In HBR’s(The book I attached) 10 Must Reads chapter, Why Should Anyone be Led by You, the authors argue that inspirational leaders share four unexpected qualities. What are they and what connection do you see between each of them and some of the leadership topics we have studies so far?
CHOOSE ONE OF THE LEADERSHIP SKILLS FROM THE BOOK. FOR EXAMPLE, AUTHENTIC LEADERSHIP AND EXPLAIN WHY IN ABOUT 450 WORDS.
IMPORTANT: MUST BE HIGHLY CONNECTED TO THE CHAPTER YOU CHOOSE FOR THE LEADERSHIP SKILL.
Getting to yes: https://www.youtube.com/watch?v=lYdk1NK9-r0&feature=youtu.be
Negotiation Expert: https://www.youtube.com/watch?v=KTTtn0i_ZyA
CH9 ppt: https://drive.google.com/file/d/1apHXwGAxzNcn6i1ZBusDS8DT-ej42XIR/view?usp=sharing
1. After watching the two videos Getting to Yes and Negotiation Expert, and reviewing the PPT for Week #9, list at least three ways you can handle negotiation more effectively when in a conflict. Use an example for each one.
2. After reading the articles in Moodle and Chapter Six in Getting to Yes, think about a decision you need to make or a conflict that needs to be solved with negotiation. Describe your BATNA for the situation. Be specific and use at least one example of how you will carry your BATNA out for the problem.
To Madison, Isla, and Sullivan
Theory and Practice
Peter G. Northouse
Western Michigan University
SAGE Publications, Inc.
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Thousand Oaks, California 91320
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Copyright © 2019 by SAGE Publications, Inc.
All rights reserved. No part of this book may be reproduced or utilized in any form or by
any means, electronic or mechanical, including photocopying, recording, or by any
information storage and retrieval system, without permission in writing from the publisher.
Printed in the United States of America
Library of Congress Cataloging-in-Publication Data
Names: Northouse, Peter Guy, author.
Title: Leadership : theory and practice / Peter G. Northouse, Western Michigan University.
Description: Eighth Edition. | Thousand Oaks : SAGE Publications,  | Revised edition of the author’s
Leadership, 2015. | Includes index.
Identifiers: LCCN 2017049134 | ISBN 9781506362311 (pbk. : alk. paper)
Subjects: LCSH: Leadership. | Leadership—Case studies.
Classification: LCC HM1261 .N67 2018 | DDC 303.3/4—dc23 LC record available at
This book is printed on acid-free paper.
Acquisitions Editor: Maggie Stanley
Content Development Editor: Lauren Holmes
Editorial Assistant: Alissa Nance
Production Editor: Bennie Clark Allen
Copy Editor: Melinda Masson
Typesetter: C&M Digitals (P) Ltd.
Proofreader: Sally Jaskold
Indexer: Jean Casalegno
Cover Designer: Gail Buschman
Marketing Manager: Amy Lammers
3. About the Author
4. About the Contributors
5. 1. Introduction
6. 2. Trait Approach
7. 3. Skills Approach
8. 4. Behavioral Approach
9. 5. Situational Approach
10. 6. Path–Goal Theory
11. 7. Leader–Member Exchange Theory
12. 8. Transformational Leadership
13. 9. Authentic Leadership
14. 10. Servant Leadership
15. 11. Adaptive Leadership
16. 12. Followership
17. 13. Leadership Ethics
18. 14. Team Leadership
19. 15. Gender and Leadership
20. 16. Culture and Leadership
21. Author Index
22. Subject Index
About the Author
About the Contributors
Ways of Conceptualizing Leadership
Definition and Components
Trait Versus Process Leadership
Assigned Versus Emergent Leadership
Leadership and Power
Leadership and Coercion
Leadership and Management
Plan of the Book
2. Trait Approach
Five-Factor Personality Model and Leadership
Strengths and Leadership
How Does the Trait Approach Work?
Case 2.1 Choosing a New Director of Research
Case 2.2 A Remarkable Turnaround
Case 2.3 Recruiting for the Bank
Leadership Trait Questionnaire (LTQ)
3. Skills Approach
Summary of the Three-Skill Approach
Summary of the Skills Model
How Does the Skills Approach Work?
Case 3.1 A Strained Research Team
Case 3.2 A Shift for Lieutenant Colonel Adams
Case 3.3 Andy’s Recipe
4. Behavioral Approach
The Ohio State Studies
The University of Michigan Studies
Blake and Mouton’s Managerial (Leadership) Grid
Country-Club Management (1,9)
Impoverished Management (1,1)
Middle-of-the-Road Management (5,5)
Team Management (9,9)
How Does the Behavioral Approach Work?
Case 4.1 A Drill Sergeant at First
Case 4.2 Eating Lunch Standing Up
Case 4.3 We Are Family
Leadership Behavior Questionnaire
5. Situational Approach
How Does the Situational Approach Work?
Case 5.1 Marathon Runners at Different Levels
Case 5.2 Why Aren’t They Listening?
Case 5.3 Getting the Message Across
Situational Leadership® Questionnaire: Sample Items
6. Path–Goal Theory
How Does Path–Goal Theory Work?
Case 6.1 Three Shifts, Three Supervisors
Case 6.2 Direction for Some, Support for Others
Case 6.3 Playing in the Orchestra
Path–Goal Leadership Questionnaire
7. Leader–Member Exchange Theory
How Does LMX Theory Work?
Case 7.1 His Team Gets the Best Assignments
Case 7.2 Working Hard at Being Fair
Case 7.3 Taking on Additional Responsibilities
LMX 7 Questionnaire
8. Transformational Leadership
Transformational Leadership Defined
Transformational Leadership and Charisma
A Model of Transformational Leadership
Transformational Leadership Factors
Transactional Leadership Factors
Other Transformational Perspectives
Bennis and Nanus
Kouzes and Posner
How Does the Transformational Leadership Approach Work?
