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On Leadership If you read nothing else on leadership, read these definitive articles from Harvard Business Review.
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Copyright 2011 Harvard Business School Publishing Corporation All rights reserved No part of this publication may be reproduced, stored in or introduced into a re- trieval system, or transmitted, in any form, or by any means (electronic, mechan- ical, photocopying, recording, or otherwise), without the prior permission of the publisher. Requests for permission should be directed to permissions@hbsp. harvard.edu, or mailed to Permissions, Harvard Business School Publishing, 60 Harvard Way, Boston, Massachusetts 02163. Library of Congress Cataloging-in-Publication Data HBR’s 10 must reads on leadership p. cm. Includes index. ISBN 978-1-4221-5797-8 (pbk. : alk. paper) 1. Leadership. I. Harvard business review. II. Title: HBR’s ten must reads on leadership. III. Title: Harvard business review’s 10 must reads on leadership. HD57.7.H3914 2010 658.4'092—dc22 2010031617
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Contents What Makes a Leader? 1 Daniel Goleman What Makes an Effective Executive 23 Peter F. Drucker What Leaders Really Do 37 John P. Kotter The Work of Leadership 57 Ronald A. Heifetz and Donald L. Laurie Why Should Anyone Be Led by You? 79 Robert Goffee and Gareth Jones Crucibles of Leadership 97 Warren G. Bennis and Robert J. Thomas Level 5 Leadership: The Triumph of Humility and Fierce Resolve 115 Jim Collins Seven Transformations of Leadership 137 David Rooke and William R. Torbert Discovering Your Authentic Leadership 163 Bill George, Peter Sims, Andrew N. McLean, and Diana Mayer In Praise of the Incomplete Leader 179 Deborah Ancona, Thomas W. Malone, Wanda J. Orlikowski, and Peter M. Senge About the Contributors 197 Index 199 v
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What Makes a Leader? by Daniel Goleman EVERY BUSINESSPERSON KNOWS a story about a highly intelligent, highly skilled executive who was promoted into a leadership posi- tion only to fail at the job. And they also know a story about some- one with solid—but not extraordinary—intellectual abilities and technical skills who was promoted into a similar position and then soared. Such anecdotes support the widespread belief that identifying in- dividuals with the “right stuff” to be leaders is more art than sci- ence. After all, the personal styles of superb leaders vary: Some leaders are subdued and analytical; others shout their manifestos from the mountaintops. And just as important, different situations call for different types of leadership. Most mergers need a sensitive negotiator at the helm, whereas many turnarounds require a more forceful authority. I have found, however, that the most effective leaders are alike in one crucial way: They all have a high degree of what has come to be known asemotional intelligence. It’s not that IQ and technical skills are irrelevant. They do matter, but mainly as “threshold capabilities”; that is, they are the entry-level requirements for executive positions. But my research, along with other recent studies, clearly shows that emotional intelligence is the sine qua non of leadership. Without it, a person can have the best training in the world, an incisive, analytical 1
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GOLEMAN mind, and an endless supply of smart ideas, but he still won’t make a great leader. In the course of the past year, my colleagues and I have focused on how emotional intelligence operates at work. We have examined the relationship between emotional intelligence and effective performance, especially in leaders. And we have observed how emotional intelligence shows itself on the job. How can you tell if someone has high emotional intelligence, for example, and how can you recognize it in yourself ? In the following pages, we’ll explore these questions, taking each of the components of emo- tional intelligence—self-awareness, self-regulation, motivation, empathy, and social skill—in turn. Evaluating Emotional Intelligence Most large companies today have employed trained psychologists to develop what are known as “competency models” to aid them in identifying, training, and promoting likely stars in the leadership fir- mament. The psychologists have also developed such models for lower-level positions. And in recent years, I have analyzed compe- tency models from 188 companies, most of which were large and global and included the likes of Lucent Technologies, British Air- ways, and Credit Suisse. In carrying out this work, my objective was to determine which personal capabilities drove outstanding performance within these organizations, and to what degree they did so. I grouped capabilities into three categories: purely technical skills like accounting and business planning; cognitive abilities like analytical reasoning; and competencies demonstrating emotional intelligence, such as the ability to work with others and effectiveness in leading change. To create some of the competency models, psychologists asked senior managers at the companies to identify the capabilities that typified the organization’s most outstanding leaders. To create other models, the psychologists used objective criteria, such as a division’s profitability, to differentiate the star performers at senior levels within their organizations from the average ones. Those 2
