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Chapter 08 - The Supervisor as Leader
8-1
© 2013 by McGraw-Hill Education. This is proprietary material solely for authorized instructor use. Not authorized for sale or
distribution in any manner. This document may not be copied, scanned, duplicated, forwarded, distributed, or posted on a website, in
whole or part.
Chapter 08
The Supervisor as Leader
I. CHAPTER OVERVIEW
Supervisors must be leaders. Leading is the management function of influencing people to act or not
act in a certain way. This chapter describes a variety of leadership styles and discusses how to give
directions. It also discusses how supervisors can effectively relate with the various people in an
organization.
To find out whether people are natural leaders, researchers have looked for traits commonly found in
effective leaders. Although research has been inconsistent, the conclusion is that traits alone do not
predict success as a leader. Traits that are often suggested as useful include a sense of responsibility,
self-confidence, high energy level, empathy, internal locus of control, and a sense of humor.
Leadership styles are categorized in several ways. When categorized by the amount of authority
retained by the supervisor, supervisors can be authoritarian, democratic, or laissez-faire. Another way
to look at differences in leadership styles is to consider what supervisors focus on in making decisions
and evaluating accomplishments. Supervisors may focus on the task at hand (task-oriented approach),
the people involved (people-oriented), or on both.
The contingency theories of leadership like Fiedler’s contingency model, life cycle theory, and the
path-goal theory of leadership are based on the view that the best style of leadership depends on the
situation. According to Fiedlers’ contingency model, the performance of a particular leadership style
depends on three characteristics of the situation: leader–member relations, task structure, and the
position power of the leader. Hershey-Blanchard’s life cycle theory suggests that the leadership style
should reflect the maturity of the followers. The path–goal theory of leadership suggests that the
primary activities of a leader are to make desirable and achievable rewards available to organization
members who attain organizational goals and to clarify the kinds of behavior that must be performed
to earn those rewards. Servant and entrepreneurial leadership styles are relevant to different situations.
Servant leadership style is well suited for leaders whose primary task is to serve people around them
while entrepreneurial leadership is based on the attitude that the leader is self-employed.
The text discusses the factors that should be kept in mind when selecting a leadership style. These
factors include characteristics of the leader, the subordinates, and the situation itself.
Successful supervisors need to work effectively and maintain good relations with their employees,
boss, and peers. With employees, supervisors should set a good example, be ethical, and develop trust.
Supervisors should give their boss loyalty, cooperation, information, and results and be aware of and
respond to the boss’s style. With peers, supervisors should keep competition fair and as friendly as
possible and offer support or criticism in a constructive way.
II. TEACHING THE CONCEPTS BY LEARNING OBJECTIVES
Learning Objective 8.1: Discuss the possible link between personal traits and leadership ability.
1. Key terms.
Leading: Influencing people to act or not act in a certain way.
Internal Locus of Control: The belief that you are the primary cause of what happens to yourself.

8-2
whole or part.
2. Teaching notes.
The text makes the distinction between managers and leaders in a quote from consultant and
author Paul Taffinder, “Managers seek and follow direction. Leaders inspire achievement.”
The terminology of leading and leadership may be confusing to the student. The terms leading or
leadership are often used in place of the word managing with little or no distinction between the
terms. (“Manage–1. To direct or control the use of. 2. a. To exert control over. b. To make
submissive to one’s authority, discipline, or persuasion.”). In some cases a distinction is
emphasized with leadership described as a more dynamic activity toward meeting the needs and
goals of the organization. The dictionary definitions of lead and manage indicate that “lead” is
going in advance, or guiding, while “manage” is directing and controlling. The supervisor’s job is
a blend of both, sometimes going in advance and sometimes directing and controlling.
Organizations seek to hire or promote employees who will be successful and an asset to the
organization. Is it possible to predict success or leadership ability from personality type, or are
there traits that are associated with a supervisor’s success? Traits that might be considered
significant include:
a. Sense of responsibility. Supervisors must be willing to take seriously the responsibility that
goes with the job.
b. Self confidence. Supervisors who believe in their ability to get the job done will convey
confidence to employees.
c. High energy level. Many organizations expect supervisors to willingly put in long hours in
order to handle the variety of duties that come with the job.
d. Empathy. Supervisors need to be sensitive to the feelings of employees and higher
management. Supervisors who have difficulty understanding what makes people tick will be at
a disadvantage.
e. Internal locus of control. People with an internal locus of control are thought to be better
leaders because they try harder to take charge of events.
f. Sense of humor. People with a good sense of humor are more fun to work with or for.
3. Teaching examples to discuss the possible link between personal traits and leadership ability.
There are many books on leadership. They provide diverse reasons of leadership success including
personal traits, structural systems, and behavioral explanations. Stephen R. Covey, in The 7 Habits
of Highly Effective People, looks at personal characteristics or habits. An argument is made for
deep fundamental truths that act as guidelines to deal with a wide variety of situations. The seven
habits are not separate but act together to provide a basis of behavior or action. A review of the
seven habits provides additional support for many of the characteristics presented in the text.
The seven habits are summarized below. However, if Covey’s work is used as a basis for the
lecture it may be useful to read more of the book. There are excellent examples to illustrate the
principles.
Habit 1–Be proactive. This refers to the taking of responsibility to make things happen.
Habit 2–Begin with the end in mind. Start with a clear picture of where you are going and what
the destination will look like. It also implies you know where you are right now.
“Begin with the end in mind” is based on the principle that all things are created twice. There’s a
mental or first creation, and a physical or second creation to all things.

8-3
whole or part.
Habit 3–Put first things first. This principle is based on two factors–importance and urgency.
Priority is given to those things that are important and working toward the position where there is
sufficient time to avoid high urgency. This is achieved by minimizing the unimportant things.
THE TIME MANAGEMENT MATRIX
Urgent Not Urgent
Important I
Activities
Crises
Pressing problems
Deadline-driven projects
II
Activities
Prevention, PC activities
Relationship building
Recognizing new
opportunities
Planning, recreation
Not Important III
Activities
Interruptions, some calls
Some mail, some reports
Some meetings
Proximate, pressing matters
Popular activities
IV
Activities
Trivia, busy work
Some mail
Some phone calls
Time wasters
Pleasant activities
Habit 4–Think win/win. This principle means that agreements or solutions are mutually beneficial.
A supervisor’s success is not achieved at the expense of another person.
Habit 5–Seek first to understand, then to be understood. First listen with the intent to understand.
Empathetic listening gives you the data for understanding. This is the key to effective
interpersonal communications.
Habit 6–Synergize. Synergy is the essence of principle-centered leadership. Simply defined, the
whole is greater than the sum of its parts.
Habit 7–Sharpen the saw. This habit makes the other habits possible.
4. Exercise for discussing the possible link between personal traits and leadership success.
Split class into teams of three members each. Each team should be asked to pick and represent one
industry. The teams should then discuss the personal traits that are most important for leadership
success in the industry that they represent. Are there industry-specific personal traits important for
leadership?

