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Chapter 11 Intervening and Developing Troubled Employees 227
Index 293
Author Bios
Dr. Laura Portolese Dias holds a master's of business administration from City University and a doctorate of business administra-
tion from Argosy University. This is Laura's third book with Flat World Knowledge. Previous books included Hurnan Resource
Managernent, Hutnan Relations, Consumer Behavior Today. She has previously published two books with McGraw-Hill. Laura has
been published in the Journal of Online Educators and the Journal of Fashion Marketing and lvfanagernent and has presented "Baby
Boomers: A Study in Their Buying Behaviors" to the Marketing Management Association. Laura has also written case studies for
DECA (Distributive Education Clubs of America) competitions and written numerous supplemental materials for management and
customer service textbooks.
Laura is an assistant professor at Central Washington University in the Department of Information Technology and Adminis-
trative Management. Before becoming a professor, Laura worked for several small and large organizations in management and oper-
ations. She is also an entrepreneur who has performed management and consulting work for companies such as Microsoft.
Dr. Phil Upperman has more than thirty-five years of experience as a leader and staff officer as well as a lecturer, trainer, and in-
structor at midmanagement and leadership development schools and universities. Phil is currently serving as a lecturer and adviser
at Central Washington University. He has held a department chair position as the professor of military science at Seattle University.
In this position, he was the program director responsible for developing undergraduate students in the areas of leadership character,
individual and team development, and organizational and operations management.
As an instructor at the US Army Infantry School, he taught leadership, tactical and operational art and science, organizational
management, and physical fitness development. At the US Military Academy (West Point), he served as a un iversity-level psycho-
logy counselor responsible for the personal leadership development of cadets as individuals and in groups. Phil has twenty-eight
years of service, commanding at the company and field-grade levels as a platoon leader, twice in company command positions, and
as a battalion commander. Phil has served on general officer staffs as an aide-de-camp of a Corps Logistics Command, chief of oper-
ations at the d ivision and battalion levels in the JOI st Airborne Division, and as a deputy chief of operations on the I Corps staff. At
West Point, he held the position of deputy garrison commander (deputy city manager). He has also held several executive officer
staff positions at the brigade and company levels. In the private industry sector, he held positions as a program, region, and national
director for a technology education company serving government and private education programs. Phil has a proven experiential
track record of long-term success and achievement in the areas of fiscal management, human resources, operations, marketing, or-
ganizational training, and operational and leadership program development.
Phil holds a doctorate from the School of Education at Seattle University, a master's degree in education and counseling psycho-
logy from Washington State University, and a master's degree in business management science from Troy Un iversity. As an Army
officer, he graduated from the Army's Command and General Staff College, Officer Advanced (midcareer) and Officer Basic (entry-
level) leadership courses, with a professional education focus on tactical and operational art and science as well as organizational
leadership and management.
Dr. Bob Trumpy is currently an associate professor of administrative management in the Department of Information Techno-
logy and Administrative Management (!TAM) at Central Washington University. From 1998 to 2009, Bob had been an administrat-
or in the Division of Student Affairs and Enrollment Management (Senior Director of Health and Counseling Services), having also
served in the role as lecturer in the College of Education and Professional Studies for the Department of Teacher Education and the
Department of Information Technology and Administrative Management.
Bob holds a doctorate of education (educational leadership-higher education administration) from Seattle Un iversity. His ex-
perience includes more than twenty-three years in leadership and supervisory positions in the fields of health care, consultation and
training, and higher education. Bob is certified to admin ister and interpret the Strong Interest Inventory as well as the Myers-Briggs
Type Indicator and is a State of Washington licensed mental health counselor and a State of Wisconsin licensed clinical social
worker.
Acknowledgments
We would like to thank the following colleagues whose comprehensive feedback and suggestions for improving the material helped
us make a better text:
• Jim Fullerton, College of Coastal Georgia
• Cheryl Harrison, Manhattan College
• Rober t Hirsch, Nor th Park Un iversity
• Kozhi Makai, Lone Star College
• Thomas Mengel, Un iversity of New Brunswick, Renaissance College
• Car rie Messa(, College of Charleston
• Cheryl Stenmark, Angelo State University
• V. Lynn Tankersley, Mercer University
Dedications
PHIL UPPERMAN
This book is dedicated to students, instructors, soldiers, and leaders who taught, coached, and mentored me in life and work.