Case 8.1 The Vision Failed
Case 8.2 An Exploration in Leadership
Case 8.3 Her Vision of a Model Research Center
Sample Items From the Multifactor Leadership Questionnaire (MLQ)
9. Authentic Leadership
Authentic Leadership Defined
Approaches to Authentic Leadership
How Does Authentic Leadership Work?
Case 9.1 Am I Really a Leader?
Case 9.2 A Leader Under Fire
Case 9.3 The Reluctant First Lady
Authentic Leadership Self-Assessment Questionnaire
10. Servant Leadership
Servant Leadership Defined
Historical Basis of Servant Leadership
Ten Characteristics of a Servant Leader
Building a Theory About Servant Leadership
Model of Servant Leadership
Servant Leader Behaviors
Summary of the Model of Servant Leadership
How Does Servant Leadership Work?
Case 10.1 Everyone Loves Mrs. Noble
Case 10.2 Doctor to the Poor
Case 10.3 Servant Leadership Takes Flight
Servant Leadership Questionnaire
11. Adaptive Leadership
Adaptive Leadership Defined
A Model of Adaptive Leadership
Technical and Adaptive Challenges
How Does Adaptive Leadership Work?
Case 11.1 Silence, Stigma, and Mental Illness
Case 11.2 Taming Bacchus
Case 11.3 Redskins No More
Adaptive Leadership Questionnaire
Role-Based and Relational-Based Perspectives
Typologies of Followership
The Zaleznik Typology
The Kelley Typology
The Chaleff Typology
The Kellerman Typology
Theoretical Approaches to Followership
Reversing the Lens
The Leadership Co-Created Process
New Perspectives on Followership
Perspective 1: Followers Get the Job Done
Perspective 2: Followers Work in the Best Interest of the
Perspective 3: Followers Challenge Leaders
Perspective 4: Followers Support the Leader
Perspective 5: Followers Learn From Leaders
Followership and Destructive Leaders
1. Our Need for Reassuring Authority Figures
2. Our Need for Security and Certainty
3. Our Need to Feel Chosen or Special
4. Our Need for Membership in the Human Community
5. Our Fear of Ostracism, Isolation, and Social Death
6. Our Fear of Powerlessness to Challenge a Bad Leader
How Does Followership Work?
Case 12.1 Bluebird Care
Case 12.2 Olympic Rowers
Case 12.3 Penn State Sexual Abuse Scandal
13. Leadership Ethics
Level 1. Preconventional Morality
Level 2. Conventional Morality
Level 3. Postconventional Morality
Centrality of Ethics to Leadership
Heifetz’s Perspective on Ethical Leadership
Burns’s Perspective on Ethical Leadership
The Dark Side of Leadership
Principles of Ethical Leadership
Ethical Leaders Respect Others
Ethical Leaders Serve Others
Ethical Leaders Are Just
Ethical Leaders Are Honest
Ethical Leaders Build Community
Case 13.1 Choosing a Research Assistant
Case 13.2 How Safe Is Safe?
Case 13.3 Reexamining a Proposal
Ethical Leadership Style Questionnaire (Short Form)
14. Team Leadership
Team Leadership Model
How Does the Team Leadership Model Work?
Case 14.1 Can This Virtual Team Work?
Case 14.2 Team Crisis Within the Gates
Case 14.3 Starts With a Bang, Ends With a Whimper
Team Excellence and Collaborative Team Leader Questionnaire
15. Gender and Leadership
The Glass Ceiling Turned Labyrinth
Evidence of the Leadership Labyrinth
Understanding the Labyrinth
Gender Differences in Leadership Styles and Effectiveness
Navigating the Labyrinth
Case 15.1 The “Glass Ceiling”
Case 15.2 Lack of Inclusion and Credibility
Case 15.3 Pregnancy as a Barrier to Job Status
The Gender–Leader Implicit Association Test
16. Culture and Leadership
Dimensions of Culture
Clusters of World Cultures
Characteristics of Clusters
Leadership Behavior and Culture Clusters
Eastern Europe Leadership Profile
Latin America Leadership Profile
Latin Europe Leadership Profile
Confucian Asia Leadership Profile
Nordic Europe Leadership Profile
Anglo Leadership Profile
Sub-Saharan Africa Leadership Profile
Southern Asia Leadership Profile
Germanic Europe Leadership Profile
Middle East Leadership Profile
Universally Desirable and Undesirable Leadership Attributes
Case 16.1 A Challenging Workplace
Case 16.2 A Special Kind of Financing
Case 16.3 Whose Latino Center Is It?
Dimensions of Culture Questionnaire
This eighth edition of Leadership: Theory and Practice is written with the objective of
bridging the gap between the often-simplistic popular approaches to leadership and the
more abstract theoretical approaches. Like the previous editions, this edition reviews and
analyzes a selected number of leadership theories, giving special attention to how each
theoretical approach can be applied in real-world organizations. In essence, my purpose is
to explore how leadership theory can inform and direct the way leadership is practiced.
New to This Edition
First and foremost, this edition includes a new chapter on followership, which examines the
nature of followership, its underpinnings, and how it works. The chapter presents a
definition, a model, and the latest research and applications of this emerging approach to
leadership. It also examines the relationship between followership and destructive, or toxic,
leadership. In addition, the strengths and weaknesses of followership are examined, and a
questionnaire to help readers assess their own follower style is provided. Three case studies
illustrating followership, including one that addresses the Penn State sexual abuse scandal
and another that looks at the 1936 U.S. Olympic rowing team, are presented at the end of
In addition to the discussion of destructive leadership in Chapter 12, this edition includes
an expanded discussion of the dark side of leadership and psuedotransformational
leadership and the negative uses and abuses of leadership in several of the chapters. Readers
will also find that the ethics chapter features a new self-assessment instrument, the Ethical
Leadership Style Questionnaire (ELSQ), which assesses a leader’s style of ethical leadership
and will help leaders understand their decision-making preferences when confronting
This edition retains many special features from previous editions but has been updated to
include new research findings, figures and tables, and everyday applications for many
leadership topics including leader–member exchange theory, transformational and
authentic leadership, team leadership, the labyrinth of women’s leadership, and historical
definitions of leadership. The format of this edition parallels the format used in earlier
editions. As with previous editions, the overall goal of Leadership: Theory and Practice is to
advance our understanding of the many different approaches to leadership and ways to
practice it more effectively.