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WHAT MAKES A LEADER? Idea in Brief What distinguishes great leaders • Self-regulation—controlling or from merely good ones? It isn’t IQ redirecting disruptive impulses or technical skills, says Daniel and moods Goleman. It’s emotional intelli- • Motivation—relishing achieve- gence: a group of five skills that ment for its own sake enable the best leaders to maxi- mize their own and their followers’ • Empathy—understanding other performance. When senior man- people’s emotional makeup agers at one company had a criti- • Social skill—building rapport cal mass of EI capabilities, their with others to move them in divisions outperformed yearly desired directions earnings goals by 20%. The EI skills are: We’re each born with certain levels of EI skills. But we can strengthen • Self-awareness—knowing one’s these abilities through persist- strengths, weaknesses, drives, ence, practice, and feedback from values, and impact on others colleagues or coaches. individuals were then extensively interviewed and tested, and their capabilities were compared. This process resulted in the creation of lists of ingredients for highly effective leaders. The lists ranged in length from seven to 15 items and included such ingredients as ini- tiative and strategic vision. When I analyzed all this data, I found dramatic results. To be sure, intellect was a driver of outstanding performance. Cognitive skills such as big-picture thinking and long-term vision were particularly important. But when I calculated the ratio of technical skills, IQ, and emotional intelligence as ingredients of excellent performance, emotional intelligence proved to be twice as important as the others for jobs at all levels. Moreover, my analysis showed that emotional intelligence played an increasingly important role at the highest levels of the company, where differences in technical skills are of negligible importance. In other words, the higher the rank of a person considered to be a star performer, the more emotional intelligence capabilities showed up as the reason for his or her effectiveness. When I compared star per- formers with average ones in senior leadership positions, nearly 3
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GOLEMAN Idea in Practice Understanding EI’S Components EI Component Definition Hallmarks Example Self-awareness Knowing one’s • Self-confidence A manager knows emotions, • Realistic self- tight deadlines bring strengths, assessment out the worst in him. weaknesses, • Self-deprecating So he plans his time drives, values, sense of humor to get work done well and goals—and • Thirst for in advance. their impact on constructive others criticism Self-regulation Controlling or • Trustworthiness When a team botches redirecting • Integrity a presentation, its disruptive • Comfort with leader resists the urge emotions and ambiguity and to scream. Instead, impulses change she considers possi- ble reasons for the failure, explains the consequences to her team, and explores solutions with them. Motivation Being driven to • A passion for A portfolio manager achieve for the the work itself at an investment sake of and for new company sees his achievement challenges fund tumble for three • Unflagging consecutive quarters. energy to Major clients defect. improve Instead of blaming • Optimism in the external circum- face of failure stances, she decides to learn from the experience—and engineers a turn- around. 4
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WHAT MAKES A LEADER? Empathy Considering • Expertise in An American consult- others’ attracting and ant and her team feelings, retaining talent pitch a project to a especially • Ability to potential client in when making develop others Japan. Her team decisions • Sensitivity to interprets the client’s cross-cultural silence as disap- differences proval, and prepares to leave. The consult- ant reads the client’s body language and senses interest. She continues the meet- ing, and her team gets the job. Social Skill Managing • Effectiveness in A manager wants relationships leading change his company to adopt to move people • Persuasiveness a better Internet in desired • Extensive strategy. He finds directions networking kindred spirits and • Expertise in assembles a de facto building and team to create a leading teams prototype Web site. He persuades allies in other divisions to fund the company’s participation in a relevant convention. His company forms an Internet division—and puts him in charge of it. Strengthening Your EI Use practice and feedback from others to strengthen specific EI skills. Example: An executive learned from others that she lacked empathy, especially the ability to listen. She wanted to fix the problem, so she asked a coach to tell her when she exhibited poor listening skills. She then role-played incidents to practice giving better responses; for ex- ample, not interrupting. She also began observing executives skilled at listening—and imitated their behavior. 5
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GOLEMAN HallmarksSelf-confidenceRealistic self-assessmentSelf-deprecating sense of humorTrustworthiness and integrityComfort with ambiguityOpenness to changeStrong drive to achieveOptimism, even in the face of failureOrganizational commitmentExpertise in building and retaining talentCross-cultural sensitivityService to clients and customersEffectiveness in leading changePersuasivenessExpertise in building and leading teams DefinitionThe ability to recognize and understand yourmoods, emotions, and drives, as well as theireffect on othersThe ability to control or redirect disruptive impulsesand moodsThe propensity to suspend judgment—to thinkbefore actingA passion to work for reasons that go beyondmoney or statusA propensity to pursue goals with energy andpersistenceThe ability to understand the emotional makeupof other peopleSkill in treating people according to their emotionalreactionsProficiency in managing relationships and buildingnetworksAn ability to find common ground and build rapport Empathy Motivation Social Skill Self-awarenessSelf-Regulation The five components of emotional intelligence at work 6
