The Shawshank Redemption - Lyndia Hayden

The Shawshank Redemption

Team Members: Matt Einsweiler Chris Davis Typhani Mattis Lyndia Hayden

Northwestern University LEADERS 481 Spring 2012

The Shawshank Redemption Team Project

Overview: The Shawshank Redemption is a story about prisoners and staff at the Shawshank State Penitentiary that takes place over the course of 20 years. The film focuses on three characters: Andy Dufresne, Ellis Boyd ‘Red’ Redding, and Warden Samuel Norton. The film demonstrates the different leadership roles that each of the characters portrayed within the confines of the penal system. It is a story of friendship, hope among despair, patience, corruption and eventually redemption. Andy Dufresne was a banker. He was convicted with a double-life sentence for murdering his wife and her lover. Andy maintained his innocence throughout the trial and while he was in prison. Andy was a quiet man who kept to himself for the first few years in prison. He eventually bonded with Red, a man who had a reputation for getting anything a prisoner wanted.

Andy made two simple requests to Red, a rock hammer

and a poster of Rita Hayworth. Neither of the two items was deemed suspicious, but both would play a key role in maintaining Andy’s sanity as well as factoring into his overall strategy to escape from prison. Andy eventually adjusted to prison life and saw an opportunity to utilize his banking experience for the benefit of the prison staff by offering financial advice and preparing their income tax returns, which earned him a promotion from the laundry to the library. His new position as a favored prisoner empowered him to seek funding for a better library and also allowed him to offer tutoring services to prisoners. Unfortunately, Andy’s new-found talent gave Warden Norton the idea to

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The Shawshank Redemption Team Project develop a money-laundering scheme through the “Inside-Out Program”, a program implemented for convicts to work outside the prison for slave wages. Ellis Boyd ‘Red’ Redding was already at Shawshank for 20 years by the time Andy arrived. Red accepted prison life as his fate and admitted to Andy that he was institutionalized. He wasn’t sure that he could survive as a free man. Red and Andy had a mutual respect for each other. Red admired Andy’s belief in hope, even though he felt the complete opposite. As Andy’s best friend, he was called upon to be Andy’s assistant during the busy tax season and reaped the benefits of being associated with Andy. Warden Samuel Norton was a Christian man who ruled Shawshank with an iron fist. He was a hypocritical man who touted his bible, yet didn’t feel any shame in ordering cruel and inhumane punishment to his prisoners. He was a selfish and greedy man who used Andy for his money laundering operation. When Andy learned that there was an opportunity to prove his innocence, he trusted that Warden Norton would help him, as a Christian man. Instead, Warden Norton made certain that Andy would never get a re-trial. In the end, Warden Norton trusted and underestimated Andy, an unwise decision. The story concluded with each character getting their due redemption. Andy fulfilled his dream of escaping prison, recouping the money from Warden Norton’s criminal acts, purchasing a boat and living in Mexico. Red maintained his dignity at a Parole Board hearing and surprisingly earned a release after decades of hearings. He finally realized what hope felt like by violating his parole and joining Andy in Mexico. Andy secured Warden Norton’s fate by sending detailed accountings of the money

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The Shawshank Redemption Team Project laundering operations to the media. Warden Norton fatally shot himself in his prison office when the police came to arrest him. He decided that death was better than being a prisoner. The Leader-Member Exchange (LMX) theory strongly applies to the story of Shawshank Redemption. Andy benefited from the LMX theory because it enabled him to obtain high levels of responsibility and to gain access to resources from Warden Norton (Wikipedia, 2006). Andy became a part of the in-group with the prison officials after he offered his services to prepare their taxes. Norton was aware of Andy’s capabilities and trusted him to be the money “cleaner” for the bribery funds that came in from the InsideOut Program. In turn, his awareness and close leadership attention earned him protection by the guards, access to Norton’s office, permission to renovate the library, and to decorate his cell with seemingly tasteless posters. When Norton began to feel betrayed by Andy after he locked a guard in a lavatory to play classical music and requested a retrial to prove his innocence, he demoted Andy to the out-group and locked him in solitary confinement for two months. When Andy escaped from prison, he used his knowledge and access against Norton by sending the ledger and evidence of murders to the local newspaper. Red, on the other hand was always a part of the out-group where he had no voice, was given no special treatment, and was obligated to attend to his responsibilities along with the rest of the inmates.