Although this text presents and analyzes a wide range of leadership research, every attempt
has been made to present the material in a clear, concise, and interesting manner. Reviewers
of the book have consistently commented that clarity is one of its major strengths. In
addition to the writing style, several other features of the book help make it user-friendly.
Each chapter follows the same format: It is structured to include first theory and then
Every chapter contains a discussion of the strengths and criticisms of the approach
under consideration, and assists the reader in determining the relative merits of each
Each chapter includes an application section that discusses the practical aspects of the
approach and how it could be used in today’s organizational settings.
Three case studies are provided in each chapter to illustrate common leadership issues
and dilemmas. Thought-provoking questions follow each case study, helping readers
to interpret the case.
A questionnaire is provided in each of the chapters to help the reader apply the
approach to his or her own leadership style or setting.
Figures and tables illustrate the content of the theory and make the ideas more
Through these special features, every effort has been made to make this text substantive,
understandable, and practical.
This book provides both an in-depth presentation of leadership theory and a discussion of
how it applies to real-life situations. Thus, it is intended for undergraduate and graduate
classes in management, leadership studies, business, educational leadership, public
administration, nursing and allied health, social work, criminal justice, industrial and
organizational psychology, communication, religion, agricultural education, political and
military science, and training and development. It is particularly well suited as a
supplementary text for core organizational behavior courses or as an overview text within
MBA curricula. This book would also be useful as a text in student activities, continuing
education, in-service training, and other leadership-development programs.
SAGE edge for Instructors
A password-protected instructor resource site at edge.sagepub.com/northouse8e supports
teaching with high-quality content to help in creating a rich learning environment for
students. The SAGE edge site for this book includes the following instructor resources:
Test banks built on AACSB standards, the book’s learning objectives, and Bloom’s
Taxonomy provide a diverse range of test items with ExamView test generation.
Each chapter includes 100 test questions to give instructors options for assessing
Editable, chapter-specific PowerPoint® slides offer complete flexibility for creating a
multimedia presentation for the course.
Lecture notes for each chapter align with PowerPoint slides to serve as an essential
reference, summarizing key concepts to ease preparation for lectures and class
Carefully selected video and multimedia content enhances exploration of key topics
to reinforce concepts and provide further insights.
Sample answers to questions in the text provide an essential reference.
Case notes include summaries, analyses, sample answers to assist with discussion, and
Suggested course projects and assignments help students to apply the concepts they
learn to see how they work in various contexts, providing new perspectives.
Chapter-specific discussion questions for study help launch classroom interaction by
prompting students to engage with the material and by reinforcing important
Exclusive access to influential SAGE journal articles and business cases ties
important research and scholarship to chapter concepts to strengthen learning.
Tables and figures from the book are available for download.
SAGE coursepacks provide easy LMS integration.
SAGE edge for students
The open-access companion website helps students accomplish their coursework goals in an
easy-to-use learning environment:
Mobile-friendly practice quizzes encourage self-guided assessment and practice.
Mobile-friendly flashcards strengthen understanding of key concepts.
Carefully selected video and multimedia content enhances exploration of key topics
to reinforce concepts and provide further insights.
EXCLUSIVE! Full-text SAGE journal articles have been carefully selected to
support and expand on the concepts presented in each chapter.
Meaningful web resources with exercises facilitate further exploration of topics.
SAGE coursepacks make it easy to import our quality instructor and student resource
content into your school’s learning management system (LMS) with minimal effort.
Intuitive and simple to use, SAGE coursepacks give you the control to focus on what really
matters: customizing course content to meet your students’ needs. The SAGE coursepacks,
created specifically for this book, are customized and curated for use in Blackboard, Canvas,
Desire2Learn (D2L), and Moodle.
In addition to the content available on the SAGE edge site, the coursepacks include the
Pedagogically robust assessment tools foster review, practice, and critical thinking
and offer a better, more complete way to measure student engagement:
Diagnostic chapter pretests and posttests identify opportunities for student
improvement, track student progress, and ensure mastery of key learning
Instructions on how to use and integrate the comprehensive assessments and
resources are provided.
Assignable video with corresponding multimedia assessment tools bring
concepts to life that increase student engagement and appeal to different
learning styles. The video assessment questions feed to your gradebook.
Integrated links to the eBook make it easy to access the mobile-friendly
version of the text, which can be read anywhere, anytime.
Leadership (8th ed.) is also available as an interactive eBook, which can be packaged with
the text for just $5 or purchased separately. The interactive eBook offers hyperlinks to
original and licensed videos, including Peter Northouse author videos in which the author
illuminates various leadership concepts. The interactive eBook includes additional case
studies, as well as carefully chosen journal articles from the web, all from the same pages
found in the printed text. Users will also have immediate access to study tools such as
highlighting, bookmarking, note-taking/sharing, and more!
Many people directly or indirectly contributed to the development of the eighth edition of
Leadership: Theory and Practice. First, I would like to acknowledge my editor, Maggie
Stanley, and her talented team at SAGE Publications (Lauren Holmes and Alissa Nance),
who have contributed in so many different ways to the quality and success of this book. For
their very capable work during the production phase, I would like to thank the copy editor,
Melinda Masson, and the project editor, Bennie Clark Allen. In her own unique way, each
of these people made valuable contributions to the eighth edition.