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WHAT MAKES A LEADER? 90% of the difference in their profiles was attributable to emotional intelligence factors rather than cognitive abilities. Other researchers have confirmed that emotional intelligence not only distinguishes outstanding leaders but can also be linked to strong performance. The findings of the late David McClelland, the renowned researcher in human and organizational behavior, are a good example. In a 1996 study of a global food and beverage com- pany, McClelland found that when senior managers had a critical mass of emotional intelligence capabilities, their divisions outper- formed yearly earnings goals by 20%. Meanwhile, division leaders without that critical mass underperformed by almost the same amount. McClelland’s findings, interestingly, held as true in the company’s U.S. divisions as in its divisions in Asia and Europe. In short, the numbers are beginning to tell us a persuasive story about the link between a company’s success and the emotional intel- ligence of its leaders. And just as important, research is also demon- strating that people can, if they take the right approach, develop their emotional intelligence. (See the sidebar “Can Emotional Intel- ligence Be Learned?”) Self-Awareness Self-awareness is the first component of emotional intelligence— which makes sense when one considers that the Delphic oracle gave the advice to “know thyself” thousands of years ago. Self-awareness means having a deep understanding of one’s emotions, strengths, weaknesses, needs, and drives. People with strong self-awareness are neither overly critical nor unrealistically hopeful. Rather, they are honest—with themselves and with others. People who have a high degree of self-awareness recognize how their feelings affect them, other people, and their job performance. Thus, a self-aware person who knows that tight deadlines bring out the worst in him plans his time carefully and gets his work done well in advance. Another person with high self-awareness will be able to work with a demanding client. She will understand the client’s im- pact on her moods and the deeper reasons for her frustration. “Their 7
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GOLEMAN Can Emotional Intelligence Be Learned? FOR AGES, PEOPLE HAVE DEBATED if leaders are born or made. So too goes the debate about emotional intelligence. Are people born with certain levels of empathy, for example, or do they acquire empathy as a result of life’s experiences? The answer is both. Scientific inquiry strongly suggests that there is a genetic component to emotional intelligence. Psychological and developmental research indicates that nurture plays a role as well. How much of each perhaps will never be known, but research and practice clearly demonstrate that emotional intelligence can be learned. One thing is certain: Emotional intelligence increases with age. There is an old-fashioned word for the phenomenon: maturity. Yet even with maturity, some people still need training to enhance their emotional intelligence. Un- fortunately, far too many training programs that intend to build leadership skills—including emotional intelligence—are a waste of time and money. The problem is simple: They focus on the wrong part of the brain. Emotional intelligence is born largely in the neurotransmitters of the brain’s limbic system, which governs feelings, impulses, and drives. Research indi- cates that the limbic system learns best through motivation, extended prac- tice, and feedback. Compare this with the kind of learning that goes on in the neocortex, which governs analytical and technical ability. The neocortex grasps concepts and logic. It is the part of the brain that figures out how to use a computer or make a sales call by reading a book. Not surprisingly—but mistakenly—it is also the part of the brain targeted by most training programs aimed at enhancing emotional intelligence. When such programs take, in ef- fect, a neocortical approach, my research with the Consortium for Research on Emotional Intelligence in Organizations has shown they can even have a negative impact on people’s job performance. To enhance emotional intelligence, organizations must refocus their training to include the limbic system. They must help people break old behavioral habits and establish new ones. That not only takes much more time than con- ventional training programs, it also requires an individualized approach. Imagine an executive who is thought to be low on empathy by her colleagues. Part of that deficit shows itself as an inability to listen; she interrupts people and doesn’t pay close attention to what they’re saying. To fix the problem, the executive needs to be motivated to change, and then she needs practice and feedback from others in the company. A colleague or coach could be tapped 8
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WHAT MAKES A LEADER? to let the executive know when she has been observed failing to listen. She would then have to replay the incident and give a better response; that is, demonstrate her ability to absorb what others are saying. And the executive could be directed to observe certain executives who listen well and to mimic their behavior. With persistence and practice, such a process can lead to lasting results. I know one Wall Street executive who sought to improve his empathy—specif- ically his ability to read people’s reactions and see their perspectives. Before beginning his quest, the executive’s subordinates were terrified of working with him. People even went so far as to hide bad news from him. Naturally, he was shocked when finally confronted with these facts. He went home and told his family—but they only confirmed what he had heard at work. When their opinions on any given subject did not mesh with his, they, too, were fright- ened of him. Enlisting the help of a coach, the executive went to work to heighten his em- pathy through practice and feedback. His first step was to take a vacation to a foreign country where he did not speak the language. While there, he mon- itored his reactions to the unfamiliar and his openness to people who were different