8-4
whole or part.
Learning Objective 8.2: Explain democratic vs. authoritarian leadership.
1. Key terms.
Authoritarian Leadership: A leadership style in which the leader retains a great deal of
authority.
Democratic Leadership: A leadership style in which the leader allows subordinates to participate
in decision making and problem solving.
Laissez-faire Leadership: A leadership style in which the leader is uninvolved and lets
subordinates direct themselves.
2. Teaching notes.
There are different leadership styles. Supervisors may instinctively use a style they are
comfortable with, or they may consciously try to develop a style. Knowledge of different
leadership styles will help the supervisor determine the best style for results. Leadership styles are
categorized in several ways. Listed below are three separate ways to categorize leadership styles:
a. Amount of authority retained. One method of looking at leadership styles is by the amount of
authority retained by the supervisor. Although a supervisor seldom exhibits just one style, he
or she may use one style more than the other.
(1) The authoritarian leader retains a great deal of authority. Essentially it is a style where the
supervisor gives orders and employees are expected to follow orders. An example would
be a military commander who expects unquestioned obedience. An advantage of this type
of leadership is that decisions are made quickly. It works best in an emergency or crisis or
where employees lack maturity. A disadvantage is that employees may become dependent
on decisions from the supervisor and will not do anything on their own.
(2) Democratic leadership allows participation by employees. This type of leadership is
exhibited in organizations that have employee teams for problem solving. An advantage is
that employees may feel they have a say in the way things are done, and therefore be more
satisfied with their jobs. A disadvantage is that decisions take longer. A supervisor who
leaves most decisions up to the group may be viewed by some employees as weak.
(3) Laissez-faire leadership lets employees do what they want. This type of leadership is
seldom practiced by supervisors. This type of leadership works best in an atmosphere
where creativity or innovation is required. This type of leadership may be seen by
employees as no leadership at all.
b. Task oriented or people oriented. Another way of looking at leadership styles is to consider
what supervisors focus on in making decisions and evaluating accomplishments. Generally,
supervisors are task oriented or people oriented. Most organizations prefer a combination of
both in supervisors.
(1) Task-oriented leadership focuses on the jobs to be done and the goals to be accomplished.
(2) People-oriented leadership focuses on the well-being of the people managed. Morale, job
satisfaction, and relationships among employees are emphasized.

8-5
whole or part.
c. Researchers Robert R. Blake and Jane S. Mouton developed a Managerial Grid® (see text
Figure 8.2 “The Managerial Grid”) that identifies seven styles of leadership by managers.
Along one axis is the manager’s concern for people and along the other is the manager’s
concern for production. Their research led them to conclude that productivity, job satisfaction,
and creativity are highest with a (9, 9), or team management, style of leadership.
3. Teaching examples to describe leadership styles that a supervisor might adopt.
The following are situations where authoritarian, democratic, and laissez-faire style are used or
might be appropriate.
a. Authoritarian style of leadership–organizations or departments that require a regimented
method of performance, quick response, or employees need a lot of direction. The military,
and military-type organizations such as correction facilities, would be an example. Fire
fighting would be another. This style would also be appropriate in organizations where
employees require a lot of direction, such as a fast-food restaurant where there is high turnover
of personnel.
b. Democratic style of leadership–organizations and departments that require input from
employees for problem solving or product and process improvement. This style works in
organizations where there is a highly skilled work force, especially if work requires teamwork
to complete work effectively. An example may be companies that supply the auto industry
with parts and materials. These companies are being driven by competitive forces to improve
quality and reduce prices through continuous improvement.
c. Laissez-faire style of leadership–organizations or departments that require innovative
employees where creativity is important. Examples include research and development
departments, software companies, and design departments. Beauty salons might be another
type of company where this style of leadership works best.
4. Exercise to describe leadership styles that a supervisor might adopt.
Text figure 8.2 “The Managerial Grid” illustrates the managerial grid developed by Blake and
Mouton. Use this grid to identify management styles. To apply this model of leadership,
supervisors identify where their current style of leadership falls on the managerial grid, then
determine the kinds of changes they must make to adopt the (9, 9) style, which is high in concern
for both people and production.
Ask students to identify two or three firms they are familiar with. After scoring these firms on
their concern for production and concern for people, use the Management Grid to locate the
leadership style of the firm.
Learning Objective 8.3: Explain major leadership theories.
1. Teaching notes.
Contingency theories of leadership maintain that the best style of leadership depends on the
circumstances. There are two models: Fiedler’s model and the Hersey-Blanchard model.
a. Fiedler’s model. Supervisors will be relationship oriented (people oriented) or task oriented
depending on:

8-6
whole or part.
(1) leader-member relations, or the extent to which the leader has group members’ support
and loyalty.
(2) task structure, or whether there are specified procedures to follow in carrying out the task.
(3) position power, or the leader’s formal authority granted by the organization.
Fiedler recommends that a leader determine whether his or her preferred leadership style fits
the situation, and, if not, the leader should try to change the characteristics of the situation.
(See text Figure 8.3.)
b. The Hersey-Blanchard Life Cycle theory is similar to Fiedler’s model except it believes that
the leadership style should reflect the maturity of the followers as measured by such traits as
ability to work independently. Leaders should adjust the degree of task and relationship
behavior in response to the growing maturity of their followers. As followers mature, leaders
should move through a combination of behaviors:
(1) High task and low relationship behavior
(2) High task and high relationship behavior
(3) Low task and high relationship behavior
(4) Low task and low relationship behavior
c. The path–goal theory of leadership suggests that the primary activities of a leader are to make
desirable and achievable rewards available to organization members who attain organizational
goals and to clarify the kinds of behavior that must be performed to earn those rewards.
According to the theory of path–goal leadership, a leader should exhibit the following
behaviors:
(1) Directive behavior–involves telling followers what to do and how they are to do it.
(2) Supportive behavior–involves recognizing that above all, followers are human beings.
Therefore, it’s important to be friendly and encouraging to followers.
(3) Participative behavior–involves seeking input from followers about methods for
improving business operations.
(4) Achievement behavior–involves setting a challenging goal for a follower to meet, and
expressing confidence that the follower can meet this challenge.
Servant leadership involves putting other people’s needs, aspirations, and interests above your
own. In fact, a servant leader deliberately chooses to serve other people. More recent research
on servant leadership has indicated that a servant leader meets the following description:
(1) A good listener
(1) Empathic
(2) Healing
(3) Aware
(4) Persuasive

8-7
whole or part.
Entrepreneurial leadership is based on the attitude that the leader is self-employed. An
entrepreneurial leader often has the following characteristics:
(1) Visionary
(2) Problem solver
(3) Decision maker
(4) Risk taker
2. Teaching examples to explain contingency theories of leadership.
The contingency models are not inconsistent with the categories of leadership styles in Learning
Objective 8.2. As noted above, a supervisor seldom exhibits purely one type of leadership style.
A simple example of how the Hersey-Blanchard model can be interpreted is to look at the needs
and response of the supervisor to a new employee.
a. The new employee needs a lot of help in learning the job.
High task and low relationship behavior–provide the technical training associated with the job.
b. The new employee has been trained and is working on the job.
High task and high relationship behavior–coach and follow-up on the technical parts of the job
and feedback to maintain self-esteem during a time when employees may feel unsure of
themselves.
c. The new employee is coming along and seems to have mastered the technical part of the job.
He or she may not have the speed or skill level of a more experienced employee.
Low task and high relationship–most of the attention is aimed at assuring the employee he or
she is doing what is expected and is satisfactory as an employee.
d. The new employee is now up to speed, has mastered the technical part of the job, and feels
comfortable doing the job.
Low task and low relationship behavior–the supervisor can reduce the amount of both the task
and relationship behavior focused on this employee.
3. Exercise to explain contingency theories of leadership.
See the “Exercise” below for Learning Objective 8.4. Identify criteria for choosing a leadership
style. The exercise includes an application of contingency theories of leadership.
Learning Objective 8.4: Identify criteria for choosing a leadership style.
1. Teaching notes.
Since no single type of personality is associated with good leadership, different leaders prefer
different styles of leading. Situational characteristics include the supervisor’s characteristics such
as values and strengths, the level of competency of the employees, and the environment in which
they both work. The list below includes some of the characteristics that influence how supervisors
feel about various approaches to leading.