I would like to thank the following reviewers for their valuable contributions to the
development of this manuscript:
Sandra Arumugam-Osburn, St. Louis Community College-Forest Park
Rob Elkington, University of Ontario Institute of Technology
Abimbola Farinde, Columbia Southern University
Belinda S. Han, Utah Valley University
Deborah A. Johnson-Blake, Liberty University
Benjamin Kutsyuruba, Queen’s University
Chenwei Liao, Michigan State University
Heather J. Mashburn, Appalachian State University
Comfort Okpala, North Carolina A&T State University
Ric Rohm, Southeastern University
Patricia Dillon Sobczak, Virginia Commonwealth University
Victor S. Sohmen, Drexel University
Brigitte Steinheider, University of Oklahoma-Tulsa
Robert Waris, University of Missouri–Kansas City
Sandi Zeljko, Lake-Sumter State College
Mary Zonsius, Rush University
I would like to thank the following reviewers for their valuable contributions to the
development of the seventh edition manuscript:
Hamid Akbari, Winona State University
Meera Alagaraja, University of Louisville
Mel Albin, Excelsior College
Thomas Batsching, Reutlingen University
Cheryl Beeler, Angelo State University
Julie Bjorkman, Benedictine University
Mark D. Bowman, Methodist University
Dianne Burns, University of Manchester
Eric Buschlen, Central Michigan University
Steven Bryant, Drury University
Daniel Calhoun, Georgia Southern University
David Conrad, Augsburg College
Joyce Cousins, Royal College of Surgeons in Ireland
Denise Danna, LSUHSC School of Nursing
S. Todd Deal, Georgia Southern University
Caroline S. Fulmer, University of Alabama
Brad Gatlin, John Brown University
Greig A. Gjerdalen, Capilano University
Andrew Gonzales, University of California, Irvine
Decker B. Hains, Western Michigan University
Amanda Hasty, University of Colorado–Denver
Carl Holschen, Missouri Baptist University
Kiran Ismail, St. John’s University
Irma Jones, University of Texas at Brownsville
Michele D. Kegley, University of Cincinnati, Blue Ash College
Jeanea M. Lambeth, Pittsburg State University
David Lees, University of Derby
David S. McClain, University of Hawaii at Manoa
Carol McMillan, New School University
Richard Milter, Johns Hopkins University
Christopher Neck, Arizona State University–Tempe
Keeok Park, University of La Verne
Richard Parkman, University of Plymouth
Lori M. Pindar, Clemson University
Chaminda S. Prelis, University of Dubuque
Casey Rae, George Fox University
Noel Ronan, Waterford Institute of Technology
Louis Rubino, California State University, Northridge
Shadia Sachedina, Baruch College (School of Public Affairs)
Harriet L. Schwartz, Carlow University
Kelli K. Smith, University of Nebraska-Lincoln
David Swenson, The College of St. Scholastica
Danny L. Talbot, Washington State University
Robert L. Taylor, University of Louisville
Precious Taylor-Clifton, Cambridge College
John Tummons, University of Missouri
Kristi Tyran, Western Washington University
Tamara Von George, Granite State College
Natalie Walker, Seminole State College
William Welch, Bowie State University
David E. Williams, Texas Tech University
Tony Wohlers, Cameron University
Sharon A. Wulf, Worcester Polytechnic Institute School of Business
Alec Zama, Grand View University
Xia Zhao, California State University, Dominguez Hills
In addition, I would like to thank, for their exceptional work on the leadership profile tool
and the ancillaries, Isolde Anderson (Hope College), John Baker (Western Kentucky
University), Kari Keating (University of Illinois at Urbana-Champaign), Kathryn Woods
(Austin Peay State University), Eric Buschlen (Central Michigan University), Lou Sabina
(Stetson University), and Neda Dallal.
A very special acknowledgment goes to Laurel Northouse for her insightful critiques and
ongoing support. In addition, I am especially grateful to Marie Lee for her exceptional
editing and guidance throughout this project. For his review of and comments on the
followership chapter, I am indebted to Ronald Riggio (Claremont McKenna University). I
would like to thank Sarah Chace (Marian University) for her contributions to the adaptive
leadership chapter, Leah Omilion-Hodges (Western Michigan University) for her
contributions to the leader–member exchange chapter, Isolde Anderson (Hope College) for
her comprehensive literature reviews, Robin Curtiss for her contributions to a case study on
followership, and Rudy Leon for her editorial assistance.
Finally, I would like to thank the many undergraduate and graduate students whom I have
taught through the years. Their ongoing feedback has helped clarify my thinking about
leadership and encouraged me to make plain the practical implications of leadership
About the Author
Peter G. Northouse, PhD,
is Professor Emeritus of Communication in the School of Communication at
Western Michigan University. Leadership: Theory and Practice is the best-selling
academic textbook on leadership in the world and has been translated into 13
languages. In addition to authoring publications in professional journals, he is the
author of Introduction to Leadership: Concepts and Practice (now in its fourth edition)
and co-author of Leadership Case Studies in Education (now in its second edition) and
Health Communication: Strategies for Health Professionals (now in its third edition).
His scholarly and curricular interests include models of leadership, leadership
assessment, ethical leadership, and leadership and group dynamics. For more than 30
years, he has taught undergraduate and graduate courses in leadership, interpersonal
communication, and organizational communication on both the undergraduate and
graduate levels. Currently, he is a consultant and lecturer on trends in leadership
research, leadership development, and leadership education. He holds a doctorate in
speech communication from the University of Denver, and master’s and bachelor’s
degrees in communication education from Michigan State University.
About the Contributors
Crystal L. Hoyt
completed her doctorate in social psychology at the University of California, Santa
Barbara, and is a professor of leadership studies and psychology at the University of
Richmond. Her primary research interests include female and minority leaders,
stereotyping and discrimination, stigma, and cognitive biases. In her primary area of
research, she explores the role of beliefs, such as self-efficacy, implicit theories, and
political ideologies, in the experiences and perceptions of women and minorities in
leadership or STEM (science, technology, engineering, and mathematics) fields, or of
those who are overweight. In a more applied fashion, she examines factors, such as
role models, that may buffer individuals from the deleterious effects of stereotypes
and discrimination. Her research appears in journals such as Psychological Science,
Journal of Experimental and Social Psychology, Personality and Social Psychology
Bulletin, and The Leadership Quarterly. She has published over 50 journal articles and
book chapters, and she has co-edited three books.
