Leadership Seventh Edition

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Leadership A Communication Perspective

Seventh Edition

Craig E. Johnson George Fox University

Michael Z. Hackman late of University of Colorado–Colorado Springs

WAVELAND

PRESS, INC. Long Grove, Illinois

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For information about this book, contact: Waveland Press, Inc. 4180 IL Route 83, Suite 101 Long Grove, IL 60047-9580 (847) 634-0081 info@waveland.com www.waveland.com

Copyright © 2018, 2013, 2009, 2004, 2000, 1996, 1991 by Waveland Press, Inc.

10-digit ISBN 1-4786-3502-9 13-digit ISBN 978-1-4786-3502-4

All rights reserved. No part of this book may be reproduced, stored in a retrieval sys- tem, or transmitted in any form or by any means without permission in writing from the publisher.

Printed in the United States of America

7 6 5 4 3 2 1

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� Mike, this one’s for you.

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About the Authors

Craig E. Johnson (PhD, University of Denver) is emeritus professor of leader- ship studies at George Fox University, Newberg, Oregon, where he taught a variety of courses in leadership, ethics, communication, and management at the under- graduate and doctoral level. During his time at the university he served as chair of the Department of Communication Arts and founding director of the George Fox Doctor of Management/Doctor of Business Administration program. Though retired from full-time teaching, Dr. Johnson continues to serve as an adjunct pro- fessor. He is author of Organizational Ethics: A Practical Approach (4th ed.) and Meeting the Ethical Challenges of Leadership: Casting Light or Shadow (6th ed.). His articles have appeared in such journals as Communication Quarterly, The Journal of Leadership Studies, The Journal of Leadership and Organizational Studies, Acad- emy of Management Learning and Education, The Journal of Leadership Education, Communication Education, Communication Reports, and International Listening Association Journal. Johnson has served in leadership roles in several nonprofit organizations and has participated in educational and service trips to Kenya, Rwanda, Honduras, Brazil, China, and New Zealand. Professor Johnson is a past recipient of George Fox University’s distinguished teaching award and 2016 recipi- ent of the outstanding graduate faculty researcher award. When he is not writing or teaching, Dr. Johnson enjoys working out, fly fishing, camping, and reading.

Michael Z. Hackman (PhD, University of Denver) was a professor in the Department of Communication at the University of Colorado–Colorado Springs and an adjunct at the Center for Creative Leadership. He taught courses in com- munication, including Foundations of Leadership, Leadership Theory and Practice, Organizational Leadership, Leadership Communication in a Global Environment, and Leadership and Organizational Change. In 1995, he was awarded the univer- sity-wide Outstanding Teacher award. Dr. Hackman’s research focused on a wide range of issues, including the impact of gender and culture on communication and leadership behavior, leadership succession, organizational trust, and creativity. His work appeared in such journals as Communication Education, Communication Quarterly, The Journal of Leadership Studies, Leadership, The Leadership Review,

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and the Southern Speech Communication Journal. He was the coauthor (with Craig Johnson) of Creative Communication: Principles and Applications and (with Pam Shockley-Zalabak and Sherwyn Morreale) of Building the High-Trust Organiza- tion. Dr. Hackman served as a visiting professor at the University of Waikato in Hamilton, New Zealand, on four separate occasions between 1991–2002. He also served as an adjunct professor at the University of Siena (Italy) and the University of Vienna (Austria), and lectured at the China Executive Leadership Academy Pudong in Shanghai and the SP Jain Center of Management in Dubai (UAE).

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Acknowledgments

The inspiration for this text came while Michael Hackman and I were graduate students at the University of Denver. We agreed to write a book together but weren’t sure what topic to write about. Mike called me a couple of years after we had both graduated to propose a leadership text from a communication vantage point. That collaboration, which produced the previous six editions, was truly a labor of love and served to shape our friendship and our careers.

In 2016 Mike died after battling cancer. The world lost an outstanding educa- tor, scholar, international consultant, professional colleague, friend, and father. This edition is dedicated to him.

Thanks to all who adopted previous editions. Based on your positive response, I remain convinced that there is value in examining leadership from a communica- tion vantage point. To those considering this text for the first time, I hope that it will prove to be a useful tool for both you and your students.

Over the years many students and colleagues provided their own leadership stories along with encouragement, advice, and support. In particular I want to rec- ognize Alvin Goldberg, our mentor at the University of Denver, who was instru- mental in igniting our interest in the topic of leadership.

Thanks to Carol Rowe at Waveland Press who has been a constant source of encouragement and inspiration over the years. Laurie Prossnitz prepared this edi- tion for publication. A number of research assistants from the University of Colo- rado–Colorado Springs and George Fox University helped with the previous editions. Linda Crossland assisted in preparing materials for this version. I am grateful for all of your help. My greatest appreciation, however, is reserved for the Hackman and Johnson families, who lovingly supported our continuing journey to explore the latest developments in leadership.