BOBTRUMPY
I'd like to thank our coauthor and friend, Dr. Laura Por tolese Dias, for her dedicated focus on the details and vision needed to com-
pose an applied skills textbook on leadership. Thanks again, Laura.
Preface
There are many excellent leadership books on the market. Likewise, there are many excellent supervision books on the market.
However, most of the books on this topic only cover one or the other (leadership or supervision) and do little to combine both top-
ics-which is the most beneficial to our students in their future management careers. For example, most leadership books only dis-
cuss leadership from an academic perspective and don't do enough to show how to apply those leadership characteristics and theor-
ies to the actual management and supervision of people. In addition, the authors believe that in order to be good leaders, people
must understand themselves; therefore, the book focuses on self-assessments, allowing students to better understand their own
strengths and weaknesses as a leader. This book will combine the topics and show students how to be a leader and a supervisor.
To this point, the authors believe leadership, management, and supervision are interrelated and should be discussed as such in
order to develop the most effective leaders. The three components of an umbrella come to mind in describing leadership in visual
terms: leadership would be the overarching cloth held up by the arms, or stanchions; management would be the pole, and supervi-
sion would be the handle. Each component supports the other and is necessary for leading a successful organization. If any part is
missing or damaged, the umbrella becomes useless in solving the many problems that rain down upon us over the course of a day.
That is the philosophy behind this book. Based on the interrelatedness of leadership, management, and supervision, the book will in-
clude the following topics:
• Real-life perspectives
• Self-assessments
• Situational examples
• Conversational tone and experiential practices
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• Educational Leadership
• Business Leadership
• Industrial Psychology
• Student Development Services
FEATURES
Each chapter opens with a realistic example that introduces a concept to be explained in detail. Each chapter contains relevant ex-
amples, YouTube videos, figures, learning objectives, key takeaways, and exercises. An "Additional Perspectives" section is included
in in each chapter, which addresses diversity in leadership.
Many of the end-of-section exercises offer self-assessment quizzes so the student may engage in self-understanding and
development.
Additionally, Flat World Knowledge's publishing model helps keep examples relevant and timely without publishing a com-
pletely new edition-saving students money and saving professors time!
The customizable model Flat Vvorld Knowledge is pioneering will allow instructors discretion to dictate the content they choose
to use in their course. No more wasted chapters: if a professor chooses not to use a chapter, he or she simply customizes the book to
leave that chapter out.
Additionally, the book will provide a comprehensive set of instr uctor materials, including an instructor manual, test bank, and
PowerPoint presentations.
6 THE ART OF LEADERSHIP AND SUPERVISION VERSION 1.0
~ -C 1:1 A J E R. 1
Introduction to Leadership,
Management, and
Followership
Ifyour actions inspire others to dream more, learn more, do more and become more, you are a leader.
A leader takes people where they want to go. A great leader takes people where they don't necessarily want to
• Rosalynn Carter
1. DEFINING MOMENTS
The weekly meeting ended and the leadership team disbanded to their work areas and departments to
disseminate the information and tasks needed to accomplish the organization's vision and mission.
Claire, the chief executive officer (CEO), found the habit of reviewing the company vision and mission
statements was useful in reminding the managers of what, why, and how they were going to stay the
Jong-term course by achieving the organization's short-term goals. Now it was time for the division
managers to reinforce this message to their section and program managers. She knew that reinforcing
the goals would influence the action necessary to motivate employees to accomplish the tasks set before
them.
As she walked back to her office, she trusted that the managers were focused on directing and su-
pervising their sections and divisions. Claire knew her focus was to synchronize the parts of the organ-
ization and synergize the organizational employees' effort in accomplishing the vision, mission, and
goals.
Grant, the operations manager, left Claire's weekly meeting with a lot on his mind. He was sure his
counterparts felt the same way. He was glad she took the time to look at the long-term plan, as he had
his hands full with keeping day-to-day activities on track. He knew she trusted him because he had a
solid reporting system in place that assured quality in their product and he consistently met the strin-
gent tirnelines set for his team. He also knew that he was in charge of supervising the people who were
at the forefront of the company mission.
