claremont McKenna College

    Machelle K. Schroeder, University of Wisconsin-Platteville

    Dr. Denise Trudeau Poskas, MSED, PhD, Associate Professor of Leadership, Center for Community Vitality, University of Minnesota

    Leigh E. Wallace, University of Wisconsin-Milwaukee

    Jane V. Wheeler, PhD, Bowling Green State University

    Jon R. Whitford, DBA, Rio Hondo College

    Thanks to SAGE's Editorial Team: I also owe a great deal of thanks to the late Al Bruckner, the Senior Acquisitions Editor who invited me to submit a book proposal to SAGE. Lisa Shaw took over from Al when he retired, and Lisa helped me through the first few rounds of reviews. She gave me good advice about finding the golden mean between sounding too academic and sounding too low level. Because of her advice, I worked hard at creating a consistent tone for the book. Lisa's able assistant Julie also worked with me to find ways to meet the reviewer's concerns while staying true to my original intentions for the book. After Lisa took a promotion with another division in SAGE (congrats, Lisa!), Patricia (Pat) Quinlin took over as my editor. Pat's team includes Maggie Stanley, Associate Editor, and Katie Guarino, Editorial Assistant. Together, they worked hard to find the perfect set of reviewers who fit my target market and who could give me some useful feedback to help me polish the last and final draft of the book. Stephanie Palermini is the production editor for the book and she has done a wonderful job getting the book through the various stages of the production process. I also owe thanks to Beth Hammond, who carefully copyedited the manuscript and corrected all of my mistakes—thanks for making me look good. The art department also did a beautiful job with the cover and the layout of the book does a wonderful job of displaying the various features in each chapter.

  • Concluding Thoughts: Footprints on the Sands of Time

    Dear Readers: I hope you have enjoyed the book as much as I have enjoyed writing it. And over the following years, I hope the book continues to be useful to you as you pursue your leadership careers. You are the future leaders of the world, and who knows, perhaps someday I'll be writing about you in future editions of this book. In the meantime, I hope you enjoy this concluding inspirational message from one of my favorite poets. I particularly like the stanza that begins “Lives of great men all remind us”—it is certainly appropriate for a leadership book like this one. Perhaps someday you'll be leaving your own footprints on the sands of time.



    TELL me not, in mournful numbers,

    Life is but an empty dream! —

    For the soul is dead that slumbers,

    And things are not what they seem.

    Life is real! Life is earnest!

    And the grave is not its goal;

    Dust thou art, to dust returnest,

    Was not spoken of the soul.

    Not enjoyment, and not sorrow,

    Is our destined end or way;

    But to act, that each to-morrow

    Find us farther than to-day.

    Art is long, and Time is fleeting,

    And our hearts, though stout and brave,

    Still, like muffled drums, are beating

    Funeral marches to the grave.

    In the world's broad field of battle,

    In the bivouac of Life,

    Be not like dumb, driven cattle!

    Be a hero in the strife!

    Trust no Future, howe'er pleasant!

    Let the dead Past bury its dead!

    Act,— act in the living Present!

    Heart within, and God o'erhead!

    Lives of great men all remind us

    We can make our lives sublime,

    And, departing, leave behind us

    Footprints on the sands of time;

    Footprints, that perhaps another,

    Sailing o'er life's solemn main,

    A forlorn and shipwrecked brother,

    Seeing, shall take heart again.

    Let us, then, be up and doing,

    With a heart for any fate;

    Still achieving, still pursuing,

    Learn to labor and to wait.

    Henry Wadsworth Longfellow (1807–1882)

    Author Biography

    Ronald H. Humphrey is a professor in the Department of Management at Virginia Commonwealth University. His research interests are on leadership, entrepreneurship, customer service, emotions in the workplace, empathy, emotional labor, emotional intelligence, person perception, identity theory, labeling theory, attribution theory, collective efficacy, careers, project management, assessment centers, job characteristics, and other topics. Ron is on the Editorial Board of The Leadership Quarterly, and he edited a special issue of The Leadership Quarterly on emotions and leadership. He was also one of the founding members of the Network of Leadership Scholars (also known as LDRNET) and was coprogram chair for the Professional Development Workshops organized by the Network at Academy of Management Conferences. In 2008, Ron also edited Affect and Emotion: New Directions in Management Theory and Research. Along with Neal Ashkanasy and Quy Huy, Ron will edit a forthcoming special issue of the Academy of Management Review on integrating affect and emotions in management theories. Ron has published in a wide range of journals including the Academy of Management Review, Academy of Management Perspectives, American Sociological Review, Research in Organizational Behavior, Leadership Quarterly, Social Psychology Quarterly, Basic and Applied Social Psychology, Human Relations, Organization Science, Journal of Health and Social Behavior, Public Opinion Quarterly, Journal of Organizational Behavior, and other journals.

    Ron enjoys working with the business community doing corporate training and consulting, and his research and consulting activities have been with some of the largest corporations in America such as Chrysler, General Motors, and Northwest Airlines, as well as numerous small businesses and entrepreneurs.

    Education: AB: University of Chicago; PhD: University of Michigan; Postdoctoral Fellow: Indiana University.

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