—Craig E. Johnson

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Contents

Preface xvii

1 Leadership and Communication 1 Leadership: At the Core of Human Experience 2 Defining Leadership 2

The Symbolic Nature of Human Communication 5 The Human Communication Process 8 Leadership: A Special Form of Human Communication 11 Leaders vs. Managers 13 The Question of “Bad” Leadership 14 The Leader/Follower Relationship 19

Viewing Leadership from a Communication Perspective 21 Willingness to Communicate 21 Storytelling as Leadership 25 Emotional Communication Competencies 27 Playing to a Packed House: Leaders as Impression Managers 31

CHAPTER TAKEAWAYS 34 APPLICATION EXERCISES 35 CULTURAL CONNECTIONS: FOSTERING CIRCLES THROUGH STORIES 36 LEADERSHIP ON THE BIG SCREEN: THE BEST OF MEN 37

2 Leadership and Followership Communication Styles 39 The Dimensions of Leadership Communication Style 40 Authoritarian, Democratic, and Laissez-Faire Leadership 40 Task and Interpersonal Leadership 46

The Michigan Leadership Studies 49 The Ohio State Leadership Studies 50 McGregor’s Theory X and Theory Y 53 Blake and McCanse’s Leadership Grid® 54

ix

x Contents

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Follower Communication Styles 55 Engaged Followers 56 Exemplary Followership 57 The 4-D Followership Model 61 Transcendent Followership 62

Communication Styles, Information Processing, and Identity 63

CHAPTER TAKEAWAYS 68 APPLICATION EXERCISES 69 CULTURAL CONNECTIONS: THE PERFORMANCE-MAINTENANCE (PM)

THEORY OF LEADERSHIP 70 LEADERSHIP ON THE BIG SCREEN: IN THE HEART OF THE SEA 71

3 Traits, Situational, Functional, Skills, and 73 Relational Leadership Understanding and Explaining Leadership 74 The Traits Approach to Leadership 75 The Situational Approach to Leadership 81

Path-Goal Theory 81 Hersey and Blanchard’s Situational Leadership Approach 84

The Functional Approach to Leadership 86 Task-Related Roles 88 Group-Building and Maintenance Roles 89 Individual Roles 89

The Skills Approach to Leadership 90 The Three-Skill Model 91 Task-Based Competencies 92 Problem-Solving Capabilities 93

The Relational Approach to Leadership 94 Vertical Dyad Linkage Model 95 Leader-Member Exchange Theory 95

CHAPTER TAKEAWAYS 99 APPLICATION EXERCISES 100 CULTURAL CONNECTIONS: PATERNALISTIC LEADERSHIP 101 LEADERSHIP ON THE BIG SCREEN: CONCUSSION 102

4 Transformational and Charismatic Leadership 105 The Transformational Approach to Leadership 106 The Characteristics of Transformational Leadership 110

Creative 111 Interactive 114 Visionary 117 Empowering 122 Passionate 122

Contents xi

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Perspectives on Charisma 125 The Sociological Approach 126 The Behavioral/Attribution Approach 127 The Communication Approach 130

Transformational and Charismatic Leadership: Interchangeable or Distinct? 132

Alternative Approaches to Outstanding Leadership 134 Authentic Leadership 134 The CIP (Charismatic/Ideological/Pragmatic)

Leadership Model 137 CHAPTER TAKEAWAYS 139 APPLICATION EXERCISES 140 CULTURAL CONNECTIONS: IS TRANSFORMATIONAL/CHARISMATIC

LEADERSHIP A UNIVERSAL CONCEPT? 141 LEADERSHIP ON THE BIG SCREEN: THE MAN IN THE MACHINE 142

5 Leadership and Power 145 Power: Mixed Emotions 146 Power and Leadership 146

Interdependent but Not Interchangeable 146 Sources of Power 147

Deciding Which Types of Power to Use 151 Engaging in Constructive Organizational Politics 153 Powerful and Powerless Talk 156 Empowerment 158

Components of the Empowerment Process 162 Empowerment Models 165

CHAPTER TAKEAWAYS 172 APPLICATION EXERCISES 173 CULTURAL CONNECTIONS: A DIFFERENT VIEW ON POWER—

THE SOUTH AFRICAN CONCEPT OF UBUNTU 174 LEADERSHIP ON THE BIG SCREEN:

STAR WARS EPISODE VII—THE FORCE AWAKENS 175

6 Leadership and Influence 177 Credibility: The Key to Successful Influence 178

Dimensions and Challenges of Credibility 179 Building Your Credibility 180

Compliance-Gaining Strategies 184 Managerial Influence Tactics 184 Upward Dissent 187