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The Shawshank Redemption Team Project Warden Samuel Norton What models of leadership did he portray? Warden Norton had an authority compliance leadership style, better classified as an autocratic transactional leader (Northouse, 2010). He used disciplinary power to force the inmates to do what they were told, and used an array of incentives to motivate the guards and Andy to perform at their best. If anyone failed to satisfy his requirements, they received a corresponding punishment (Northouse, 2010). Warden Norton’s leadership style was similar to that of Adolf Hitler. Their bureaucratic character earned them an immortal reputation. They both used their power for personal gain and sought to promote their own personal vision (Kaplan, 2007). They maintained one-way communication, and relied on convenient external moral standards to satisfy their selfinterests. Norton was a leader not by his qualities, but by definition, simply because he had followers (Goffee & Jones, 2011). Did his leadership style succeed? Where did it fail? In Leadership, Theory & Practice, Peter Northouse (2010) defines a leadership grid in which leaders fit into based on directive and supportive behavior. One of the styles on the grid is Authority-Compliance, in which a leader expects high production in behavior and tasks, but has a low regard for people in their support for the leader’s direction (Northouse, 2010). Warden Norton defined himself through his Christian beliefs and ruled the Shawshank prison with an iron fist of fear through his beliefs. He was very controlling and his leadership style was successful for him and the overall operations of the prison. The Authority-Compliance style focuses on efficiency,

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The Shawshank Redemption Team Project including the elimination of people, if necessary. Warden Norton demonstrated the lengths that he would take to maintain the efficiency of his money-laundering scheme when he executed Tommy, a prisoner who had information to prove Andy’s innocence. Tommy had privileged information from a former cellmate, the person who killed Andy’s wife and lover, and admitted to the Warden that he was willing to testify on Andy’s behalf. The Warden made the logical decision to eliminate Tommy’s threat to his efficient operations by killing him. In Discovering Your Authentic Leadership, various authors confirmed through research that authentic leaders emerge from their life stories and keep a strong support team around them (George et al, 2007).

The word ‘authentic’ is synonymous with

genuine, which can be negative or positive. In the case of Warden Norton, the definition of authentic has a negative perception. For this reason, his leadership style was a failure. His control of his followers, staff and inmates was based on fear, not respect. The researchers stated that authentic leaders have to be willing to listen to feedback and have a support team that provides affirmation, perspective and calls for action (George et al, 2007). Warden Norton was not open to suggestions from anyone. The researchers also stated that authentic leaders practice values and principles from their beliefs and convictions (George et al, 2007). Warden Norton preached the gospel of God and toted his bible, but did not hesitate to commit sins by disregarding at least two of the Ten Commandments, ‘Thou Shall Not Kill’ and ‘Thou Shall Not Steal’. If Warden Norton were truly authentic and a Christian man of integrity, he would not have committed suicide when the police came to arrest him for his illegal activities of taking kick-backs

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The Shawshank Redemption Team Project from contractors and for laundering money. Instead, he would have taken responsibility for what he did wrong, and reaped the consequences for his actions. Could his leadership style succeed in the real world? It is unlikely that the leadership style of Warden Norton would succeed in the “real world” today because prisoners have civil rights, known as the American Civil Liberties Union. While the prison environment does require a strict adherence to discipline and order, the Warden’s overbearing attitude of “my way or the highway” does not inspire followers to join his lead. Any followers would likely have short-lived alliances. At best, Warden Norton exhibits Level 2 leadership of a contributing team member (Collins, 2011). He exhibits a directing style approach of highly directive and low support as exhibited in the scene where Tommy was executed by one of the guards while the warden walked away as though nothing had happened (Northouse, 2006). His immature action logic of an Opportunist also supports that it is unlikely that Warden Norton would succeed in the “real world” (Rooke & Torbert, 2005). While the outwardly appearance of the Warden’s “Inside Out” program seemed like a great move for both the inmates and society, the ulterior motives for financial reward overshadowed what would otherwise have been a great vision executed by a great leader. What alternative leadership methods could you propose? The Warden’s leadership style was not a successful leadership style and there are many leadership methods that could be used as an alternative. Warden Norton would have had greater success in a team management role or as an authentic leader. According to Northouse (2010) a team management style stimulates participation, acts determined,