from him. When he returned home, humbled by his week abroad, the executive asked his coach to shadow him for parts of the day, several times a week, to critique how he treated people with new or different per- spectives. At the same time, he consciously used on-the-job interactions as opportunities to practice “hearing” ideas that differed from his. Finally, the executive had himself videotaped in meetings and asked those who worked for and with him to critique his ability to acknowledge and understand the feelings of others. It took several months, but the executive’s emotional intel- ligence did ultimately rise, and the improvement was reflected in his overall performance on the job. It’s important to emphasize that building one’s emotional intelligence cannot—will not—happen without sincere desire and concerted effort. A brief seminar won’t help; nor can one buy a how-to manual. It is much harder to learn to empathize—to internalize empathy as a natural response to people— than it is to become adept at regression analysis. But it can be done. “Noth- ing great was ever achieved without enthusiasm,” wrote Ralph Waldo Emerson. If your goal is to become a real leader, these words can serve as a guidepost in your efforts to develop high emotional intelligence. 9
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GOLEMAN trivial demands take us away from the real work that needs to be done,” she might explain. And she will go one step further and turn her anger into something constructive. Self-awareness extends to a person’s understanding of his or her values and goals. Someone who is highly self-aware knows where he is headed and why; so, for example, he will be able to be firm in turn- ing down a job offer that is tempting financially but does not fit with his principles or long-term goals. A person who lacks self-awareness is apt to make decisions that bring on inner turmoil by treading on buried values. “The money looked good so I signed on,” someone might say two years into a job, “but the work means so little to me that I’m constantly bored.” The decisions of self-aware people mesh with their values; consequently, they often find work to be energizing. How can one recognize self-awareness? First and foremost, it shows itself as candor and an ability to assess oneself realistically. People with high self-awareness are able to speak accurately and openly—although not necessarily effusively or confessionally—about their emotions and the impact they have on their work. For instance, one manager I know of was skeptical about a new personal-shopper service that her com- pany, a major department-store chain, was about to introduce. Without prompting from her team or her boss, she offered them an explanation: “It’s hard for me to get behind the rollout of this service,” she admitted, “because I really wanted to run the project, but I wasn’t selected. Bear with me while I deal with that.” The manager did indeed examine her feelings; a week later, she was supporting the project fully. Such self-knowledge often shows itself in the hiring process. Ask a candidate to describe a time he got carried away by his feelings and did something he later regretted. Self-aware candidates will be frank in ad- mitting to failure—and will often tell their tales with a smile. One of the hallmarks of self-awareness is a self-deprecating sense of humor. Self-awareness can also be identified during performance reviews. Self-aware people know—and are comfortable talking about—their limitations and strengths, and they often demonstrate a thirst for constructive criticism. By contrast, people with low self-awareness interpret the message that they need to improve as a threat or a sign of failure. 10
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WHAT MAKES A LEADER? Self-aware people can also be recognized by their self-confidence. They have a firm grasp of their capabilities and are less likely to set themselves up to fail by, for example, overstretching on assign- ments. They know, too, when to ask for help. And the risks they take on the job are calculated. They won’t ask for a challenge that they know they can’t handle alone. They’ll play to their strengths. Consider the actions of a midlevel employee who was invited to sit in on a strategy meeting with her company’s top executives. Al- though she was the most junior person in the room, she did not sit there quietly, listening in awestruck or fearful silence. She knew she had a head for clear logic and the skill to present ideas persuasively, and she offered cogent suggestions about the company’s strategy. At the same time, her self-awareness stopped her from wandering into territory where she knew she was weak. Despite the value of having self-aware people in the workplace, my research indicates that senior executives don’t often give self- awareness the credit it deserves when they look for potential lead- ers. Many executives mistake candor about feelings for “wimpiness” and fail to give due respect to employees who openly acknowledge their shortcomings. Such people are too readily dismissed as “not tough enough” to lead others. In fact, the opposite is true. In the first place, people generally ad- mire and respect candor. Furthermore, leaders are constantly re- quired to make judgment calls that require a candid assessment of capabilities—their own and those of others. Do we have the manage- ment expertise to acquire a competitor? Can we launch a new prod- uct within six months? People who assess themselves honestly—that is, self-aware people—are well suited to do the same for the organiza- tions they run. Self-Regulation Biological impulses drive our emotions. We cannot do away with them—but we can do much to manage them. Self-regulation, which is like an ongoing inner conversation, is the component of emotional intelligence that frees us from being prisoners of our feelings. People 11
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