Grant informed Caroline, an employee on the floor, that Claire was going to visit their department
today. She heard Claire often made the rounds to speak to employees in different departments and,
during this time, seemed to take a personal interest in their relationship to the company while asking
about their families and personal and professional interests. Even though the discussion focused on
what they thought about their part in fulfilling the company mission, Claire also took the time to have a
cursory discussion about their progression. Caroline thought it was nice to have the head of the com-
pany speak to them one-on-one, as it showed she cared not only about the company but also about
them.
Claire thought it essential to take the time to provide a leadership presence in all parts of the com-
pany not only to acknowledge the individual managers' accomplishments but also to inspire the em-
ployees. Circulating around the organization and talking to small groups or individual employees
about what was on their minds and how the company can best support them in the long run was cru-
cial to accomplishing the mission because the employees are central to achieving success. She knew this
action alone provided credibility to what the managers stated on her behalf, and she never wanted em-
ployees to think it was something they just made up to get the job done.
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8 THE ART OF LEADERSHIP AND SUPERVISION VERSION 1.0
2. INTRODUCTION TO LEADERSHIP
1. Understan d personal leadership and manag ement experience in the cont ext of academic and
scholarly work.
2. Define your leadership and managerial leadership p rinciples.
What is leadership, and how does it differentiate from the concept of management? Can a manager be
a leader? Does leadership require understanding or having management skills? What leadership abilit-
ies or management skills are necessary to be competent in performing your duties? These are some
questions this chapter explores.
In this chapter, we investigate a process of how you can define what your personal leadership and
management styles are. Understanding this is the beginning of a very personal journey to explore your
continued leadership development requirements. For example, how you define your personality in
terms of the leadership connection to behavioral sciences, as well as the professional skills necessary to
be an effective manager-which are then added to your understanding and development as a lead-
er-are all part of the leadership development journey discussed in this and other chapters.
Understanding the concepts of leadership and management requires readers to first understand
their leadership and management experience and place it into the context of academic or scholarly the-
ories and concepts. Doing this provides the developing leader with a baseline of identified experience
to work from. The next step of leadership development is to understand the professional cognate or
language used in academia or scholarly work on leadership. Having this understanding allows the de-
veloping leader to better grasp the theories and concepts that frame the hard-earned experiences into
lessons learned. The last part of leadership development involves the study of h istorical and even con-
temporary leaders. Using leadership or management experience, and framing this with academic or
scholarly work, provides the reader with the tools necessary to evaluate and assess the effectiveness of
historical or contemporary leaders.
The beginning of your leadership development journey is to first understand your leadership and
management experience. To accomplish this undertaking is to define your experience in the context of
academic and scholarly work, and this is where we begin the study of leadership.
KEY TAKEAWAYS
• Understanding the concepts of leadership and management requires understanding your personal
leadership and management experience and placing it into the context of academic or scholarly theories
and concepts.
• Leadership development involves the study of historical and even contemporary leaders. Using leadership
or management experience and framing this w ith academic o r scholarly work provides the tools necessary
to evaluate and assess the effectiveness of historical or contemporary leaders.
CHAPTER 1 INTRODUCTION TO LEADERSHIP, MANAGEMENT, AND FOLLOWERSHIP 9
EXERCISES
1. Define your personal leadership and management experience to develop a baseline of information to
place into the context of academic or scholarly work.
2. Create your own list of ten guiding leadership principles. A simple definition of a leadership principle is a
fundamental truth or proposition that serves as the foundation for your leadership character and that
guides the way you interact, support, and engage with followers.
3. LEADERSHIP
LEARNING OBJECTIVES
Leader
Manager
Follower
ti Video Clip 1
Developing your own Leadership definitions require a very personal definition that identifies with your personality style
definition of leadership and based on an understanding of the behavioral sciences. Each leader is responsible for developing his or
setting goals to figure out
how to strengthen your her unique definition and then applying it in word and deed on a consistent and predictable basis to
leadership skills can help earn enough tr ust to influence the follower to willingly achieve a task or goal.
make you ·hit the bull's-eye•
in your career.