8-8
whole or part.
Supervisor characteristics:
a. The manager’s values. What is most important to the supervisor in carrying out his or her job?
Department’s contribution to company profits? The supervisor’s own growth and
development? Developing employees?
b. Level of confidence in employees. The more confident the supervisor is in employees, the
more he or she will involve employees.
c. Personal leadership strengths. Effective leaders capitalize on their strengths.
d. Tolerance for ambiguity. When the supervisor involves employees in solving problems or
making decisions, he or she cannot always be sure of the outcomes. Will he or she be
comfortable with the uncertainty?
Employee characteristics:
a. Need for independence. Employees who want a lot of direction will welcome autocratic
leadership.
b. Readiness to take responsibility. Employees eager to assume responsibility appreciate
democratic or laissez-faire styles of leadership.
c. Tolerance for ambiguity. Employees tolerant of ambiguity will accept the leadership style that
gives them more input.
d. Interest in the problem. Employees interested in a problem and think it is important will want
to help solve it.
e. Understanding of and identification with goals. Employees who understand and identify with
the organization’s or department’s goals will want an active role in meeting these goals.
f. Knowledge and experience. Employees with the knowledge necessary to solve a problem are
more apt to want to help come up with a solution.
g. Expectations. Some employees expect to participate in making decisions and solving
problems.
Growing diversity in the work place means that supervisors may have a more difficult time
determining where the employees are in regard to these characteristics. There is the additional
danger that supervisors have preconceived ideas about how employees think and behave.
Supervisors need to get involved and know their employees.
Characteristics of the situation:
a. Type of organization. The organization lends itself to a type of leadership. For example, if
supervisors are expected to manage large numbers of employees, a democratic leadership style
may be time consuming and relatively challenging to use. When there are a large number of
employees to manage or they are dispersed over a large area, laissez-faire style leadership may
be the result whether it is intended or not.
b. Effectiveness of the group. Regardless of the characteristics of individual employees, some
groups are more successful in handling decisions than others. When employees have little
experience making decisions, authoritarian style leadership may be easier to use.
c. The problem or task. Problems range from simple to complex. Tasks range from structured to
relatively unstructured. Although it appears that each of these variables suggests a specific
type of leadership, such as a structured task is best handled with more control by the
supervisor, in reality each problem or task is also related to the other characteristics of the
situation.
d. Time available. An autocratic leader is in a position to make decisions quickly. Group
decision making usually requires more time for discussion and sharing ideas.

8-9
whole or part.
2. Teaching examples for identifying criteria for choosing a leadership style.
Use Figure 8.3 “Fiedler’s Contingency Model of Leadership” to illustrate how different
characteristics will justify a leadership style depending on the variation in the characteristics.
Figure 8.3 lists most of the characteristics in this learning objective with the extreme ends of the
continuum listed under either authoritarian or democratic leadership. This chart is meant to be
representative, not conclusive. Remind students that again they are looking at one variable at a
time and not the possible combinations that exist in organizations.
To include students in a discussion about situations and leadership style, ask them for knowledge
or experience in organizations that exemplify some of the comparisons.
3. Exercise for identifying criteria for choosing a leadership style.
This exercise is designed to give students a feel for how some of the characteristics discussed in
the text dictate the most effective leadership style that a leader might choose. Included are
characteristics of supervisors, employees, and the situation or organization.
This exercise can be done in the classroom as a small group exercise or as homework for
individual students. If done in the classroom, allow about 15 minutes for students to read, discuss,
and decide on the appropriate leadership style. To use the exercise:
Make a copy of Figure 8.4A “What Leadership Style Is Best?” for each student.
a. Explain to the students they are to determine the best leadership style at this time. For some of
the descriptions, a different leadership style may be appropriate at a later time.
b. Discuss the choices made with the entire class.
FIGURE 8.4A
What Leadership Style Is Best?
What type of leadership style–authoritarian, democratic, or laissez-faire–would be best for the
following situations” Explain why.
1. There are several new cashiers in the sales staff. This is bad news for Jose, the supervisor. It would
be easier if they were all in the same area, but they are widely dispersed throughout the store.
Fortunately, they are inexperienced so he will not have to untrain any bad practices. He had high
confidence that they would learn fast and soon be on their own.
2. Rashell was happy to see how the major projects of her department, a large graphic arts
department of an advertising department, were progressing. She felt very fortunate that the
employees of the department were talented and quickly assumed responsibility for the new jobs.
Of course, she had been working hard for five years to develop the staff. She had a right to be
proud.
3. Larry hoped the evening would be a quiet one with few emergencies. He had been on the job only
for four months and he still was not as familiar with all of the procedures. Larry supervised a
group of volunteers on “hot lines” for a crisis center. They were great people to work with, but
many lacked the confidence that would take the heat off from him during busy times.

8-10
whole or part.
4. Martha had been with the company for 15 years. She looked out over her department and wished
the employees would assume more responsibility for their jobs and the future of the company.
They seemed to be interested in one thing–the end of the day. The company was trying to develop
improvement teams. But Martha had little confidence in the employees’ ability to work in teams.
They did their jobs, but when they reorganized the department last year to put teams together and
to increase production and quality, they acted like a bunch of cats each going their own way.
5. Fidencio, the supervisor of receiving for a large department store, was pleased with his recent
performance review. His department was rated very efficient. He was thankful for the employees
he supervised and he told them how pleased he was with their hard work. His employees were
always the first to volunteer for whatever came along. They would always take over when
someone was out sick. Even in a crisis, like when the sales items didn’t come in until hours before
the sale started, he could count on them.
FIGURE 8.4B
Answers to What Leadership Style Is Best?
What type of leadership style–authoritarian, democratic, or laissez-faire–would be best for the
following situations? Explain why.
1. There are several new cashiers in the sales staff. This is bad news for Jose, the supervisor. It would
be easier if they were all in the same area, but they are widely dispersed throughout the store.
Fortunately, they are inexperienced so he will not have to untrain any bad practices. He had high
confidence that they would learn fast and soon be on their own. (Authoritarian. The employees are
new and inexperienced and they are scattered throughout the store.)
2. Rashell was happy to see how the major projects of her department, a large graphic arts
department of an advertising department, were progressing. She felt very fortunate that the
employees of the department were talented and quickly assumed responsibility for new jobs. Of
course, she had been working hard for five years to develop the staff. She had a right to be proud.
(Laissez-faire. The department is creative and employees are talented and assume responsibility.
They don’t need much supervision.)
3. Larry hoped the evening would be a quiet one with few emergencies. He had been on the job only
for four months and he still was not as familiar with all of the procedures. Larry supervised a
group of volunteers on “hot lines” for a crisis center. They were great people to work with, but
many lacked the confidence that would take the heat off from him during busy times.
(Authoritarian. Volunteers are not confident in their ability, and Larry doesn’t have confidence in
them. A crisis may need a very quick decision, and Larry is ultimately responsible. He is also not
very confident in his own ability in this situation.)
4. Martha had been with the company for 15 years. She looked out over her department and wished
the employees would assume more responsibility for their jobs and the future of the company.
They were good workers but they seemed to be interested in one thing–the end of the day. The
company was trying to develop improvement teams. They did their jobs, but when they
reorganized the department last year to put teams together to increase production and quality, they
acted like a bunch of cats each going their own way. (Authoritarian. It would be better if the
conditions were right for team involvement and a democratic leadership style, but the conditions
call for an authoritarian style. There is low interest in involvement or responsibility, and
employees don’t work well as a group.)