Susan E. Kogler Hill
(PhD, University of Denver, 1974) is Professor Emeritus and former chair of the
School of Communication at Cleveland State University. Her research and
consulting have been in the areas of interpersonal and organizational communication.
She specializes in group leadership, teamwork, empowerment, and mentoring. She is
author of a text titled Improving Interpersonal Competence. In addition, she has
written book chapters and published articles in many professional journals.
is an assistant professor in the Department of Psychology at Siena College. She
earned her PhD in social psychology from Tulane University and was the Robert A.
Oden Jr. Postdoctoral Fellow for Innovation in the Liberal Arts at Carleton College
before joining the faculty at Siena. Her research centers on the psychology of
diversity, with a focus on prejudice, discrimination, and leadership. In her work, she
focuses on the perspective of the target of prejudice and …
“Getting to YES has an unrivaled place in the literature of dispute resolution. No other book in the field comes close to its impact on
the way practitioners, teachers, researchers, and the public approach negotiation.”
— NATIONAL INSTITUTE FOR DISPUTE RESOLUTION FORUM
“Getting to YES is a highly readable and practical primer on the fundamentals of negotiation. All of us, as negotiators dealing with
personal, community, and business problems, need to improve our skills in conflict resolution and agreement making. This concise
volume is the best place to begin.”
—JOHN T. DUNLOP
“This splendid book will help turn adversarial battling into hardheaded problem solving.”
“Getting to YES is a highly readable, uncomplicated guide to resolving conflicts of every imaginable dimension. It teaches you how to
win without compromising friendships. I wish I had written it!”
“Getting to YES is powerful, incisive, persuasive. Not a bag of tricks but an overall approach. Perhaps the most useful book you will
“Simple but powerful ideas that have already made a contribution at the international level are here made available to all. Excellent
advice on how to approach a negotiating problem.”
The authors of this book have been working together since 1977.
ROGER FISHER is Williston Professor of Law Emeritus at Harvard Law School, Founder and Director Emeritus of the Harvard Negotiation
Project, and the Founding Chair of the Program on Negotiation at Harvard Law School. Raised in Illinois, he served in World War II with the
U.S. Army Air Force, in Paris with the Marshall Plan, and in Washington, D.C., with the Department of Justice. He has also practiced law in
Washington and served as a consultant to the Department of Defense. He was the originator and executive editor of the award-winning
television series The Advocates. He has consulted widely with governments, corporations, and individuals. He is the author or coauthor of
numerous prize-winning scholarly and popular books, including his most recent: Beyond Reason: Using Emotions as You Negotiate.
WILLIAM URY is cofounder of Harvard’s Program on Negotiation and Distinguished Fellow of the Harvard Negotiation Project. Raised in
California and Switzerland, he is a graduate of Yale and Harvard, with a doctorate in social anthropology. Ury has served as a mediator and
advisor in negotiations ranging from wildcat strikes to ethnic wars around the world. He was a consultant to the White House on establishing
nuclear risk reduction centers in Washington and Moscow. His most recent project is Abraham’s Path, a route of cross-cultural travel in the
Middle East that retraces the footsteps of Abraham, the progenitor of many cultures and faiths. Ury’s most recent book is The Power of a
Positive No: Save the Deal, Save the Relationship, and Still Say No.
BRUCE PATTON is Cofounder and Distinguished Fellow of the Harvard Negotiation Project, cofounder of the Program on Negotiation at
Harvard Law School, and a founder and partner of Vantage Partners, LLC, a consulting firm that helps Global 2000 companies negotiate and
manage their most critical relationships. As a mediator, he helped structure the settlement of the U.S.–Iranian hostage conflict, worked with
Nobel Peace Prize winner Óscar Arias to ensure the success of the Arias Peace Plan for Central America, and worked with all parties in
South Africa helping to create the constitutional process that ended apartheid. A graduate of Harvard College and Harvard Law School, he is
also coauthor of the New York Times bestseller Difficult Conversations: How to Discuss What Matters Most.
BOOKS BY ROGER FISHER
Beyond Reason: Using Emotions as You Negotiate
(with Dan Shapiro, 2005)
Lateral Leadership: Getting Things Done When You’re NOT the Boss
(with Alan Sharp, 1998)
Coping with International Conflict: A Systematic Approach to Influence in International Negotiation (with Andrea Kupfer Schneider,
Elizabeth Borgwardt, and Brian Ganson, 1996)
(with Elizabeth Kopelman and Andrea Kupfer Schneider, 1994)
Getting Together: Building Relationships As We Negotiate
(with Scott Brown, 1988)
Improving Compliance with International Law (1981)
International Mediation: A Working Guide; Ideas for the Practitioner
(with William Ury, 1978)
International Crises and the Role of Law: Points of Choice (1978)
Dear Israelis, Dear Arabs: A Working Approach to Peace (1972)
International Conflict for Beginners (1969)
International Conflict and Behavioral Science: The Craigville Papers
(editor and coauthor, 1964)
BOOKS BY WILLIAM URY
The Power of a Positive No:
Save the Deal, Save the Relationship, and Still Say No (2007)
Must We Fight? (editor and coauthor, 2001)
The Third Side: Why We Fight and How We Can Stop (2000)
Getting Past No: Negotiating in Difficult Situations (1991, revised edition 1993)
Windows of Opportunity: From Cold War to Peaceful Competition in U.S.–Soviet Relations
(edited with Graham T. Allison and Bruce J. Allyn, 1989)
Getting Disputes Resolved: Designing Systems to Cut the Costs of Conflict
(with Jeanne M. Brett and Stephen B. Goldberg, 1988)
Beyond the Hotline: How Crisis Control Can Prevent Nuclear War (1985)
BOOKS BY BRUCE PATTON
Difficult Conversations: How to Discuss What Matters Most
(with Douglas Stone and Sheila Heen, 1999, 2nd Edition 2010)
WITHOUT GIVING IN
by ROGER FISHER
and WILLIAM URY
with BRUCE PATTON, EDITOR
• REVISED EDITIONS BY •
FISHER, URY, AND PATTON
Published by the Penguin Group
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First published in the United States of America by Houghton Mifflin Company 1981
Published in Penguin Books 1983
Second edition published 1991
This third edition published 2011
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Copyright © Roger Fisher and William Ury, 1981, 1991
Copyright © Roger Fisher, William Ury, and Bruce Patton, 2011
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LIBRARY OF CONGRESS CATALOGING-IN-PUBLICATION DATA
Fisher, Roger, 1922–
Getting to yes : negotiating agreement without giving in / by Roger Fisher, William Ury,
and Bruce Patton. — 3rd ed.