3.2 Leadership Art and Managerial Science
Lead ersh ip art involves a thorough understanding of behavioral sciences. This means leaders need to
understand their personality and possess effective people skills before they can understand those they
want to influence. Leadership art also involves an understanding of strategic and operational art. Hav-
ing this understanding provides leaders with the ability to conceptualize and articulate a grand vision
or end state for an organization.
@ 11,inkstock
leadership art
The application of effects and
unde1standing of behavio,al
and leadership sciences to
one or more employees and
other organiz;itional
stakeholde1s in order to
influence the attainment of
an organizational goal o,
objective.The application
involves the effective use of
people skills to influence
stakeholder behavior. Also
involves a conceptual
unde1standing of stfategic
and operational art that
results in a leade(s ability to
articulate a grand vision or
end state fo, an organization.
CHAPTER 1 INTRODUCTION TO LEADERSHIP, MANAGEMENT, AND FOLLOWERSHIP 11
Leaders are experts in understanding all facets of the organizational relationships between opera- leader
tions, research and development, training management, marketing, information technology, human
resources, logistics, and sales. This does not mean they are experts in each area, but it does mean they Also referred to as leadership,
can be defined in many ways
possess the ability to become generalists of each and can synchronize the separate activities into a as it applies to the particular
unified effort. For example, a chief executive officer of an organization-in order to effectively coordin- organization mission and
ate activities-should know a bit about accounting, sales, and operations. These organizational func- structure. The role of a leader
tions or departments represent examples of a few areas of leadership and management expertise. The is focused on following a
key is that leaders may not be "the expert" in a specific skill set to the extent that, say, a marketing or group process. It involves
information technology manager is, but they understand how to synchronize the manager's efforts by behavioral sciences as it
includes personality, induces
communicating clear tasks and purposes to the entire organization to achieve the organization's vision.
follower or subordinate
Managers understand their specific responsibility and role within a segment of the organization. compliance, exercises
Managers do possess leadership traits and skills but are limited in that they are expected to perform in personal influence to achieve
a routine and narrower segment of an organization. Their responsibility is focused on their team per- motivation and interaction in
formance as it relates to the organization and not on the performance of all teams functioning in a syn- others, possesses particular
ergetic manner for the good of the organization. Managers leave this to the organization's leader to ac- personal behavi0<s, involves
complish. If a manager's area is performing to standard and meets the expected outcome, he or she is persuasion and powe<
relationships, and is goal
content.
oriented.
A leader should develop the conceptual ability to create a long-term plan of action (leaders develop
strategic visions). In tum, a manager is focused on a short-term plan of action (a manager's operational
view). The manager also has to be concerned with day-to-day activities, whereas the leader's focus may
be on monthly, quarterly, and annual results (not that the manager is not concerned, as he or she does
provide the results). We call this conceptual gift or ability the art of leadership. Conceptual art is the
ability to develop a Jong-term strategy by understanding management science and synchronizing many
management activities (marketing, sales, product development, human resources, information techno-
logy, logistics, etc.) to attain results at the decisive time and place of the leader's choosing (creating a
synergistic effect for the organization).