8-11
whole or part.
5. Fidencio, the supervisor of receiving for a large department store, was pleased with his recent
performance review. His department was rated very efficient. He was thankful for the employees
he supervised and he told them how pleased he was with their hard work. His employees were
always the first to volunteer for whatever came along. They would always take over when
someone was out sick. Even in a crisis, like when the sales items didn’t come in until hours before
the sale started, he could count on them. (Democratic. Employees want to be involved and he had
confidence in them.)
Learning Objective 8.5: Explain how supervisors can develop and maintain good relations with
their employees, manager, and peers.
1. Teaching notes.
A supervisor needs support from many people in the organization to be successful. First, they need
the support of their employees. They also need the support of their boss and co-workers. Ways to
get along with almost everyone include projecting a positive attitude, taking an interest in other
people, and helping out.
A supervisor who is liked and respected by employees will inspire them to work harder and better.
This does not mean that the supervisor should be friends with employees. Rather, the supervisor
should consistently treat them in a way that reflects his or her role as a part of management
Supervisors should be role models for employees by following the rules of the company. They
should also be fair in the treatment of employees and ethical.
Employees work most cooperatively with a supervisor they trust. Building trust takes time and
effort, yet it can be lost with a single act that is unreasonable. Trust is built by fair and predictable
behavior.
No matter how good you are at planning, organizing, and leading, your ability to get along with
your boss can determine the course of your career within the organization. That may not always
seem fair, but the fact is that your boss is the one who most often decides whether you will be
promoted, get a raise, or even have a job next week. A boss who likes to work with you is more
likely to take a favorable view of your performance. A supervisor can assume that his or her boss
expects the following:
a. Loyalty. This means that the supervisor says only positive things about the company and his or
her boss.
b. Cooperation. This means that the supervisor works with others in the organization to achieve
organizational goals.
c. Communication. This means that the boss expects to be kept informed about the department’s
performance.
d. Results. This means that the supervisor should see to it that the department meets or exceeds
its objectives.
You can better meet your boss’s expectations if you understand him or her as an individual. Notice
what issues are important to your boss and as much as you can adapt your own style to match his
or hers. Also ask your boss what his or her expectations are for you and how your performance
will be measured.

8-12
whole or part.
If you are dissatisfied or unhappy with your boss, consider what the source of the problem is. Most
interpersonal problems arise from the behavior and attitudes of two people, so are there changes
you can make to improve the situation? If you can’t improve the situation enough by changing
your own behavior, talk to your boss. If you can’t resolve the problem with your boss, your best
bet probably is to hunt for another job.
If you get along well with your peers in the same and other departments, they will help you look
good and get your job done. If they resent or dislike you, the poor relations can cause an endless
stream of problems. Sometimes your peers will be competing with you for raises, bonuses, or
promotions. Remember that the more you can cooperate, the better you will all look.
2. Teaching examples to explain how supervisors can develop and maintain good relations with their
employees, boss, and peers.
One of the most important tasks of the supervisor is meeting the department and organizational
goals. Meeting the goals is intimately tied to the relationships the supervisor develops within the
organization. Simply put, this means effectively managing your employees by using both
relationship and technical skills. The outcome will affect the relationship with your boss. Success
in meeting the goals will make you and your boss look good; failure will make you and your boss
look bad.
Since departments do not act alone in the success or failure to meet goals, it is important that
supervisors get the support necessary from others. This is especially true when there are problems
to be solved. Manufacturing companies may find quality problems in the departments that produce
parts. The cause of the problem may be the purchase and receiving of poor quality material. By
working together, departments can identify material characteristics necessary for quality results
and purchase material with these characteristics in the future. Neither the purchasing nor the
production department can solve this problem alone. Another source of material problems may be
in the storage of raw materials. If another department handles this, then that department should be
included in the solution to the problem also.
Relationships with employees:
Gunther Heinz was the new supervisor of accounting in the local hospital. Smoking was not
allowed in hospital offices, so he held meetings with employees in the smoking lounge to “kill two
birds with one stone.” He did not take any other breaks. He was surprised when his boss told him
he had had complaints about him taking too many breaks. Gunther was also surprised to find that
the employees were angry about sitting in the smoking lounge. Gunther explained he was using
the time to bring them up to date on the latest instruction. Why were they unhappy? He was
making good use of his time.
Think of your relationship with your employee as a long-term investment. In the short term you
may get the work done with demands, hostility, threats, and scare tactics, but what will be the
long-term effect of this type of behavior? Think about the golden rule of supervision: Do unto
others as you want to be done unto. Provide the tools, information, and support for your
employees to do a good job. Let them know they can depend on you by your actions. Provide a
role model of the expected behavior. If you return late from coffee breaks, you can be sure your
employees will follow your example.