Developing Argumentative Competence 189

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The Leader as Negotiator 194 Creating a Cooperative Climate 195 Perspective-Taking Skills 197 Negotiation as Joint Problem Solving 199

Resisting Influence: Defending against the Power of Mental Shortcuts 201

CHAPTER TAKEAWAYS 207 APPLICATION EXERCISES 208 CULTURAL CONNECTIONS: NEGOTIATION IN INDIA 211 LEADERSHIP ON THE BIG SCREEN: WOMAN IN GOLD 212

7 Leadership in Groups and Teams 213 Fundamentals of Group Interaction 214

Viewing Groups from a Communication Perspective 214 Group Evolution 216

Emergent Leadership 217 How Not to Emerge as a Leader 217 Useful Strategies 218 Appointed vs. Emergent Leaders 219

Leadership in Meetings 220 Group Decision Making 224

Functions and Formats 224 Avoiding the Pitfalls 228

Team Leadership 232 When Is a Group a Team? 232 Developing Team-Building Skills 235 Project Leadership 237 Leading Virtual Teams 240 Team Coaching 244

CHAPTER TAKEAWAYS 246 APPLICATION EXERCISES 247 CULTURAL CONNECTIONS:

AMERICAN AND ASIAN STUDENT GROUPS 248 LEADERSHIP ON THE BIG SCREEN: THE WAY 249

8 Leadership in Organizations 251 The Leader as Culture Maker 252

Elements of Organizational Culture 252 Shaping Culture 255 Creating a Learning, Trusting Culture 260

The Leader as Strategist 267 The Leader as Sensemaker 271 Intergroup Leadership 277

Contents xiii

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The Power of Expectations: The Pygmalion Effect 278 The Communication of Expectations 281 The Galatea Effect 282 Putting Pygmalion to Work 283

CHAPTER TAKEAWAYS 285 APPLICATION EXERCISES 286 CULTURAL CONNECTIONS: PLAYING CATCH-UP IN KOREA 288 LEADERSHIP ON THE BIG SCREEN: ALL THINGS MUST PASS 289

9 Public Leadership 291 The Power of Public Leadership 292 Leading Public Opinion through Public Relations 292 Influencing Audiences through Public Address 298

A Key Leadership Tool 298 Developing Effective Public Speeches 300

Persuasive Campaigns 308 Characteristics of Successful Campaigns 309 Campaign Stages 313

Collaborative (Integrative) Leadership 316 Attributes 317 Skills 317 Behaviors 317

CHAPTER TAKEAWAYS 319 APPLICATION EXERCISES 320 CULTURAL CONNECTIONS: PUBLIC SPEAKING IN KENYA 321 LEADERSHIP ON THE BIG SCREEN: BRAVEHEART 322

10 Leadership and Diversity 323 Managing Diversity—The Core of Leadership 324 Understanding Cultural Differences 324

Defining Culture 324 Classifying Cultures 326 Cultural Intelligence (CQ) 334 Cultural Synergy 336

Fostering Diversity 338 The Benefits of Diversity 338 Obstacles to Diversity 341 Promoting Diversity: Overcoming the Barriers 342

The Gender Leadership Gap: Breaking the Glass Ceiling, Avoiding the Glass Cliff, and Navigating the Labyrinth 345

Male and Female Leadership Behavior: Is There a Difference? (And Do Women Make Better Leaders?) 347

Creating the Gap 348 Narrowing the Gap 351

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CHAPTER TAKEAWAYS 355 APPLICATION EXERCISES 356 CULTURAL CONNECTIONS: THE NOT SO UNIVERSAL

LANGUAGE OF SPORTS 357 LEADERSHIP ON THE BIG SCREEN: THE HUNDRED-FOOT JOURNEY 359

11 Ethical Leadership and Followership 361 The Importance of Ethics 362 The Ethical Challenges of Leadership:

Casting Light or Shadow 362 The Challenge of Information Management 362 The Challenge of Responsibility 364 The Challenge of Power 366 The Challenge of Privilege 367 The Challenge of Loyalty 368 The Challenge of Consistency 368

Components of Ethical Behavior 370 Component 1: Moral Sensitivity (Recognition) 370 Component 2: Moral Judgment 371 Component 3: Moral Motivation 371 Component 4: Moral Character (Implementation) 372

Ethical Perspectives 374 Kant’s Categorical Imperative 374 Utilitarianism 375 Justice as Fairness 375 Virtue Ethics 377 Altruism 382 Leaders as Servants 385

Meeting the Ethical Challenges of Followership 389 Servant Followership 391 Courageous Followership 391

CHAPTER TAKEAWAYS 395 APPLICATION EXERCISES 397 CULTURAL CONNECTIONS: MORAL TASTE BUDS 398 LEADERSHIP ON THE BIG SCREEN: ANGELS IN THE DUST 399