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The Shawshank Redemption Team Project gets issues into the open, makes priorities clear, behaves open-mindedly and enjoys working. This style would have allowed Norton to build a team of workers that focused on achieving results because of genuine want and not because of fear. Being an authentic leader would be another theory that would have worked for the Warden. Often times the Warden used a scripture to prove a point with a prisoner, but he would not abide by the laws he conveyed; his underlying motives were transparent. Being Authentic would have allowed the Warden to practice what he preached.

Ellis Boyd "Red" Redding What models of leadership did he portray? Ellis Boyd "Red" Redding played a supportive leadership role; his action logic was that of a Diplomat (Rooke & Torbert, 2005). He developed trusting and authentic bonds with his fellow inmates by providing them with smuggled goods at the expense of his life. Red was also Andy’s support in not just obtaining a rock hammer and poster, but he also worked as Andy’s assistant to manage the paperwork for the guard’s taxes and provided emotional support by being Andy’s friend. Red was a resonant leader that led with emotional intelligence (Goleman, 2004). He was an active listener to Andy and the other inmates, he communicated effectively expressing empathy and concern, and toward the end of the movie, he developed his self-awareness skill when he was able to passionately speak up for himself in front of the board of officials that approved his claim of being a “changed man”. When Red encountered an adaptive challenge of having to work in the real world after being released, his actions were counterintuitive to the typical

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The Shawshank Redemption Team Project convicted felon who spent the majority of his life in prison. He was challenged to take on a new role, build new relationships and practice new behaviors (Heifetz & Laurie, 1997). Throughout the movie, Red was one who would usually follow rules to please the officials and to avoid conflict; however, in the end he made a courageous move by violating his parole to reunite with Andy. He no longer took the safe approach because he wanted to stay true to his self; he knew his values and strengths and wanted to be in a place where his leadership style would reflect who he truly was (Kaplan, 2007). Did his leadership style succeed? Where did it fail? In Seven Transformations of Leadership, David Rooke and William Torbert (2011) write about a leader’s action logic, the characteristic that distinguishes how leaders interpret their surroundings and react when their power or safety is challenged. One of the action logics, the Diplomat, fits Red because he followed the rules of the prison and was the supportive glue to his fellow prisoners. Red didn’t rock the boat, which was in stark contrast to Andy. Red’s leadership style was successful because it helped him to survive in prison and rise to a certain stature that he was comfortable with. At the beginning of the film, Red had already served 20 years in prison and had been continuously turned down by the Parole Board. His honest testimony to the Board that he was rehabilitated and ready to re-enter society as a law-abiding citizen seemed to fall on deaf ears. Red’s reaction to the Board’s decision to deny his release was one of the reasons why his leadership style was successful. As Red returned to the prison’s concrete courtyard, he didn’t seem defeated. He seemed to be confident and aware of himself as a changed person, regardless of what the Board believed. He boasted that he was the only prisoner who admitted to committing a crime, a demonstration of his