8-13
whole or part.
Relationships with the boss:
You can be successful in reaching the department’s goals but unsuccessful with your boss. Kim
Wong, a supervisor in an electronics service company, was proud of herself. Productivity in her
department was the highest in the company. She had tried a new method of replacing all suspected
components rather than wasting time doing extensive and unnecessary testing. Sure it cost a little
more, but she was sure her boss would appreciate her effort. She was surprised when her boss was
unhappy and told her to go back to the old way.
You cannot take for granted that being a good supervisor in the eyes of your employees will
guarantee your success in the eyes of the boss. You must actively seek to understand what your
boss expects and what he or she thinks of you and your performance. Failure to understand the
importance of meeting the expectations of your boss can result in loss of wages, promotions, better
assignments, and ultimately your job.
We tend to like people who are like us. It helps to be aware of your boss’s characteristics and
style. In your boss’s presence, mirror his or her preferences and style. Sometimes you can’t be like
your boss. If there is a wide difference in age, education, and background, you cannot change what
you are. On the other hand, don’t emphasize the differences. For example, if your boss is much
older than you are, refrain from remarks that emphasize your relative youth. If your boss has no
formal education and you are formally educated, refrain from emphasizing theory over experience.
Relationships with peers:
Supervisors should not neglect their relationship with their peers. It takes the combined effort of
everyone to attain the organizational goals. Failure to recognize the interdependency of the
departments in meeting organizational goals may result in reaching one department’s goals at the
expense of another department.
Peers can help a supervisor in many ways. Gunther was bewildered by the smoking problem. He
had just moved here from another state. He had always worked for a hospital and understood the
smoking issues, but he was trying to be helpful to his employees and not waste time. He turned to
his peers to find out the expectations of others in the hospital. They clued him in. Take quick
smoke breaks, not too many, and don’t take anyone else in with you.
There are many specific interpersonal relation techniques. Several are covered in the text In
addition, take the initiative to learn about these and any others that will help you be successful
with the members of your organization.
3. Exercise to explain how supervisors can develop and maintain good relations with their
employees, boss, and peers.
Getting along with others is a necessary component of success for the supervisor. New supervisors
and students may have taken interpersonal relationships for granted in the past. There are many
instruments available to identify personal characteristics. In the future they may be asked to fill out
a questionnaire to determine their strengths and weaknesses as defined by the company.
The exercises suggested are meant to sensitize students to what they are and how that may be
different than what is expected. Recognizing differences may help them adjust behavior to meet
the expectations of bosses and others. The exercises are not intended to be personality or style
indicators.

8-14
whole or part.
a. Recognize differences between you and your boss. This exercise can be used as homework or
as a small group exercise in the classroom. If used as a small group exercise, each student
should fill out the chart characteristics for him- or herself. Arrange for a photocopy of Figure
8.6 “How Are You Different?” for each student.
(1) Have students compare themselves to their boss. If they are not employed, the instructor
of the class can be used for the comparison.
(2) Determine specific actions to be taken by the supervisor or student to minimize
differences where they occur. It is useful to have others in the group discuss ways to
minimize differences.
(3) Discuss with the entire class some of the ways students would minimize differences
between employees and their boss.
FIGURE 8.6
How Are You Different?
Characteristic You Boss
Action If
Different Risk If Different
Age
Gender
Culture
Style
Communication:
Preferred method
to receive
information
Sense of humor
Willingness to
risk
Willingness to
change
Grooming habits:
Style of dress
Other (list)
Other (list)

8-15
whole or part.
III. ANSWERS TO REVIEW AND DISCUSSION QUESTIONS
1. Describe the six traits that researchers believe may indicate a good leader. However, research has
not established a clear link between personality traits and leadership success. What other factors
do you think might contribute to success or failure?
Sense of responsibility; self-confidence (a person believes in his or her ability to get the job done);
high energy level (willing to work hard, take on challenges); empathy (ability to understand
others); internal locus of control (the belief that one is the primary cause of what happens to
oneself); sense of humor.
Answers will vary. However, some students may focus on issues covered throughout the chapter:
leadership style, circumstances, human relations, and so forth.
2. Claire Callahan supervises the camping department of a large outdoor equipment store. The store
manager (Claire’s boss) has given her the objective of increasing sales by 10 percent during the
next quarter. Choose one of the three leadership styles for Clair (authoritarian, democratic, or
laissez-faire). Then state three or more steps that she might take to influence her employees to
meet the new sales objective.
Answers will vary. If she’s authoritarian, she will probably dictate instructions to her employees,
such as requirements for working longer hours, scripts for new sales pitches to customers (for
instance, while they are at the cash register), and the like. If she’s democratic, she may hold a staff
meeting to get ideas from employees on how to increase sales, and then help them choose the most
workable ideas and implement them. If she’s laissez-faire, she may fail to meet the objectives.
She might take the following steps to influence her employees to meet the new sales objective:
• Post the new goal where employees can see it, or hold a staff meeting to inform them of the
goal.
• Use rewards (cash, if available, or at least recognition) to spur employee productivity.
• Use competition as a tool for motivating employees by asking the employees to compete
against other departments or other stores in the vicinity.
3. Ann Wong is the accounts payable supervisor at an insurance company. During a time of layoffs,
she decides that she should adopt a more people-oriented leadership style than the style she
normally uses. What does this change mean?
Ann will become less task oriented, a style that focuses on the jobs to be done and the goals to be
accomplished, and more people oriented, a leadership style that focuses on the well-being of the
people managed such as morale, job satisfaction, and relationships among people in the
department. This change might help Ann because layoffs usually result in low employee morale
and that, in turn, affects productivity.
4. Do you think it is more realistic to expect supervisors to adjust the situation to meet their preferred
leadership style, as suggested by Fiedler’s contingency model of leadership, or to adjust their
leadership style to fit the situation, as suggested by Hersey and Blanchard? Explain your
reasoning.

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73
Minister Arroyo after the reduction of the Civil List, in
works on the palace and at Chapultepec.”
Herzfeld was also commissioned to issue, in the name of
the Emperor, the necessary written orders to the prefect
and treasurer at Miramar.
“The Emperor wishes the utmost publicity to be given
these matters,” so Herzfeld was notified, “and holds you
responsible therefor on your honor and your friendship.
Amid the political shipwreck he desires to keep his name
and honor untarnished and would rather suffer personal
loss than touch any part of the property of the Mexican
nation.”
At the stations of Actzingo and Canada, Maximilian
spent the night in the house of the priests, a fact which
furnished his enemies an opportunity for accusing him
of too close affiliation with the clergy. His arrival was
everywhere hailed with rejoicings, and he was
overwhelmed with expressions of sympathy for the
illness of the Empress. On the twenty-seventh of
October the imperial party reached the city of Orizaba,
which they entered at five o’clock in the afternoon,
greeted with booming of cannon and the enthusiastic
acclamations of the populace.

74
Chapter XII
The Emperor at Orizaba
Herzfeld’s knowledge of the real state of affairs and
anxiety for his master’s safety soon caused him to lay
aside all other considerations and follow the Emperor to
Orizaba, where he urged preparations for departure
with all possible despatch. In the midst of those,
however, he was ordered to Europe by Maximilian to
prepare for his arrival there. Thus this loyal friend was
spared being a witness of the Emperor’s tragic fate.
During his stay in Orizaba Maximilian led a simple,
secluded life in his palace, seeing only his intimate
associates, but occupied with arrangements for
departure, and the settling of his private affairs. Much to
his satisfaction, his Civil List showed a balance in his
favor of $180,000. All his servants but two were paid
and dismissed. Colonel Kodolitsch was sent to Mexico to
arrange with Bazaine concerning the Austrian and
Belgian volunteers, who had followed Maximilian to
Mexico and for whose future he felt it his duty to
provide. One question much discussed confidentially,
and which Maximilian seemed quite unable to decide,
was as to whether the abdication should take place
before his departure or in Europe, where he had
accepted the crown. His plans for the future were
already made. It was not his intention to return at once