12 Leader and Leadership Development 401 Leader Development: A Lifelong Journey 402 A Proactive Approach to Leader Development 402

Raise Your Developmental Readiness Level 403 Seek Out Leadership Learning Opportunities 404 Establish Developmental Relationships 407 Capitalize on Your Experiences 412

Contents xv

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Leader Development as an Internal Process 419 Stephen Covey: The 7 Habits of Highly Effective People 419 Kevin Cashman: Leadership from the Inside Out 421 The Role of Spirituality in Leader Development 422

Leadership Transitions 425 Leadership Passages 426 Taking Charge 428 Succession Planning 431

CHAPTER TAKEAWAYS 433 APPLICATION EXERCISES 434 CULTURAL CONNECTIONS: COACHING ACROSS CULTURES 435 LEADERSHIP ON THE BIG SCREEN: THE INTERN 436

13 Leadership in Crisis 437 The Crucible of Crisis 438 Anatomy of a Crisis 439

Crisis Types 439 Crisis Stages 440

Crisis Leadership 443 Precrisis Leadership 444 Leading during the Crisis Event 451 Postcrisis Leadership 455

Extreme Leadership 466 CHAPTER TAKEAWAYS 469 APPLICATION EXERCISES 471 CULTURAL CONNECTIONS: BATTLING EBOLA AND CULTURE 472 LEADERSHIP ON THE BIG SCREEN: PATRIOTS DAY 473

Endnotes 475 Bibliography 519 Index 562

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Preface

Readers of the previous editions of Leadership: A Communication Perspective will note a variety of changes. New material and research highlights have been added on a number of topics. For instance: transcendent followership, the leader- ship skills approach, alternative pathways to outstanding leadership, team coach- ing, escalation of commitment, strategy, invisible leadership, cultural intelligence, raising leadership development readiness, 360-degree feedback, trigger events, sit- uational crisis communication theory, and resilience. You’ll find revised coverage of a number of other topics, including, for example, identity and leadership, the traits approach, authentic leadership theory, Taoism, public relations, and persua- sive campaigns.

Examples, sources, and cases have been updated throughout the book. All of the films and documentaries described in the Leadership on the Big Screen feature at the end of every chapter are new to this edition as are a majority of the Cultural Connections features. There are new case studies on The Container Store, Alibaba’s Jack Ma, Zappos, Airbnb, Sheryl Sandberg, Uber, Colombian President Juan Man- uel Santos, Waffle House, Chipotle, and leadership in Antarctica. New self-assess- ments measure readers’ perceptions of emotional language, personal leadership style, motivation to lead, organization-public relationships, cultural intelligence, servant leadership, and personal leadership skills. Leadership: A Communication Perspective continues to integrate theory and practice. Each chapter blends discus- sion of research and theory with practical suggestions for improving leadership effectiveness. Chapter takeaways highlight important concepts and action steps. Application exercises provide the opportunity to further explore and practice chap- ter concepts.

Chapter 1 examines the relationship between leadership and communication with an in-depth look at the nature of leadership, both good and bad, and the leader/ follower relationship. Chapter 2 surveys the research on leader and follower com- munication styles as well as the link between information processing, identity, and style selection. Chapters 3 and 4 summarize the development of leadership theory with an overview of the traits, situational, functional, relational, transformational,

xvii

xviii Preface

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charismatic, CIP, and authentic approaches. Chapters 5 and 6 focus on two ele- ments—power and influence—that are essential to the practice of leadership.

The next three chapters provide an overview of leadership in specific contexts. Chapter 7 introduces group and team leadership and describes the special chal- lenges of leading project and virtual teams. Chapter 8 is a discussion of organiza- tional leadership with particular focus on the creation of culture, developing strategy, sense making, and the communication of expectations. Chapter 9 exam- ines the power of public leadership, highlighting public relations, public speaking, and persuasive campaigns.

The final four chapters look at important leadership issues. Chapter 10 describes the impact of cultural differences on leading and following, how to foster diversity, and how to narrow the gender leadership gap. Chapter 11 outlines the ethical challenges facing leaders and followers, components of ethical behavior, and ethical perspectives that can guide both leaders and followers. Chapter 12 identifies proactive leader development strategies as well as tools for managing leadership transitions. Chapter 13 examines the role of leadership in preventing and responding to crises and addresses leadership in extreme contexts.

As noted in the preface to previous editions, this text is designed as an intro- duction to leadership from a communication vantage point, not as the final word (as if there could be one) on the topic. Please consider Leadership: A Communica- tion Perspective as our contribution to a continuing dialogue with you on the sub- jects of leading and following. Throughout the book we’ll invite you to disagree with our conclusions, generate additional insights of your own, debate controver- sial issues, and explore topics in depth through research projects, reflection papers, and small group discussions. We hope you will discover additional topics that you think are essential to the study and practice of leadership and will investi- gate them on your own.