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The Shawshank Redemption Team Project integrity. He was in control of his emotions despite hearing a decision that was contrary to what he wanted. Red had a good rapport with his cell mates and was well respected. He was the person everyone could go to if they needed something. He seemed motivated to help his fellow inmates, which also helped him get things for himself or fostered his bartering system. He had been in the prison system so long that he grew a deep understanding of other prisoners. For example, Red understood that Brooke, another prisoner, was not prepared for his release after 50 years because he was institutionalized by his prison environment. As admirable as Red’s leadership style was, it was prone to failure because a leader needs to take risks. If Red were a free man in the corporate environment, he would be a leader who would not progress to another level. If a leader stays in a comfort zone, she or he cannot learn, develop or evolve. Red didn’t have hope and faith because his fear of change prohibited him from believing that things could be different through his actions. Red learned a lot about himself as a friend and leader as his friendship with Andy grew. He saw Andy take many risks and get positive results, despite the setbacks with physical abuse and time in solitary confinement. Towards the end of the film, Red began to change and realize what a positive role model Andy was. At his hearing with the Parole Board for his 40th anniversary, he was no longer diplomatic. He was fearless and made it clear to the Parole Board that he didn’t care if they released him or not. He even questioned the Board’s definition of rehabilitation. The result of his testimony was an approved application for his freedom. He took another risk when he was a civilian by honoring his promise to Andy, which resulted in the two reuniting in Mexico.

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The Shawshank Redemption Team Project Could his leadership style succeed in the real world? Red’s character could succeed in a leadership position in the “real world,” but only as a manager. He follows Kotter’s description of management involving planning, organizing, and problem solving, but lacks the ability to set direction, align people, or provide motivation (Kotter, 2011). As such, he exhibits Level 1 leadership as described by Collins as a highly capable individual (Collins, 2011). While applying tar to the roof, Red demonstrated the action logic of a Diplomat by repeatedly telling Andy not to engage with the guards in order to avoid conflict, which might have resulted in someone “accidentally” falling off the roof. Red also reflects the middle-of-the-road style approach that is neither too supporting nor too directing (Northouse, 2006). Red showed just enough doubt and lack of self-confidence to take the next step as a visionary leader. This is evident by his statement “hope is a dangerous thing.” What alternative leadership methods could you propose? Although Red was successful in his role as a supportive, yet cautious leader, he was only acknowledged as such by his fellow inmates. A leadership approach that would not delineate a one-dimensional characterization is transformational leadership. According to Northouse (2010) transformational leadership is concerned with improving the performance of followers and developing followers to their fullest potential. Characteristics of a transformational leader include having charisma, effective at motivating, stimulating and listening (Northouse, 2010). At various points throughout the movie Red showed glimpses of these characteristics, but he was not a transformational leader. Red decided against transforming anything or anyone in order

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The Shawshank Redemption Team Project to stay off the radar. He had his little niche in the prison and was happy to go through life that way, never rocking the boat. Andy Dufresne What models of leadership did he portray? Andy Dufresne was a transformational leader; his action logic was that of an “Individualist” but his growth later transformed him into a “Strategist” (Rooke & Torbert, 2005). His belief in the power of hope drove him to carry out numerous unselfish acts of kindness to lift the mood of his fellow inmates. He believed that change could be implemented in the prison and created a vision that supported both personal and organizational transformations. He remained socially conscious and carried out his ideas in a highly collaborative manner by consistently writing letters to the government about getting new books till his request was satisfied. He also encouraged the other inmates to adapt to his vision by working along with him to re-stock and rebuild the prison library. Andy never hesitated to engage in principled actions; he locked a guard in the lavatory in order to give his fellow inmates just a moment experiencing the uplifting power of opera over the prison intercom. He also risked retribution from the vicious Captain Hadley in order to secure beers for his fellow workers on the factory roof they were resurfacing. He was willing to put his own comfort at risk in order to assist or inspire others, even if only for a short time. Andy helped transform the life of his best friend Red by explaining to him that life exists outside of prison and by acknowledging Red’s strength and ability to get access to things. He empowered many of his fellow inmates using his own beliefs and personal strengths (Northouse, 2010). Andy worked to create ethical principles and practices beyond the interests of himself or the prison. He planned and structured