75
to Austria, but to travel for two years, meeting the
Empress at Corfu, if her condition should permit.
Meanwhile his own health had greatly improved. With
his two countrymen, Dr. Basch and Professor Bilimek, he
made frequent excursions about the neighborhood,
enjoying the wonderful scenery or searching for rare
specimens of plants and insects. Suddenly, however,
events occurred which changed the aspect of affairs and
effectually put an end to the Emperor’s plans of travel.
Two old comrades-in-arms in the Mexican army,
Generals Marquez and Miramon, returned from Europe
and, seeking an immediate audience with the Emperor,
urged him to return to the capital, holding out promises
of support and encouraging prospects for the imperial
cause. While Maximilian was hesitating, a letter arrived
from Bazaine, which turned the scale. In this the
Marshal was so imprudent as to tell tales out of school,
betraying the fact that Napoleon III had made other
plans for Mexico without consulting Maximilian, who, as
he had not yet abdicated, was still sovereign of the
country. This arbitrary conduct on the part of his ally
roused Maximilian to action. Indignant at the slight cast
upon him and anxious to prove that he was not slinking
away at the bidding of France like a disgraced servant,
he was in a proper frame of mind to respond to the
appeal made by his conservative advisers, that it was
his duty to remain and not desert his party in the hour
of danger. Although outwardly preparations for
departure continued as before, the Emperor’s resolution
was weakened, and toward the end of November he
summoned his council to Orizaba to consult with them
as to the advisability of his abdication, giving in an
address to that body his reasons for such a step, viz.,
the spread of the revolution with its attendant evils, the

76
77
hostility of the United States toward Mexico, and the
withdrawal of the support of France.
A vote was taken, twenty-three members of the council
being present, of whom two were for immediate
abdication, ten of the opposite opinion, while eleven
were in favor of abdication, but held that the present
was not the time for such a step. Maximilian yielded to
the majority and agreed to remain on condition that
funds should be raised for the proper defence of the
government and the organization of a permanent
national army, and that measures should be taken
toward the settlement of questions pending with France
and the United States. The Mexicans, proverbially lavish
with promises, readily agreed to all these points, and on
the first of December the Emperor issued a manifesto to
the people, declaring that he had yielded to the desire
of his council on condition that a congress representing
all parties should be summoned to decide the existence
of the Empire, and, if this were confirmed, he would
devote himself to the promotion of its welfare.
On the twelfth of December, 1866, Maximilian left
Orizaba to return to Mexico, accompanied by most of
the members of the council who, in the unsettled
condition of the country, were glad to avail themselves
of the imperial escort, consisting as before of Colonel
Kodolitsch’s hussars. They consumed much time on the
journey, lingering for nearly three weeks at Puebla,
Maximilian residing at first in the Xonaca palace, a short
distance outside the city. Here he held an interview with
Castelnan, the French consul, which appears to have
been of a most unpleasant nature and widened still
further the breach between the two Emperors. Scientific
expeditions were also attempted by the three friends, as
at Orizaba, but, finding few specimens in the region

78
about Puebla, these excursions were soon abandoned
and Maximilian moved his residence into the city.
Arriving in Mexico on the fifth of January, 1867,
Maximilian remained for a time at the Hacienda de Teja,
a quarter of an hour’s distance from the capital. While
there three of his former ministers, Ramirez, Escudero,
and Robles y Pezuela, made a final attempt to induce
him to abdicate and leave the country at once. But
although evidently impressed by their arguments he
refused to follow their advice. The accusations of
vacillation and irresolution afterward made against
Maximilian would seem to be justified by his behavior at
this time. Doubtful of himself and of the future, he still
clung to the hope of being able at least to retire with
honor, conscious of having fulfilled his duty to his
adherents. In relating to his physician the interview with
his ex-ministers, he declared that Ramirez wept at
parting, expressing the earnest wish that his evil
forebodings might not be realized. He knew but too well
how deceptive were the promises of his countrymen.
“In no case,” continued the Emperor, “will I remain here
more than a few months, only until affairs are more
settled. Will it injure my health, do you think, to stay on
in Mexico? Will the fever return?”
“I have no anxiety as to Your Majesty’s health on that
score,” replied the physician; “it is Your Majesty’s life I
fear for.”
Maximilian’s attempts to convoke an assembly of liberal
representatives from all parties to discuss measures for
remedying the existing disorders in the country met
with small success, as might have been expected. It
seemed impossible to obtain any sort of peaceful fusion

79
or coöperation, and there was nothing left for the Junta
(congress) but to declare war on the rebels in Mexico—
war to the knife.

80
Chapter XIII
Departure of the French
Meanwhile the French were making active preparations
for their return to France. On the sixteenth of January,
1867, a letter arrived from Napoleon Third, revoking the
extraordinary powers granted to Bazaine as
commander-in-chief of the Expedition Corps and
declaring the corps itself disbanded. The embarkation of
the first division of troops on the Empress Eugénie had
then already begun. This was in accordance with the
secret articles already mentioned, and met with no
objection on the part of Maximilian. The recall of the
foreign legion, however, included in the order, was a
direct violation of the Treaty of Miramar, which
guaranteed their remaining in the country for several
years yet, if needed.
In February the French marched out of the capital.
Before leaving they burned as many of the army effects
as could not profitably be taken with them. A large
quantity of powder was poured into the water, and
projectiles were rendered useless by being filled with
sand, so that the Mexicans should not profit by their
possession. It is hard to believe that Bazaine’s personal
feeling could have gone to such lengths, but there
seems no reason to doubt the truth of these
statements. During the Russian retreat before the

81
French, in 1812, stores of all kinds were destroyed to
prevent their falling into the enemy’s hands. Maximilian
was not yet an enemy; on the contrary, he was
supposed to be an ally, yet for days huge columns of
fire and smoke testified to the friendship of the French.
Nor was this all. On the occasion of the Marshal’s
marriage to his Mexican wife, Maximilian had presented
him with a palace, which in case of his recall was to be
redeemed by the government for 150,000 piastres
($100,000). Now that he was about to leave the country
forever he demanded the promised sum, though well
aware of the state of Mexican finances, and, finding it
impossible to obtain the money from an empty
exchequer, sold enough French arms and ammunition to
the revolutionists at insignificant prices to make up the
amount.
When Bazaine, some months before, had begun the
reorganization of the Mexican army which was to
replace the French, he had ordered that all commanders
must be Frenchmen, other officers and privates either
French or Mexicans; pay, equipment, etc., to be the
same as in the French army, and those of his own
troops who chose were to be free to remain in the
service of the Emperor. Yet in spite of this, before the
departure of the last of the troops in February, 1867, he
issued an order declaring that all French soldiers,
officers or privates, who did not return to their own
banner immediately would be regarded as deserters and
forfeit all rights as citizens. Owing to the wide area of
country involved and the difficulty of communication it
was, of course, impossible for this order to reach all the
French soldiers in Mexico—a fact which was taken
advantage of later by Juarez, for all the Frenchmen
serving under Maximilian, who were unfortunate enough