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����� 1

Leadership and Communication

� Leadership is action, not position.

—Donald McGannon

�

OVERVIEW Leadership: At the Core of Human Experience Defining Leadership

The Symbolic Nature of Human Communication The Human Communication Process Leadership: A Special Form of Human Communication Leaders vs. Managers The Question of “Bad” Leadership The Leader/Follower Relationship

Viewing Leadership from a Communication Perspective Willingness to Communicate Storytelling as Leadership Emotional Communication Competencies Playing to a Packed House: Leaders as Impression Managers

1

2 Chapter One

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Leadership: At the Core of Human Experience Leadership attracts universal attention. Historians, philosophers, and social

scientists have attempted to understand and to explain leadership for centuries. From Confucius to Plato to Machiavelli, many of the world’s most renowned think- ers have theorized about how people lead one another.1 One reason for the fascina- tion with this subject lies in the very nature of human experience. Leadership is all around us. We get up in the morning, open up our tablets or smart phones, turn on our computer, radio, or television, and discover what actions leaders all over the world have taken. We attend classes, go to work, and interact in social groups—all with their own distinct patterns of leadership. Our daily experiences with leader- ship are not that different from the experiences of individuals in other cultures. Leadership is an integral part of human life in rural tribal cultures as well as in modern industrialized nations. Assessing your past leadership efforts can provide a good starting point for understanding why the success of leadership often varies so significantly. Identify your own best and worst leadership moments and what you learned from these experiences by completing the self-assessment exercise in box 1.1.

Followers prosper under effective leaders and suffer under ineffective leaders whatever the context: government, corporation, church, mosque or synagogue, school, athletic team, or class project group. The study of leadership, then, is more than academic. Understanding leadership has practical importance for all of us. (See the case study in box 1.2 for a dramatic example of how important leadership can be.) In this text we will examine leadership in a wide variety of situations. The perspective, however, remains the same—leadership is best understood from a communication standpoint. As Gail Fairhurst and Robert Sarr explain, effective leaders use language as their most tangible tool for achieving desired outcomes.2 Let’s begin our exploration of leadership by considering the special nature of human communication and the unique qualities of leadership.

Defining Leadership As noted above, leadership is a fundamental element of the human condition.

Wherever society exists, leadership exists. Any definition of leadership must account for its universal nature. Leadership seems to be linked to what it means to be human. As communication specialists, we believe that what makes us unique as humans is our ability to create and manipulate symbols.

� I take leadership to signify the act of making a difference.

—Michael Useem

Leadership and Communication 3

Box 1.1 Self-Assessment Your Best and Worst Leadership Moment3

We all have had leadership success at some point. Whether in high school, college, in a music group, in sports, in a condominium association or religious group, or on the job, we have all accomplished goals through other people. We have all acted as leaders. Looking back over your experiences, what is the moment that you are most proud of as a leader? Describe the details of that moment below.

Not only have we had leadership success, we’ve also endured leadership failure. Becoming a leader requires reflecting on and learning from past miscues so that you don’t repeat errors. What was your worst experience as a leader? Record your thoughts in the space below.

Given the best and worst leadership experiences you identified, consider the lessons you have learned about leadership in the past. In working through this assessment it can be very helpful to share your leadership stories with others so that you have a richer set of examples from which to compile a list of leadership lessons. The lessons learned from past leadership experiences might be things like: It is difficult to succeed as a leader when followers are not motivated; leadership works best when you have a clear sense of direction; or a leader must be sure his or her message is under- stood to ensure followers stay involved. Try to identify 10 leadership lessons your experiences (and, if possible, those of others) have provided.

Leadership Lessons

1.

AnTr+”rABU,L * F’ATIH The History of the Life and

Accomplishments of Mehmed II, Conqueror of Istanbul, by Tursun B”g. Facsimile Text, Ayusofya Library MS, published with an English Summary, Glossary, Notes and Index bv Halil Inalcik

‘A and Rhoads Murph”y 6t’

In preparing this summary, we have attempted to present as fully as possible all of the information of historical significance while leaving aside for the most part literary embroidery and verse. Care was however taken to include in the summary all relevant expressions, terminology, and personal and place names. Nevertheless, it is clearly impossible to consider the English summary as ever being capable of taking the place of the original text. The English summary starts only with the twenty-sixth folio where the author commences the chronological part of his history. The first part of his history, referred to by Tursun Beg as the dibdce (text, 5a-25a) deals with general principles of state and rulership. This prefatory section of Tursun Beg’s history has been summarized, along with commentary, in the introduction to this book.