Leaders and managers are required to understand behavioral and management sciences to be
effective in the dyadic relationship between them and the followers. Though each party needs to under-
stand behavioral and management science, the leaders and managers require unique types of expert
knowledge of an occupational or professional skill area. An example is that a leader may have unique
expert knowledge in personal management, business management, and leadership at the strategic and
operational levels of a company, whereas a manager may be an expert in human resources, operations,
or marketing or sales skills at the operational or program-management level of the same company. In
this example, leadership requires a broader understanding of behavioral and management science than
the manager would be expected to have in performing his or her organizational role. In this scenario,
leaders directly or indirectly influence management activities and possess unique management or ad-
ministrative science skills to synchronize the entire organization's efforts, while managers are delegated
the authority to administer a specific organizational team within the larger organization. Examples of
administrative management areas that require unique occupational managerial skills include the
following:
• Human resources
• Accounting/finance
• Sales/customer service
• Operations
• Logistics
• Marketing
• Information technology
• Research and development
Another difference between leadership and management is that leaders are more attuned to behavioral
sciences-that is, both cognitive (thoughts) and behavioral (actions)-as they relate externally and in-
ternally to all managerial roles and work to synchronize their management efforts. Because of this,
leaders may be more attuned to individuals' emotional intelligence and influencing individual role per-
sonalities across a broad range of skills. This can occur, for example, when leaders indirectly use per-
sonal power, specifically referent power, to influence the entire organization with the use of written,
video, or other technology-based communication, such as biogs. The leader uses referent and expert
power in a very direct manner to influence the management team member, who then influences his or
her workers. Managers, in turn, understand how to direct individual behaviors and may focus more on
leveraging position power (legitimate, reward, coercive, informational, and ecological powers) to in-
fluence subordinates to commit to the management team goal. Managers are more inclined to direct
bureaucratic actions in executing their supervisory role to accomplish the short-term, day-to-day wins
necessary to achieve the Jong-term organizational vision and operational intent.
12 THE ART OF LEADERSHIP AND SUPERVISION VERSION 1,0
Each department can be organized differently. Small organizations may have a few people, with
only one or two people to perform the day-to-day operations, whereas a larger organization may have
several suborganizations with two to five sections in each that are responsible for different services or
products. These departments may require many employees organized into subteams, or sections, with
project or program managers within each section responsible for the day-to-day execution of the oper-
ational plan.
managerial science
Are leadership and management roles similar in any way? We believe so, and this can be demon-
strated by understanding the managerial sciences. What is man agerial scie nce? Managerial science
Skill sets leaders anain over
the course oftheir skills are learned in administrative management and business management studies. Leaders and man-
professional development, agers lear n about specific skill sets related to their occupation in courses such as strategic management
such as accounting, finance, and policy development, finance, project management, information technology, and business manage-
opetations, human resources, ment. The number of unique skills a leader is required to possess varies depending on the leadership or
information technology, management level. An example of management distribution is when a manager occupies various levels
marketing, and so on, that are of management activities with different skills, such as simultaneously directing and monitoring the
learned in administrative
management or business
daily activities of a technology department, a finance department, and a marketing team. Some of these
management studies. management functions can be grouped together under one manager. For example, finance and human
resources each have a manager who reports to an executive team leader or director. Other examples are
operations, sales, and marketing functions, which each have a manager and an executive leader who
not only synchronize their activities but also develop the policy they act on. Table I.I provides an ex-
ample of management activities requiring executive leadership. The point is that each management
skill set or activity requires leadership if you are going to have an organization that produces a service
or product. Leaders, however, can take their skill set and move to a different organization and still lead
effectively. Meanwhile, a manager may be purely focused on a particular occupational or professional
skill set in an organization, which confines him or her to exercising his or her unique expertise. An ex-
ample is a manager who uniquely understands a specific management area such as marketing, finance,
operational, logistics, information technology, or human resources. The manager may be skilled only
within one particular area and can expertly manage only this area effectively and efficiently.
T ABLE 1. 1 Example Management and Executive Leadership Activities Requiring Leadership Oversight
Chief Operations Chief Financial Vice President(s)
Officer Officer
Ch ief executive officer or president
Executive leaders who serve as chief executive officer (CEO), chief financial officer (CFO), chief opera-
tional officer (COO), or in research and development and sales departments are the people who set or
contribute to developing organizational policy and are responsible for helping to shape the organiza-
tion's strategic vision, mission, and operational intent. Table I.I provides an example of the chain of
responsibility or authority where the CFO, COO, and various executive vice presidents repor t to the
CEO. Though not a rule, a COO can be responsible for the organization's operational departments
such as marketing, logistics, sales, customer relations, and training. The executive leaders accomplish
their roles by leading the managers who supervise their areas of responsibility. An example is when the
CFO is responsible for leading the finance and the human resource functions of the organization-in
this case, the CFO is leading the managers who supervise the two departments they are the focal leader
for, while the CFO is the focal leader for the two managers. What this example demonstrates is there
can be several levels of leadership and management functions that require widely different leadership
and management skills. In this case, you have an executive team led by the CEO and comprising the
COO, CFO, and executive vice presidents (sales, marketing, etc.), who in tum lead the effort in devel-
oping strategy and form policy, as well as create the vision, mission, and operational intent for the or-
ganization. At the next level, you find the department management teams with specific management
and professional skills in areas of operations, marketing, infor mation technology, and so on. These
managers repor t to a focal executive leader who has executive leadership and management training, as
well as a functional knowledge of the professional skills required at the various management levels he
or she supervises.