1. Negotiation. I. Ury, William. II. Patton, Bruce. III. Title.
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To our fathers,
WALTER T. FISHER, MELVIN C. URY,
and WILLIAM E. PATTON,
who by example taught us the power of principle.
Preface to the Third Edition
Thirty years have now passed since the initial publication of Getting to YES. We are delighted and
humbled that so many people from so many places around the world continue to find it helpful in
transforming their conflicts and negotiating mutually satisfying agreements. Little did we know at the time
of its publication that this slender book would become a reference point in a quiet revolution that has over
the course of three decades changed the way we make decisions within our families, organizations, and
The negotiation revolution
A generation ago, the prevailing view of decision-making in most places was hierarchical. The people at
the top of the pyramids of power—at work, in the family, in politics—were supposed to make the
decisions and the people at the bottom of the pyramids to follow the orders. Of course, the reality was
always more complicated.
In today’s world, characterized by flatter organizations, faster innovation, and the explosion of the
Internet, it is clearer than ever that to accomplish our work and meet our needs, we often have to rely on
dozens, hundreds, perhaps thousands of individuals and organizations over whom we exercise no direct
control. We simply cannot rely on giving orders—even when we are dealing with employees or children.
To get what we want, we are compelled to negotiate. More slowly in some places, more rapidly in others,
the pyramids of power are shifting into networks of negotiation. This quiet revolution, which accompanies
the better-known knowledge revolution, could well be called the “negotiation revolution.”
We began the first edition of Getting to YES with the sentence: “Like it or not, you are a negotiator.”
Back then, for many readers, that was an eye opener. Now it has become an acknowledged reality. Back
then, the term “negotiation” was more likely to be associated with specialized activities such as labor
talks, closing a sale, or perhaps international diplomacy. Now almost all of us recognize that we negotiate
in an informal sense with just about everyone we meet from morning to night.
A generation ago, the term “negotiation” also had an adversarial connotation. In contemplating a
negotiation, the common question in people’s minds was, “Who is going to win and who is going to
lose?” To reach an agreement, someone had to “give in.” It was not a pleasant prospect. The idea that
both sides could benefit, that both could “win,” was foreign to many of us. Now it is increasingly
recognized that there are cooperative ways of negotiating our differences and that even if a “win-win”
solution cannot be found, a wise agreement can still often be reached that is better for both sides than the
When we were writing Getting to YES, very few courses taught negotiation. Now learning to negotiate
well is accepted as a core competence with many courses offered in law schools, business schools,
schools of government, and even in quite a few primary, elementary, and high schools.
In short, the “negotiation revolution” is now in full sway around the world, and we take heart that the
commonsense tenets of principled negotiation have spread far and wide to good effect.
The work ahead
Still, while progress has been considerable, the work is far from done. Indeed, at no time in the last three
decades can we recall a greater need for negotiation based on a joint search for mutual gains and
A quick survey of the news on almost any day reveals the compelling need for a better way to deal
with differences. How many people, organizations, and nations are stubbornly bargaining over positions?
How much destructive escalation results in bitter family feuds, endless lawsuits, and wars without end?
For lack of a good process, how many opportunities are being lost to find solutions that are better for both
Conflict remains, as we have noted, a growth industry. Indeed, the advent of the negotiation revolution
has brought more conflict, not less. Hierarchies tend to bottle up conflict, which comes out into the open
as hierarchies give way to networks. Democracies surface rather than suppress conflict, which is why
democracies often seem so quarrelsome and turbulent when compared with more authoritarian societies.
The goal cannot and should not be to eliminate conflict. Conflict is an inevitable—and useful—part of
life. It often leads to change and generates insight. Few injustices are addressed without serious conflict.
In the form of business competition, conflict helps create prosperity. And it lies at the heart of the
democratic process, where the best decisions result not from a superficial consensus but from exploring
different points of view and searching for creative solutions. Strange as it may seem, the world needs
more conflict, not less.
The challenge is not to eliminate conflict but to transform it. It is to change the way we deal with our
differences—from destructive, adversarial battling to hard-headed, side-by-side problem-solving. We
should not underestimate the difficulty of this task, yet no task is more urgent in the world today.
We are living in an age that future anthropologists might look back on and call the first human family
reunion. For the first time, the entire human family is in touch, thanks to the communications revolution.
All fifteen thousand or so “tribes” or language communities on this planet are aware of one another
around the globe. And as with many family reunions, it is not all peace and harmony, but marked by deep
dissension and resentment of inequities and injustices.
More than ever, faced with the challenges of living together in a nuclear age on an increasingly
crowded planet, for our own sake and the sake of future generations, we need to learn how to change the
basic game of conflict.
In short, the hard work of getting to “yes” has just begun.