This volume also contains a glossary which was prepared with the intention of providing an aid to the understanding of difficult terminology or archaic expressions in old Ottoman. A general index lists all terms and personal and place names occurring in the original text along with brief explanations where necessary. In the glossary and index, as well as in the summary translation of the text, we have used a simplified version of the Encyclopaedia of Islam transliteration system.

J I

$

MEHMED THE CONQUEROR

T h e d a t e s i n t h e c h r o n o l o g y t a b l e w e r e e s t a b l i s h e d t h r o u g h t h e

help of outside sources. Tursun Beg’s chronology is far from

adequate. He often fails to mention the date of occurrence of

important events, and on some occasions he even gives inaccurate

dates. In preparing the map, we chose selectively those place

names

*hor” location would, in our opinion, be difficult to establish through

the use of modern maPS-

THE HISTORY OF MEHMED THE CONQUEROR

Folios 26b-l8lb

Pr : Printed text of M. ‘Arif

AY : AYa SofYa MS

l. The Return of Suhan Murd.d to the ThronePr3t-33lAv26b-28b

Mehmed’s father Murid had voluntarily abdicated the throne in

favor of his son. However, Murid’s replacement on the throne was

carried out too hastily; and $alil Pasha, who attained the vizirate

through right of inheritance and through his own ability, was of the

opinion that, although the Sultan was young’ he would soon be

carried away by the desire to act independently. Furthermore, he

thought that two actual rulers in one state would inevitably be a

,orrrJ” of trouble. Mur6d’s close associates were all striving to have

him reinstated as sultan. Murad left all of these matters to the

discretion of $alil Pasha. At this juncture, the Hungarians had

advanced as fai us Varna. $alil Pasha, with the approval of the army

commanders, announced to Mehmed that it was necessary to recall

his father Mur6d to command the troops, with the promise that the

sultanate would again be his. Mehmed reluctantly abdicated the

throne. With his tutot (ata-beg) Zaganoz Beg, he set out for Manisa’

According to one interpretation, he continued to claim powers as

sultan, recognizing his father only as his lieutenant (ftd.’irn-mal-tdm) on

the rhrone. In Mutrarrem 855 (February 1451), sultan Mur-ad died.

2. and 3. The Accession of Mehmed the Conqueror and’ the $araman

CamPaign Pr 33-40/AY 28b-34b

Mehmed was enthroned on Thursday, 16 Mutrarrem 855 (February

18, 145i). In the spring of that year Dayr I.(araca Beg’ the

governor-general of Rumelia, was left with the Rumelian troops on

!,rutd drty at Sofya against the possibility of an attack from Hungary’

SUMMARY TRANSLATION

while the Sultan himself set out with the standing army and

ftapu-fualftt. troops from Anatolia against Karaman-oglu Ibrlhim. The ostensible reason for the campaign was lbrdhim’s failure to observe the rules as a vassal at the time of Mehmed’s accession. When Mehmed made camp with his army in Alqehir, Ibrdhim fled to Tag-Ili

and sent Mewlind Weli to negotiate peace terms. He agreed to give

up Algehir, Beggehri, and SeydiEehri, including the territories surrounding them. In addition, he agreed to send every year a certain number of soldiers to serve in the Ottoman army. Pr 35/Av 30b

On his return from this campaign the Janissaries made a demonstration. Standing with their arms in two rows on either side of the road, they shouted the following words at him: “This was our sultan’s first campaign, and he should reward us with the customary bonus.” This uncalled-for display by the soldiers angered Mehmed. When the diutdn was convened, he summonedthe officers and after a severe beating dismissed them from the ranks. As a result of this punishment, the Janissaries came to fear the ire of Mehmed and never again during his sultanate did they dare rebel against him. Following this incident Mehmed returned to Edirne. Pr 36/Av 31a

4. The Construction of the Fortress of Bogaz-KesenPr 36-41 /Av 31a-36a

Mehmed was possessed with the idea of conquering Istanbul and constantly insisted on the necessity of taking the city without delay. Senior statesmen spoke of the strength of the fortifications and of the

bad consequences that would arise from a prolonged siege of the

city, but Mehmed would not listen and immediately began preparations for the siege. With this intention he ordered the building of a fortress on the Bosphorus. ( D e s c r i p t i o n o f I s t a n b u l , G a l a t a , a n d t h e B o s p h o r u s )

t ” i t t 3 l o , o u

It was intolerable that Istanbul, surrounded by the lands of Islam, should survive under a Christian ruler, the so-called $ay;er-i Ril.m, especially since he gave protection within the city walls to pretenders to the Ottoman throne and constantly tried to stir up conflict in the Ottoman territories. In the spring of 856 (1452) Sultan Mehmed came to the spot where the fortress was to be built.P’39/Av34b (Description of the Fortress of Rumeli-fligerr) Pr 40/Av 35a