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mir das Essen der Erbsen mit dem Messer besondere
Schwierigkeiten verursachte.
Mitten im besten Stauen wurde ich plötzlich von hinten auf die
Schulter getippt. Eisig durchfuhr es mich durch alle Glieder. Als ich
mich umdrehte, stand der Besitzer da und fragte mich nach meinen
Papieren. Ich dachte natürlich, er meinte meine Ausweise, und
schon gab ich alles verloren. Da ich natürlich nichts vorweisen
konnte, mußte ich dem Wirt folgen, und voll Schrecken gewahrte
ich, wie er an den Fernsprecher ging, um zu telephonieren. Mit
einem Blick schielte ich schon nach der Tür und wollte eben
fortlaufen, als der Wirt, der mich durch ein Glasfenster beobachtete,
wieder zu mir trat und mir sagte: „Ja, da Sie Ihre Papiere vergessen
haben, kann ich Ihnen nicht helfen; übrigens wie heißen Sie und wo
kommen Sie her?”
„Ich bin George Mine und amerikanischer Leichtmatrose auf der
Viermastbark ‚Ohio’, die oben auf Strom liegt. Ich bin eben hier
hereingegangen und habe doch schon mein Essen und mein Bier
bezahlt, meine Papiere habe ich natürlich nicht mit!”
Dann er: „Dies ist ein geschlossener sozialdemokratischer Verein,
hier dürfen nur Mitglieder essen, das sollten Sie doch wissen, doch
wenn Sie Mitglied werden wollen, stehen Ihnen die Räume stets
frei.”
Natürlich war ich damit einverstanden. Ich zahlte meine drei
Schilling Eintrittsbeitrag, erhielt ein knallrotes Seidenbändchen ins
Knopfloch gebunden und eine Mitgliedskarte, und damit war ich nun
jüngstes Mitglied des sozialdemokratischen Dockarbeitervereins von
Tilbury!
Als wenn nichts geschehen wäre, ging ich wieder an meinen Tisch,
trank mit einem Zug, um mich von dem durchgemachten Schrecken
zu erholen, verließ aber bald den Raum, da mir offengestanden der
Appetit vergangen war und das Essen mir so recht nicht mehr
schmecken wollte.
Nun ging ich ans Flußufer hinunter, legte mich ins Gras, tat, als ob
ich schliefe, und paßte auf wie ein Luchs.
Dampfer an Dampfer zog an mir vorüber. Meine Erwartung wuchs
unendlich. Um vier Uhr nachmittags lief stolz und majestätisch ein
holländischer Schnelldampfer ein und machte direkt vor meiner Nase
an einer Boje fest. Und erst mein Glück und meine Freude, als ich
vorne am Bug in weißen, leuchtenden Buchstaben den
Dampfernamen:
„M e c k l e n b u r g”
las. Das war für mich als Mecklenburger und Schweriner das beste
Vorzeichen.
Nun fuhr ich mit der Fähre nach Gravesend hinüber, von wo aus
ich den Dampfer unauffälliger beobachten konnte, und bummelte,
die Hände in den Taschen, sorglos ein Liedchen pfeifend, möglichst
bummlig und schlaksig im Seemannsgang am Ufer entlang, in
Wirklichkeit aber scharf beobachtend.
Mein Plan war folgender:
Nachts schwimmend die Boje, an der der Dampfer lag, zu
erreichen, dann an der Stahlleine hochklettern, mich an Deck zu
schleichen und als blinder Passagier nach Holland zu fahren.
Meine Operationsbasis hatte ich bald gefunden.
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