We have often heard from readers that Getting to YES continues to serve as an accessible guide to
collaborative negotiation in a wide variety of fields. At the same time, we realize a younger audience is
sometimes puzzled by stories and examples that were common knowledge thirty years ago, and many
readers are curious about contemporary cases. So in this edition we have undertaken a careful revision
and updating of examples and added some new ones where appropriate.
We have added to our toolbox considerably in thirty years, as captured in such books as Getting Past
No, Difficult Conversations, Beyond Reason, and The Power of a Positive No, each of which explores
important challenges in dealing collaboratively and effectively with serious differences. We’ve made no
attempt to summarize all of that material here, since one of the virtues of Getting to YES is that it is short
and clear. Instead, in this revision we have added a few relevant ideas where they help clarify our intent,
and in other places made slight revisions to update our thinking. For example, we have made our answer
to the final question in the book about negotiation power fully consistent with the “seven elements of
negotiation” framework we teach at Harvard Law School.
One adjustment we considered, but ultimately rejected, was to change the word “separate” to
“disentangle” in “separate the people from the problem,” the powerful first step in the method of
principled negotiation. Some readers have taken this phrase to mean leave aside the personal dimension
of negotiation and just focus on the substantive problem, or to ignore emotional issues and “be rational.”
That is not our intent. Negotiators should make dealing with people issues a priority from the beginning to
the end of a negotiation. As the text states at the start, “Negotiators are people first.”
Our belief is that by disentangling the people from the problem you can be “soft on the people” while
remaining “hard on the problem.” So long as you remain respectful and attentive to people issues, you
should be able to strengthen a relationship even as you disagree about substance.
Finally, we have added a bit of material on the impact of the means of communication in negotiation.
The growth of email and texting and the creation of global “virtual” organizations has made this an
important variable, especially in light of research showing its impact on negotiation dynamics and results.
Our human future
We are each participants in a pioneering generation of negotiators. While negotiation as a decision-
making process has been around since the beginning of the human story, never has it been so central to
human life and the survival of our species.
As the negotiation revolution unfolds, our aspiration is that the principles in this book continue to help
people—individually and collectively—negotiate the myriad dilemmas in their lives. In the words of the
poet Wallace Stevens: “After the final no there comes a yes and on that yes the future world depends.”
We wish you much success in getting to that yes!
Preface to the Second Edition
During the last ten years negotiation as a field for academic and professional concern has grown
dramatically. New theoretical works have been published, case studies have been produced, and
empirical research has been undertaken. Ten years ago very few professional schools offered courses on
negotiation; now they are all but universal. Universities are beginning to appoint faculty who specialize in
negotiation. Consulting firms now do the same in the corporate world.
Against this changing intellectual landscape, the ideas in Getting to YES have stood up well. They
have gained considerable attention and acceptance from a broad audience and are frequently cited as
starting points for other work. Happily, they remain persuasive to the authors as well. Most questions and
comments have focused on areas in which the book has proven ambiguous, or where readers have wanted
more specific advice. We have tried to address the most important of these topics in this revision.
Rather than tampering with the text (and asking readers who know it to search for changes), we have
chosen to add new material in a separate section at the end of the second edition. The main text remains
complete and unchanged from the original, except for updating the figures in examples to keep pace with
inflation and rephrasing in a few places to clarify meaning and eliminate sexist language. We hope that our
answers to “Ten Questions People Ask About Getting to YES” prove helpful and meet some of the
interests readers have expressed.
We address questions about (1) the meaning and limits of “principled” negotiation (it represents
practical, not moral, advice); (2) dealing with someone who seems to be irrational or who has a different
value system, outlook, or negotiating style; (3) questions about tactics, such as where to meet, who should
make the first offer, and how to move from inventing options to making commitments; and (4) the role of
power in negotiation.
More extensive treatment of some topics will have to await other books. Readers interested in more
detail about handling “people issues” in negotiation in ways that tend to establish an effective working
relationship might enjoy Getting Together: Building Relationships as We Negotiate, by Roger Fisher and
Scott Brown, also available from Penguin Books. If dealing with difficult people and situations is more
your concern, look for Getting Past No: Negotiating in Difficult Situations, by William Ury, published
by Bantam Books. No doubt other books will follow. There is certainly much more to say about power,
multilateral negotiations, cross-cultural transactions, personal styles, and many other topics.
Once again we thank Marty Linsky, this time for taking a careful eye and a sharp pencil to our new
material. Our special thanks to Doug Stone for his discerning critique, editing, and occasional rewriting
of successive drafts of that material. He has an uncanny knack for catching us in an unclear thought or
For more than a dozen years, Bruce Patton has worked with us in formulating and explaining all of the
ideas in this book. This past year he has pulled the laboring oar in converting our joint thinking into an
agreed text. It is a pleasure to welcome Bruce, editor of the first edition, as a full coauthor of this second
This book began as a question: What is the best way for people to deal with their differences? For
example, what is the best advice one could give a husband and wife getting divorced who want to know
how to reach a fair and mutually satisfactory agreement without ending up in a bitter fight? Perhaps more
difficult, what advice would you give one of them who wanted to do the same thing? Every day, families,
neighbors, couples, employees, bosses, businesses, consumers, salesmen, lawyers, and nations face this
same dilemma of how to get to yes without going to war. Drawing on our respective backgrounds in
international law and anthropology and an extensive collaboration over the years with practitioners,
colleagues, and students, we have evolved a practical method for negotiating agreement amicably without
We have tried out ideas on lawyers, businessmen, government officials, judges, prison wardens,
diplomats, insurance representatives, military officers, coal miners, and oil executives. We gratefully
acknowledge those who responded with criticism and with suggestions distilled from their experience.
We benefited immensely.
In truth, so many people have contributed so extensively to our learning over the years that it is no
longer possible to say precisely to whom we are indebted for which ideas in what form. Those who
contributed the most understand that footnotes were omitted not because we think every idea original, but
rather to keep the text readable when we owe so much to so many.