A small castle with twenty portals opening onto the sea was built below Rumeli-$is5n close to the shore and at each opening a cannon was placed. Across the water below the fortress of Yenice-f;ale a similar small castle was built and the cannons emplaced. In this way

MEHMED THE CONQUEROR

the straits were effectively blocked so that unauthorized passage

between the Mediterranean and the Black Sea was now impossible’

The sultan gave up all thoughts of relaxation, and through his efforts

the work “iR,r*”ii’giEdn

was completed in a short time’Pr41 /Av36a

5. The Conquest of Istanbul Pr41-58/Av36a-51 b

After the construction of Rumeli-$ig-an had been completed, the

Sultan set out for his capital, Edirne. Before the army set out for

Edirne, a scuffle took place between some shepherds and a group of

ottoman soldiers. The people inside the city, mistaking the scuffle for

the beginning of hostilities’ shut the gates of the city and prepared

themsJves for battle. Some of the Sultan’s commanders who

happened to be on leave in the city at that time remained within the

walls. The Prince (Tekaur) treated them well and returned them with

an envoy to apologize to the Sultan but Mehmed was not amenable

and e*pres.”J hit hostility by voicing the.challenge: “Either surren-

der the city or stand readyto do battle.”P’42lAv 36a11″ then returned to

E d i r n e .

In the spring of 85? (1453)’ he left Edirne with the intention of

capturing i.,u.tUr-,t. He ordered the large cannons to be dragged by

th” ,rorror.tt 42tAY 37b The master naftftd.bs, stoneborers from the mines

in it,r*eli, joined the army while the naval forces waited in

Gelibolu. Pr a-s I ny 38a The Sultan proceeded by land and the navy by

sea. According to custom, the day that camp was to be made near

Istanbul the army was ordered by regiment into rows’ He ranged at

the center of the army around his own person the white-capped

Janissary archers, the Turkish and European crossbowmen’ and the

musketeers and cannonn eers (Qarbzen)’ The red-capped’azebs were

placed on his right and left, joined at the rear by the caval-

,y. t’44lAv 38b Thus organized, the army marched in formation on

Istanbul. On the other side, the Byzantine emperor had received

reinforcements from Christian rulers in Europe’ He sent these

armoured, mounted knights in front of the gates to meet the

approaching army of the Sultan. The Muslim forces pushed them

U””t *ittti” the walls, and finally the Sultan arrived on the scene at

the outer walls. According to ottoman practice, the sultan pitched his

large tent at the middle of the ranks. The Janissaries set up their

t”rrt. in the form of a circle surrounding the sultan’s . The Beglerbegi

of Anatolia, Islra! Beg, formerly one of the vizirs of Sultan Murid’

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SUMMARY TRANSLATION

took up his place on the right wing with the Anatolian forces, while

the Beglerbegi of Rumeli, Dayr Karaca Beg, uncle of Prince ‘Al-aeddin, was on the left. Trenches were dug for emplacing the

cannon, and catapults were set up in several places.Pta6/Avaoa 16″t set up barricades and vaulted bunkers (mancu-yerleri and, toituz-

dan’tlar) and showed the miners their places. Hostilities immediately

broke out in front ofthe gates.

One difficulty, however, was the fact that the Golden Horn was

closed off. Sultan Mehmed ordered that some of the smaller ships and galleys should be dragged over the hill behind Galata into the Golden Horn. Thus forced to guard the sector of the walls on the Golden Horn as well, the enemy forces would necessarily be spread

out. So, as ordered, the ships and galleys were decked out with

banners of every color and dragged overland to the Golden Horn. By

lashing the boats together a secure bridge was formed over which the soldiers could cross, and the fortress was surrounded on three sides.

Meanwhile, the cannons and catapults continued to bombard the walls. The shock of the balls shook and rent the walls. Fighting continued every day from sunrise to sunset, but the defenders placed their trust in the firmness of the fortifications even after several towers were completely destroyed by cannon fire. At this stage, two coques (kiike) filled with arms and reinforcements arrived from Europe.P’ 47 t Av 42a At that point the soldiers and naval troops of the Sultan were busily making preparations for the dragging of the ships over to the Colden Horn. With the aid of a favorable wind, the coques began to approach very quickly. The admiral Balta-o$lu Siileymin Beg sent against them all the ships he could gather, and a great battle took place in which the – Ottomans were defeated. The Greeks opened up the barrier across the Golden Horn and let in the coques. Pr 481 AY 42b

After this naval defeat the Muslims were distressed and lost hope, but in fact the arrival ofthe coques turned out to be a helping factor in the Ottomans’ final victory. By that time, the walls facing the Janissaries and the Sultan’s soldiers had been destroyed and paths prepared to the trenches. The Greeks feared that the fortress would be taken from this direction and wished to be responsible themselves for its defense. However, the European troops who had come as reinforcements demanded that the defense of this area be given to them, otherwise threatening to withdraw their support. Fearing that

M E H M E D T H E C O N Q U E R O R

they would indeed desert the cause if he did not give in, the Emperor

granted their wish. This, in turn, caused discontent among the

Greeks in the city and the forces defending the city fell info/disunity.