82
83
to be taken prisoners, were shot as deserters. Before
leaving, however, the Marshal was kind enough to send
a message to Maximilian, offering to wait for him in case
he should decide to leave the country—an offer which,
needless to say, was declined.
With the French troops, thanks to Bazaine’s powers of
persuasion, went the greater part of the Austrian and
Belgian volunteers, who had done distinguished service
under the command of Count Thun, only a few of the
Austrians remaining with their Prince. The first step now
to be taken was the formation of the new national army,
a task already begun by Bazaine. Maximilian divided it,
roughly speaking, into three corps, commanded
respectively by Generals Miramon, Marquez, and Mejia.
As these three men are henceforth to play an important
part in Mexican affairs, a word concerning them may
not be amiss.
Miramon had already enjoyed the honor of occupying
the presidential chair in Mexico, at which time Marquez
had served under him. One incident will suffice to
illustrate the character of these two heroes. After the
capture of Tacubaya, in 1859, they made a visit to the
hospital where a corps of seven surgeons were caring
for the wounded, friend and foe alike. That very day
Miramon issued an order to Marquez, requiring all
prisoners ranking from subalterns to staff-officers to be
shot under his personal supervision—a list of the same
to be delivered to himself that evening. And Leonardo
Marquez, this worthy henchman, carried out these
instructions so faithfully that not only every prisoner
was shot before sunset, but also the surgeons of whom
there had been no mention in the order. Such were the
ideas of justice that animated these two commanders of
the Mexican national army, yet Marquez, in particular,

84
seems to have completely succeeded in concealing his
real character from Maximilian, over whom he
unfortunately had great influence. In marked contrast to
these was the Indian Mejia, who, though still young and
of unprepossessing appearance, was brave and honest,
a good soldier, and loyal to the end to his imperial
master, whose death indeed he shared.
Army corps, properly speaking, were out of the
question, of course, in the Mexican army, of which only
the few remaining French troops and foreign volunteers
were trained soldiers. For the rest and for the greater
part it was composed of half-hearted Mexicans,
impressed into the service and ready to go over to the
enemy at a moment’s notice whenever it pleased them.
Of the volunteers Colonel Kherenhüller had succeeded
in forming a regiment of hussars, and Baron
Hammerstein, one of infantry, while Count Wickenburg
had an auxiliary force of constabulary, and Colonel
Masso the cazadores or chasseurs, all of whom did good
service. That their blood was shed in vain, that they
never had the honor of fighting near the Emperor or
defending him with their lives, was not the fault of these
brave Germans, but of the traitorous villain Marquez.
Maximilian next divided the country into three great
military districts. Mejia was given command in the east,
with headquarters at San Luis Potosi, Miramon was
stationed in the west at Querétaro, while Marquez,
controlling the central district, remained in the capital.
The Emperor was determined now to show that he
could maintain his position without the aid of French
bayonets—a proof of confidence and fearlessness which
was hailed with acclamations by the imperialists, who
already foresaw the downfall of Juarez and the triumph

85
86
of the Empire. Before actual hostilities began, however,
Maximilian made one more effort to avert bloodshed
and make peace with his enemies. But it was all in vain.
His overtures were coldly rejected and there was
nothing for it but to let fate take its course.
The first advance was made by Miramon, who
succeeded in inflicting a severe defeat upon the
republicans, Juarez and his ministers only escaping by
the swiftness of their horses. But the exultation caused
by this news soon gave place to deepest dejection.
Some days later, Escobedo, commander of the
revolutionist army in the north, surprised the
imperialists at San Jacinto and put them to rout, while
Miramon, with the remnants of his scattered forces,
took refuge in Querétaro.

87
Chapter XIV
The Siege of Querétaro
On the tenth of February the Emperor told his physician
to prepare for a two weeks’ expedition to Querétaro.
Prompted by the urgent representations of his ministers,
Lares and Marquez, that his presence was needed there
to counteract the demoralizing effect of Miramon’s
defeat, he determined to place himself at the head of
the army. After some delay, owing to the difficulty of
obtaining funds for the campaign, in spite of the
ministry’s assurances as to the satisfactory condition of
the national finances, Maximilian set out upon this
fateful journey on the thirteenth of February, with a
force of sixteen hundred Mexicans.
The matter had been arranged with so much secrecy
that even Prince Salm and Major Hammerstein had no
suspicion of the plan, while the Austrian hussars were
dumbfounded when they found the Emperor starting for
Querétaro without them. Two men have been accused
of persuading Maximilian to this rash and fatal step—
Father Fischer and the Prussian ambassador, Baron
Magnus. Dr. Basch, one of the few who were in the
secret, denies this, however, and places the blame
entirely on the two ministers, Lares and Marquez—the
latter of whom had managed to win the Emperor’s
entire confidence by his eloquence and flattery. This

88
seems the more probable since it was to their interest to
remove Maximilian to a safe distance. Once already he
had started for the coast. Why might he not do so again
and with the aid of his Austrians succeed in reaching it
and bidding adieu to the country forever? This must be
prevented at all cost. As for leaving these loyal troops
behind and trusting himself to the uncertain Mexicans, it
must be remembered that Maximilian was completely
deceived as to the real state of affairs. From his order to
Dr. Basch it is evident he expected to return from
Querétaro in a short time. He wished also to give his
Mexican subjects a proof of his confidence in them, a
noble and chivalrous idea, no doubt, but most
imprudent.
Marquez, on the other hand, was anxious to keep the
Emperor under his own influence and away from that of
his German friends, whose advice might seriously
interfere with his plans. It was also important to leave
the capital in safe hands, and no one realized more than
Marquez the difference between the Austrian troops and
his ragged Mexican soldiers, many of them wearing a
uniform for the first time.
It was doubtless for this reason that the plan was kept
so secret. The Emperor’s friends would surely have
dissuaded him from taking such a step or, at least, have
insisted on accompanying him. Indeed, when
Kherenhüller and Hammerstein heard that he was about
to leave for Querétaro, they tried their best to induce
him to take them with him. As a last resort they even
appealed to Father Fischer to use his influence in their
behalf, but all in vain. Having promised his friend,
Marquez, Maximilian felt he could not in honor retract
his word.

89
90
Shortly before setting out he took leave of his Austrian
officers, assuring them that his reasons for taking this
journey were purely political ones, and promising that
they should soon follow. Prince Salm indeed did follow
with a few trusted men, in spite of the Emperor’s
prohibition, overtaking the imperial party before they
reached Querétaro. Of the march thither Maximilian
himself gives an interesting account in a letter to
Professor Bilimek who had returned to Miramar some
time before. In it he writes:
“As you will already have learned through the
newspapers, our friends, the French, have at last left
Mexico, and, having once more obtained liberty of
action, we have exchanged the butterfly net for the
sword. Instead of bugs and beetles we now pursue
other game. Bullets instead of bees now buzz about our
heads. Twice between Mexico and Querétaro we were in
action and had a number of our men killed and
wounded. One of the latter fell just in front of my horse
and was immediately operated on, under fire, by Dr.
Basch, the only European who accompanied me. In the
second skirmish, where we were shot at like targets, our
Hungarian cook (you remember him?), who was riding
behind us with our servant Grill, was wounded on the
lip. In every town where there were no revolutionists we
were welcomed most heartily by the people, whom we
found longing for peace and cursing the French.”
Maximilian reached Querétaro on the nineteenth and
was received with the enthusiasm to be expected from
one of the strongest imperialist cities. The streets were
thronged with curious spectators who hailed the
Emperor’s appearance with shouts of joy, while from
windows and balconies, flags and gay hangings of all
sorts waved a welcome. The Spanish casino had been