We could not fail to mention, however, our debt to Howard Raiffa. His kind but forthright criticism
has repeatedly improved the approach, and his notions on seeking joint gains by exploiting differences
and using imaginative procedures for settling difficult issues have inspired sections on these subjects.
Louis Sohn, deviser and negotiator extraordinaire, was always encouraging, always creative, always
looking forward. Among our many debts to him, we owe our introduction to the idea of using a single
negotiating text, which we call the One-Text Procedure. And we would like to thank Michael Doyle and
David Straus for their creative ideas on running brainstorming sessions.
Good anecdotes and examples are hard to find. We are greatly indebted to Jim Sebenius for his
accounts of the Law of the Sea Conference (as well as for his thoughtful criticism of the method), to Tom
Griffith for an account of his negotiation with an insurance adjuster, and to Mary Parker Follett for the
story of two men quarreling in a library.
We want especially to thank all those who read this book in various drafts and gave us the benefit of
their criticism, including our students in the January Negotiation Workshops of 1980 and 1981 at Harvard
Law School, and Frank Sander, John Cooper, and William Lincoln, who taught those workshops with us.
In particular, we want to thank those members of Harvard’s Negotiation Seminar whom we have not
already mentioned; they listened to us patiently these last two years and offered many helpful suggestions:
John Dunlop, James Healy, David Kuechle, Thomas Schelling, and Lawrence Susskind. To all of our
friends and associates we owe more than we can say, but the final responsibility for the content of this
book lies with the authors; if the result is not yet perfect, it is not for lack of our colleagues’ efforts.
Without family and friends, writing would be intolerable. For constructive criticism and moral support
we thank Caroline Fisher, David Lax, Frances Turnbull, and Janice Ury. Without Francis Fisher this book
would never have been written. He had the felicity of introducing the two of us some four years ago.
Finer secretarial help we could not have had. Thanks to Deborah Reimel for her unfailing competence,
moral support, and firm but gracious reminders, and to Denise Trybula, who never wavered in her
diligence and cheerfulness. And special thanks to the people at Word Processing, led by Cynthia Smith,
who met the test of an endless series of drafts and near impossible deadlines.
Then there are our editors. By reorganizing and cutting this book in half, Marty Linsky made it far
more readable. To spare our readers, he had the good sense not to spare our feelings. Thanks also to Peter
Kinder, June Kinoshita, and Bob Ross. June struggled to make the language less sexist. Where we have
not succeeded, we apologize to those who may be offended. We also want to thank Andrea Williams, our
adviser; Julian Bach, our agent; and Dick McAdoo and his associates at Houghton Mifflin, who made the
production of this book both possible and pleasurable.
Finally, we want to thank Bruce Patton, our friend and colleague, editor and mediator. No one has
contributed more to this book. From the very beginning he helped brainstorm and organize the syllogism
of the book. He has reorganized almost every chapter and edited every word. If books were movies, this
would be known as a Patton Production.
For the second edition of this book we would like to thank Jane von Mehren, our long-time editor at
Penguin Books, for her support, encouragement, and enthusiasm in making the second edition happen.
With the third edition, Rick Kot has admirably filled that role and we are grateful for his patience, good
sense, and fine editorial hand. Without Rick, this update might not have seen the light of day.
We also thank Mark Gordon, Arthur Martirosyan, and our friends at Mercy Corps for the account of
Iraqi farmers negotiating with the national oil company.
Preface to the Third Edition
Preface to the Second Edition
I THE PROBLEM
1 Don’t Bargain Over Positions
II THE METHOD
2 Separate the People from the Problem
3 Focus on Interests, Not Positions
4 Invent Options for Mutual Gain
5 Insist on Using Objective Criteria
III YES, BUT …
6 What If They Are More Powerful?
(DEVELOP YOUR BATNA—BEST ALTERNATIVE TO A NEGOTIATED AGREEMENT)
7 What If They Won’t Play?
(USE NEGOTIATION JUJITSU)
8 What If They Use Dirty Tricks?
(TAMING THE HARD BARGAINER)
IV IN CONCLUSION
V TEN QUESTIONS PEOPLE ASK ABOUT GETTING TO YES
QUESTIONS ABOUT FAIRNESS AND “PRINCIPLED” NEGOTIATION
QUESTIONS ABOUT DEALING WITH PEOPLE
QUESTIONS ABOUT TACTICS
QUESTIONS ABOUT POWER
ANALYTICAL TABLE OF CONTENTS
A NOTE ON THE HARVARD NEGOTIATION PROJECT
Like it or not, you are a negotiator. Negotiation is a fact of life. You discuss a raise with your boss. You
try to agree with a stranger on a price for his house. Two lawyers try to settle a lawsuit arising from a car
accident. A group of oil companies plan a joint venture exploring for offshore oil. A city official meets
with union leaders to avert a transit strike. The United States Secretary of State sits down with his
Russian counterpart to seek an agreement limiting nuclear arms. All these are negotiations.
Everyone negotiates something every day. Like Molière’s Monsieur Jourdain, who was delighted to
learn that he had been speaking prose all his life, people negotiate even when they don’t think of
themselves as doing so. You negotiate with your spouse about where to go for dinner and with your child
about when the lights go out. Negotiation is a basic means of getting what you want from others. It is back-
and-forth communication designed to reach an agreement when you and the other side have some interests
that are shared and others that are opposed (as well as some that may simply be different).
More and more occasions require negotiation; conflict is a growth industry. Everyone wants to
participate in decisions that affect them; fewer and fewer people will accept decisions dictated by
someone else. People differ, and they use negotiation to handle their differences. Whether in business,
government, or the family, people reach most decisions through negotiation. Even when they go to court,
they almost always negotiate a settlement before trial.
Although negotiation takes place every day, it is not easy to do well. Standard strategies for
negotiation often leave people dissatisfied, worn out, or alienated—and frequently all three.