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The Shawshank Redemption Team Project development interventions that made the Shawshank prison a better place to live under its circumstances (Rooke & Torbert, 2005). Did his leadership style succeed? Where did it fail? In Level 5 Leadership, Jim Collins (2011) states that Level 5 leaders do whatever it takes to produce great results. He lists disciplined practices of leaders to get to Level 5. For example, one of the disciplines, Stockdale Paradox, exemplifies a leader who deals with the brutal fact of the realistic situation, yet maintains absolute faith that she or he will prevail (Collins, 2011). Andy successfully demonstrated the Stockdale Paradox characteristics in the film. He was a banking executive who was wrongfully accused of murdering his wife and her lover. Although he maintained his innocence, the evidence against him led to a double life sentence in prison. For the first two years in prison, Andy was subjected to mental and physical abuse by other inmates, yet he maintained hope and faith that his fate would not end at Shawshank. He never spoke of his struggles, even though his fellow inmates heard the rumors and could see the bruises and cuts on his face. It was Andy’s cross to bear and he gained respect and admiration from his fellow inmates. As referenced in the Seven Transformations of Leadership, there are certain action logics that leaders demonstrate (Rooke & Torbert, 2005). Andy successfully demonstrated two action logics: Individualist and Strategist. He was successful as an Individualist because he operated in unconventional ways, ignored rules, and regarded them as irrelevant. For example, he took the risk of playing opera on the loud speaker, an action that had a mesmerizing effect on the prisoners and a liberating effect for Andy, even though it resulted in 2 weeks solitary confinement. He also took the risk of giving

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The Shawshank Redemption Team Project financial advice to an Officer, thereby gaining the trust of the other Officers. That trust led to a promotion from duties in the laundry to a prominent position in the library. Andy eventually was assigned to completing all of the staff’s income tax returns and managing illegal money laundering activities directed by the Warden. He was successful as a Strategist because he initiated relentless writing campaigns to get funding for the prison and better books for the library, efforts that he was ridiculed for. Andy’s efforts paid off financially and spurred him to send letters more frequently for additional funds, which led to an educational program to tutor inmates and prepare them for their high school equivalency certificate. His short-term goals led to long-term goals that led to transformation of prison life for the entire inmate population. Andy was intelligent enough to have short-term and long-term goals for himself by establishing trust with the Warden and taking advantage of that trust when he realized that the Warden would sabotage any chance of him proving his innocence and getting a re-trial. Andy’s mantra was “Get Busy Living or Get Busy Dying”, of which he chose the former. The only failure in his leadership style was his lack of direct communication. One wouldn’t emphasize this as a weakness because Andy was in a unique environment in which he had followers by default, not by design. Other than his unique bond with Red, he was a loner who kept to himself and was internally directed. He knew that there were few people he could trust in prison because every man was for himself. Although he couldn’t reveal his ultimate strategic plan to Red that he was planning a prison escape, he did set the stage by motivating Red and providing information that would be helpful in them reuniting one day. They were both able to profit financially as free men from the criminal money-laundering activities of the Warden.

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Could his leadership style succeed in the real world? Of all the characters in the film, Andy Dufresne’s leadership style is most likely to succeed today. As a former bank Vice President, Andy must have had some basic leadership skills to earn this position prior to being incarcerated. His character is charismatic, intelligent, influential, and inspirational to the group of inmates as he continually encouraged them not to lose hope. His style approach was along the lines of country club management – highly supportive, but low directive (Northouse, 2006). During the roof scene, Andy showed his team building skills and ability to form trusting relationships as he asked for beer to reward his team for a job well done, even though he himself did not enjoy a beer with his colleagues. Andy’s action logic is more advanced than his colleagues as an Individualist (Rooke & Torbert, 2005). As he moved from simple tax preparation and advice for the prison guards to money laundering for the Warden, Andy was keenly aware of the conflict between his principles as an innocent man and his actions as indicated by the quote “I had to come to prison to be a crook.” Andy also exhibits a high emotional intelligence, contributing to his strengths as a leader, influencer and motivator at Shawshank (Goleman, 2004). While Andy committed to pursue his vision of escaping as he carved out a tunnel with his rock hammer, he continued to stimulate others at the prison by assisting them to finish their high school diploma, indicating he has achieved Level 5 as an effective leader (Collins, 2011). Several other factors pointed out by Collins apply to Andy’s character. Humility plus will describes his humble and modest demeanor, yet willful and fearless in his pursuit of

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The Shawshank Redemption Team Project escaping.