The Sultan proclaimed a general assault and gave the troops

p e r m i s s i o n t o t a k e b o o t y i n t h e c i t y . P r a e / A v 4 3 a 4 , n i g h t t h e s o l d i e r s

reached the walls from the trenches and, against the defenders on the

walls, attempted to climb up under the protection of their shields. At

daybreak the Sultan approached on horseback and the attack on the

fortress began in earnest. The cannons began to fire, then the battle

cry was sounded and the general assault was underway. The

attackers proceeded to rain arrows on the defenderslt 50/Av aab 1tt ,1’t”

breaches which had been opened by the cannon fire, soldiers fought

breast to breast and sword to sword. The enemy threw Greek fire on

the attackers. As the battle proceeded in this fashion, in the section

where the cannons had opened breaches in the walls, the European

troops met the Ottoman troops in front of the smaller outer walls. The

enemy commander arrived at this place and, while he was struggling with an Ottoman soldier on top of the tower, another soldier pierced his belly from below.Pr 5.1 /Av

05″ Wh”.t they saw that their commander had been wounded, the enemy troops were overcome. They tried to escape by fleeing into the inner fortresses, but the defenders had barred the gate. Left trapped between the walls, they were all put to the sword. The Ottoman troops immediately stormed the inner walls and pushed back the defenders. The rest of the army then began to spread out into the city by means of the breach in the wall while the enemy troops fled before them.

While the Sultan’s standing army, the ftapu leulu, was achieving this victory, the Anatolian, Rumelian, and navy troops continued to fight unaware of the new developments. The Byzantine Emperor and his retinue were reduced to panic when they saw the Janissaries so close behind them, and they too began to flee.Pr52tAv46b Some of them shut themselves in a tower while others perished charging their horses desperately against the Ottoman troops. Still others were taken prisoner.

At that juncture the Emperor was stealthily fleeing towards the Golden Horn with the intention of escaping in one of the ships. He was met on the way by a group of ,azebs. This group of ,azebs had entered the city with a band of Janissaries, and later, becoming separated from them, had wandered into a side street where they met

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SUMMARY TRANSLATION

the Emperor with his retinue. A desperate battle ensued. The Emperor’s horse slipped as he was attacking a wounded ‘azeb,

rvhereupon the ‘azeb pulled himself together and cut off the Emperor’s head. Pt 53tAv 47a When they saw this, the rest of the ene- my troops lost hope and the ‘azebs managed to kill or capture most of them. A great quantity of money and precious stones in the posses- sion of the Emperor’s personal retinue was dlso seized. P( 54tAv 48a

After having completely overcome the enemy, the soldiers began to plunder the city. They enslaved boys and girls and took silver and gold vessels, precious stones, and all sorts of valuable goods and fabrics from the imperial palace and the houses of the rich. In this fashion many people were delivered from poverty and made rich. Every tent was filled with handsome boys and beautiful g i r l s . P t s 5 / A Y 4 8 b

Then the gates of the fortress were opened and Sultan Mehmed toured the city with a group of commanders and religious dignitaries in his retinue. He visited the great buildings and bazaars and particularly expressed his desire to see Hagia Sofia. Over the years this church had deteriorated so that at this time onlv its dome was left s t a n d i n s . (Description of Hagia Sofia) er so-s7 / Av 50a-51 a

When the Sultan returned to his headquarters from this tour, a council was held. There the prominent Byzantines were brought into his presence. He ordered some of them executed while others were spared for practical purposes. He appointed Kanqtrran Siileymdn Beg governor of Istanbul and entrusted to him the work of reconstructing the city. 6. (Reconstruction of Istanbul) Pr 58-68/Av 51 b-61a

7 . The Capture of Enoz (Ainos) and Tasoz (Thasos), and the Serbian Campaign Pr 68-70/AY 61a-63b

In the middle of winter Mehmed ordered the palace force and the regular troops of his Porte (ftapu fualftt) together with the Janissaries to proceed to Edirne. Because it was not customary to be called for duty at this season, they resented the order and suffered many hardships along the way because of the cold. The reason for calling for a campaign at this time was his decision to conquer Enoz and Tagoz. As an Ottoman vassal, their lord was permitted to get shares of the revenues from the salt mines and other sources which were due to the Ottoman central treasury. He pretended to support the

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