UNIVERSITY OF OKLAHOMA GRADUATE COLLEGE A QUALITATIVE STUDY OF GENERAL (RETIRED) GORDON R. SULLIVAN FORMER ARMY CHIEF OF STAFF A DISSERTATION SUBMITTED TO THE GRADUATE FACULTY in partial fulfillment of the requirements for the degree of Doctor of Philosophy By LINDA BORIE DUGAN Norman, Oklahoma 2006 UMI Number: 3239054 Copyright 2006 by Dugan, Linda Borie All rights reserved. UMI Microform 3239054 Copyright 2007 by ProQuest Information and Learning Company. All rights reserved. This microform edition is protected against unauthorized copying under Title 17, United States Code. ProQuest Information and Learning Company 300 North Zeeb Road P.O. Box 1346 Ann Arbor, MI 48106-1346 A QUALITATIVE STUDY OF GENERAL (RETIRED) GORDON R. SULLIVAN FORMER ARMY CHIEF OF STAFF A DISSERTATION APPROVED FOR THE GRADUATE COLLEGE BY ______________________________ Dr. Priscilla Griffith ______________________________ Dr. Trent Gabert ______________________________ Dr. Eric Day ______________________________ Dr. George Henderson ______________________________ Dr. Jane Bowerman ______________________________ Dr. Dorscine Spigner-Littles ©Copyright by LINDA BORIE DUGAN 2006 All Rights Reserved ACKNOWLEDGMENTS Max Dupree (1989) answered the question, “What is leadership?” by suggesting that the first responsibility of a leader is to define reality. The last is to say, “Thank you.” My appreciation runs deep and broad to family, colleagues, and a group of exemplary leaders. To the members of my dissertation committee I express both my appreciation and gratitude for their patience, support, and guidance. This project is the result of many individuals who have shared their knowledge, time and effort. I thank the many people who assisted and encouraged me. Many times it is the small gestures that make the whole endeavor possible. To Dr. Priscilla Griffith, a dynamic professor and friend, who ignited my interest in qualitative research while providing continuous support and encouragement throughout the entire process. To Dr.Trent Gabert, a leader by any sense of the word, for intriguing my interest in transformational leadership through classroom discussions and allowing me the opportunity to explore the subject in a deeper context. To Dr. George Henderson, a man of great wisdom and insight, for allowing me to think “inside and outside of the box” as I continued this learning experience. To Dr. Eric Day, an extremely motivating professor, who models excellence and leadership through the relationships he establishes with his students. To Dr. Jane Bowerman, a very inspirational professor, who allowed me the opportunity to be creative and explore solutions as I met subtle nuances within this project. Thank you for teaching me how to have humor and patience while enjoying the learning process. To Dr. Spigner-Littles, an incredible female role model, for your patience and expertise during this educational endeavor. iv I have tremendous admiration for the leaders who participated and made this study possible. Their wisdom and insight has provided a perspective on leadership and life that will influence my thinking forever. To General (Retired) Harold Nelson, a man with great love for leadership and history, for your encouragement of learning about leadership from the doctrine and past events. To General (Retired) John Tilelli, a man of strong perseverance, for kindling a light and desire for learning more about military leadership that I hope never goes out. To General (Retired) Ronald Griffith, a man of great integrity, for teaching me how to use vignettes as I tell my leadership stories. To General (Retired) Lon Maggart, a man of great patience and humor, for showing me how charts, drawings, or presentations can help to articulate what the goal or vision is trying to portray. To Colonel (Retired) Michael Harper, an incredible strategic leader, for your wisdom, knowledge, and intellect in the field of leadership. Thank you for teaching me that “a vision without follow through is a recipe for failure.” To General (Ret.) Carl Vuono, a leader of great honor and intellect, for teaching me that your ethical standards are your personal badge of honor that you must burnish and sustain through untarnished behavior and example. To General (Retired) Gordon Sullivan, an impeccable leader, for allowing me to delve deeper into your background and explore your leadership style through your eyes as well as your subordinates. Thank you for teaching me the importance of leading others through the power of teams and for showing me a clear and detailed map for leadership. My gratitude to all of the wonderful “Cohort three” members who became like family over the course of our studies together; especially, to Barbara Hickman for your constant encouragement and cheers to make sure the end was always in sight. To Joan Charles, v for your email and phone calls encouraging me to laugh a little along the way. To Mary Sullivan, for the many study nights, coffee breaks, and motivational words to help the process seem easier and within reach. Thank you for your continued support and confidence over the past