Finally, on multiple occasions Andy was able to win people over with his

charisma, calm demeanor, self-confidence and genuine interest in others around him. What alternative leadership methods could you propose? Andy is a difficult character to propose other leadership methods because he showed good leadership throughout the movie. He was a transformational leader who was also characterized as a Level 5 leader. As leadership methods go, Andy reflects the top tier. But like all leaders, there are some areas for improvement. In the article, “Seven Transformations of Leadership” there is a type of leadership above Strategist and that is an Alchemist (Rooke & Torbert, 2005). An Alchemist generates social transformations, reinvents organizations in historically significant ways (Rooke & Torbert, 2005). Andy could have been an Alchemist. He could have expanded his efforts to reform prisons as a whole and not just to improve Shawshank. On a smaller scale, Andy could also have been more of an Achiever versus the Individualist (Rooke & Torbert, 2005). The Achiever still meets the strategic goals but plays more by the rules than the Individualist (Rooke & Torbert, 2005). By being the Achiever, Andy could have gotten some of the same success but without his personal pain. Closing: The greatest lesson that the team learned from this film is that authority and control doesn’t necessarily make you a good leader. Fortunately, as Rooke and Torbert point out, opportunistic leadership is typically short lived, as was the case with Warden Norton (Rooke & Torbert, 2005). When presented with situations of following an immature leadership style, the film teaches that even though Andy was not in charge, his

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The Shawshank Redemption Team Project more mature leadership style had great influence on everyone in the prison. Also, vision, strong values and commitment are key components of personal and organizational success. We learned to work hard to overcome adaptive challenges by identifying our strengths, exercise our leadership qualities as appropriate and make the best of any situation that we may encounter. This film taught us that leadership styles and qualities are in many of the things that we do and interact with others, even if we don’t think about it. When we had to watch the film for this paper, we watched it more from an analytical view of leadership qualities as well as for entertainment purposes. We learned to observe this film as more than just a movie about friendship and dictatorship. Andy was undoubtedly a leader in his role as a banker prior to going to prison. Because of the authentic nature of his leadership, rather than falling in line with the rest of the inmates, he naturally emerged as a leader. It was also interesting to note how a positive perception of an authentic leadership style could be used for negative purposes, such as money laundering. This film taught the team that patience and perseverance is a virtue, even if you are the only one who believes that the outcome will be fruitful. We learned that redemption is sweet and that plans do not have to be vocalized. This film reinforced that one can still be hopeful under dismal and unfavorable circumstances if he or she has faith that he will prevail.

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References

George, B., Sims, P., McLean, A., & Mayer, D. (2007). Discovering Your Authentic Leadership. In HRB’s 10 Must Reads On Leadership (pp. 163 – 177). Boston: Harvard Business Review Press. Goleman, D. (2004). What Makes A Leader. In HBR's 10 Must Reads On Leadership. (pp. 1-22). Boston, Massachusettes: Harvard Business School Publishing Corportation. Goffee, R. & Jones, G. (2011). Why Should Anyone Be Led by You? In HRB’s 10 Must Reads On Leadership (pp. 37 – 55). Boston: Harvard Business Review Press. Heifetz, R. A., & Laurie, D. L. (1997). The Work of Leadership. In HBR's 10 Must Reads On Leadership. (pp. 57-78). Boston, Massachusettes: Harvard Business School Publishing Corportation. Kaplan, R. S. (2007). What To Ask the Person in the Mirror. In HBR's 10 Must Reads On Managing Yourself. (pp. 147-167). Boston, Massachusettes: Harvard Business School Publishing Corportation. Northouse, P. G. (2010). Leadership: Theory and Practice. (3rd ed.). Sage Publications. Rooke, D., & Torbert, W. R. (2005). Seven Transformations of Leadership. In In HBR's 10 Must Reads On Leadership. (pp. 137-162). Boston, Massachusettes: Harvard Business School Publishing Corportation. Wikipedia. (2006, December 8). Leader–member exchange theory. Retrieved March 16, 2012, from http://en.wikipedia.org/wiki/Leader%E2%80%93member_exchange_theory

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