years. To all of my colleagues at Richmond Hill High School for your constant support and encouragement throughout this incredible journey. Finally, to my family and husband for your love, support, commitment, and dedication for the success of this project. To my parents, Richard and Sandra Borie, who have always emphasized the value of education and encouraged the importance of completing anything that you start. To my sister and brother-in-law, Leah and Pat Barrett and their children Kiara and Karsun for understanding how research came before fun. To my brother Shane Borie and his daughter Logen, for providing an outlet to relieve stress through volleyball tournaments while my husband was deployed to Iraq. To my in-laws, Bob and Tari Dugan, for their encouraging words and care packages while studying in Oklahoma. To my sister-in-law and her husband, Matt and Jennifer Genovese and their children Caleb and Emily for your continuous words of encouragement to finish. To Mrs. Jean Secor, my “other grandma,” for the summer goodie bags and encouraging confidence you had in me to complete my research. To Brian Dugan, my husband, a soldier in the United States Army, my friend, the one I laugh with, live with, and love. Brian was my backbone from the beginning of this journey to the end. Despite being apart while protecting our country in Iraq for one year, his constant phone calls and letters of encouragement helped me maintain focus to stay on track. He gave me the idea and inspiration to learn more about military leadership. Whether it was pushing me or pulling me, he never let me quit. He enabled me to see the end of this educational vi excursion. Thank you for permitting me to place this study and research ahead of the more important things in life. Through Brian’s involvement and tireless support and assistance, this study became a personal passion. Brian’s efforts in helping me complete this project can only be described as heroic and sacrificial. Finally, to my newborn son, Bryce Chapman, for motivating me to finish this journey ahead of his birth. Completing this dissertation hours before the birth of my child is the ultimate blessing and gift to a mother. vii Table of Contents Page Table of Contents viii List of Figures and Tables xii Abstract xiii Introduction to Study 1 Leadership Scheme 6 Chapter I-Purpose of Study 7 Research Question 10 Statement of Problem 10 Significance 14 Definition of Terms 17 Chapter II-Review of Literature 20 Theories of Leadership 21 Characteristics of Leadership 24 Emotional Wisdom and Leadership 27 Covey, Kouzes, and Posner’s View on Leadership 28 Summary 29 Military Leadership 30 Be, Know, and Do 31 Leadership Framework 32 Importance of Beliefs, Ethics, and Values 34 The Traditional Principals of Military Leadership 36 viii Responsibility and Leadership Action Skills 37 Trait Theories 38 Motivation, Hygiene Factors 38 Social Exchange Theory 39 Behavioral Theories 39 Situational Leadership Theory 41 Emotional Intelligence 44 Transformational and Transactional Leadership Theories 46 Integrating Taxonomy of Managerial Behaviors 60 Four Strategies of Transformational Leadership 64 Further Research/Limitations of Study 72 Chapter III-Design and Methodology 75 The Site 77 Participant 78 Entrée 79 Informed Consent and Ethics 80 Data Collection 81 Interviews 82 Subordinate Interviews 84 The Transcription Process 84 Observations/Field Notes/Audit Trail 87 Archival Data 88 Data Analysis 89 ix Introduction of Participants 90 Reflections from the Researchers Field Notes 104 Transcription and Research Process Notes 105 Biographical and Demographic Information from Questionnaire 107 Chapter IV-Results and Discussion 109 Perceptions on Leadership 110 Perspectives on Vision 124 Impact of Change 134 Leadership Perspectives 147 Overall Summary 157 Chapter V-Conclusion 159 Analysis 163 Overall Conclusion 169 Implications and Recommendations 176 Key Practice from Research 176 Key Practice for Research and Leadership 179 Recommendation for Future Research 180 References 183 Appendices 191 Appendix A-Information Letter 191 Appendix B-Military Leader Letter 193 Appendix C-Informed Consent 194 Appendix D-Tape Recorder Informed Consent Script (Subordinate) 196 x Appendix E-Tape Recorder Informed Consent Script (Sullivan) 197 Appendix F-Interview Protocol for General (Ret.) Sullivan 198 Appendix G-Interview Protocol for Subordinates 201 Appendix H-Initial Questionnaire for Subordinates 203 Appendix I-Initial Questionnaire for General (Ret.) Sullivan 204 Appendix J-Letter for General (Ret.) Carl Vuono 205 Appendix K-Questionnaire for General (Ret.) Carl Vuono 206 xi List of Figures and Tables Figures Figure 1. Leadership Scheme (page 6) Designed by Researcher Dugan, 2005 Figure 2. Leadership Framework (page 32) Department of the Army, 1983, FM 22-100 Figure 3. Integrating Taxonomy of Managerial Behaviors (page 62) Copyright 1994 by Gary Yukl and Manus Associates Figure 4. Model of Change (page 70) Designed by Researcher Dugan 2005 Figure 5. The Four Strategies by Bennis and Nanus 1997 (page 71) Designed by Researcher Dugan 2005 Figure 6.