91
selected and prepared as a residence for the Emperor,
where he was received by the commandant of the city,
General Escobar, after which the whole party attended a
solemn Te Deum at the cathedral.
In the evening there were great festivities, concluding
with a magnificent banquet, at which there was no lack
of those fine speeches wherein the Mexicans especially
excel. Maximilian took no part in these celebrations,
pleading fatigue as an excuse. Marquez, however,
improved the occasion rudely to impress upon General
Miramon the sense of their altered positions, he now
being commander-in-chief and Miramon his inferior, at
the same time openly displaying his satisfaction over the
latter’s recent defeat. Truly a noble soul! Although white
with rage, Miramon controlled himself, replying briefly
with a toast to the army.
For a time after his arrival in Querétaro, Maximilian
found the life very pleasant. His simple, kindly ways
soon won the hearts of the people, with whom he
mingled freely and fearlessly, joining in their
amusements and conversing familiarly with all classes.
His coolness under fire also roused the admiration of his
soldiers, who cheered wildly as he rode calmly past their
ranks, the enemy’s bullets whistling about his head.
In the capital, meanwhile, there was so little thought
given to the Emperor and his companions in Querétaro,
and there was so little idea of keeping any of the
promises made to him, it would almost seem that
Marquez was not the only traitor. Soon after leaving
Mexico, Maximilian had sent back word for the Austrian
troops remaining there to follow him at once. Had this
order been delivered, the expedition to Querétaro might
have had a different and less tragic ending. But, owing

92
93
to Marquez, it never reached its destination, and the
Emperor’s loyal friends, Kherenhüller and Hammerstein,
were prevented from joining him while there was still
time.
The city of Querétaro had at this time a population of
some forty thousand inhabitants. It lay in a narrow
valley on the southern bank of a small stream, called
the Rio Blanco, forming a quadrangle of about eight
thousand feet in length by four thousand in breadth. To
the west extended a wide plain, called from the
mountains behind it the plain of Guadalajara, while
running from south to northeast was a range of hills,
afterward utilized by the republicans with great effect.
Two places which proved of special importance to the
imperialists during the siege were the Cerro de la
Campaña, a hill lying just west of the city, and the
Convent de la Cruz, almost at the opposite end. This
was a large stone edifice of great strength, dating from
the days of Cortez. The convent grounds were enclosed
by heavy stone walls, and had at the eastern end a
smaller but equally strong building known as the
Pantheon or burial-place of the convent.
Two weeks after the Emperor’s arrival (March fifth), the
republican forces, under General Escobedo, appeared
before Querétaro and began to invest the town. The
garrison consisted of about four thousand infantry, three
thousand cavalry, and had forty-four cannon—a force so
insignificant, compared with the vast armies of the
present day, that it is remarkable it should have held out
as long as it did against such overwhelming superiority
of numbers. General Mejia had arrived at Querétaro
shortly before this, with his troops from Potosi, among
whom were a number of German officers and soldiers,
while serving under Miramon were some six hundred

94
Frenchmen. Immediately after the appearance of the
enemy, Maximilian held a council of war with his
generals. Miramon and Mejia were in favor of attacking
the republicans before their forces should have time to
unite—an excellent plan which was not carried out
owing to the opposition of the all-influential Marquez,
who held that the defence of the city should be their
first consideration. Thus precious time was allowed to
pass, and the imperialists looked calmly on while the
enemy gradually crowned the surrounding heights with
batteries. The Emperor had first established his
headquarters on the Cerro de la Campaña, but when
the republicans extended their lines eastward, they
were moved to the Convent de la Cruz (so called from a
cross erected there in commemoration of the conquest).
General Miramon now occupied the former headquarters
with a battery of eight guns, while the chief defence of
the town was entrusted to the Mexican Castillo, an able
general, but no longer young and almost entirely deaf.
The enemy’s next move was to cut off the city’s
supplies, both of water and provisions, hoping to
subdue it by starvation. The only water now obtainable
was that of the Rio Blanco, while meat soon grew so
scarce that many of the cavalry horses had to be
sacrificed. Juarez himself joined the republican camp for
a time, but, being unable to endure the smell of powder,
soon returned to Potosi. On the fourteenth of March the
Juarists made their first general attack on the town,
assaults being made on three sides at once, under cover
of the batteries. The main struggle, however, took place
at La Cruz. After a hot fight they succeeded in capturing
the Pantheon, but were afterward driven out by a body
of Austrians. During the attack Maximilian remained in
the great square before the convent, exposed to the
hottest fire, yet quite calm and apparently unconscious

95
96
of the deadly hail of bullets all about him. Once a shell
burst only a few paces in front of him, but fortunately
no one was injured, though an adjutant had his sword
bent and his clothes burned by a flying splinter. Prince
Salm, always conspicuous for bravery, made a brilliant
sortie and succeeded in capturing the first guns from
the enemy.
By evening the Juarists had been repulsed at all points
and driven back, but the victory proved barren in
results. Lopez, for some reason, took no part in the
action, while Marquez either would not or did not know
how to follow up the advantage he had gained. As for
Miramon, he distinguished himself a few days later. It
had been planned to surprise the Juarists early on the
morning of the sixteenth, and Miramon was chosen to
lead the attack, from which great things were hoped.
But the whole scheme fell through because—that
general overslept!—a neglect of duty difficult to
understand in these days. When he did at last awake it
was broad daylight, and all thought of a surprise had to
be abandoned.
On the twenty-first of March another council was held
and an important decision arrived at. This was to send
one of the generals back to the city of Mexico with full
authority from the Emperor to act as he thought best.
He was to dismiss the present ministry and form a new
one, to obtain more funds, and, in any case, to return
with aid to Querétaro without delay. Marquez, for whom
the place was getting much too warm by this time, had
no difficulty in obtaining the appointment—a simple
means of escaping the trap into which he had led his
sovereign. Still trusting the traitor implicitly, Maximilian
left it entirely to him whether to bring only a part of the
troops from Mexico or the whole garrison. It was

97
arranged that Marquez, with one thousand horsemen,
was to make his way through the hills to the south,
while Miramon, to divert the enemy’s attention, made a
sortie in the opposite direction. The plan was kept so
secret that even Miramon had no suspicion of the real
purpose of his expedition. This time he did not
oversleep but successfully surprised the enemy at four
in the morning, returning with twenty-two carts full of
provisions and war material, sixty oxen, and some two
hundred sheep and goats. Meanwhile Marquez and his
troopers had passed through the enemy’s lines
unnoticed, leaving the imperialists the poorer by one
thousand of their best men—no small loss to a garrison
already so reduced.
The Juarists, now swelled by reinforcements to about
forty thousand men, continued to harass the city by
daily attacks from without, while their spies kept them
accurately informed of all that passed within. The
Emperor, unconscious of the treachery by which he was
surrounded, still looked confidently for relief from
Marquez. Days passed in ever-increasing suspense,
while the situation of the besieged grew more and more
critical. Marquez’ enemies began openly to hint at
treachery, and at length even Maximilian lost faith. Now
that it was too late his eyes were opened to the real
nature of his “friend,” and, realizing that he had been
betrayed, he determined to send Prince Salm on
another mission to the capital—to arrest Marquez, if
necessary, and return at once with reinforcements. An
attempt was accordingly made on the twenty-second of
April to break through the enemy’s lines, but the city
was by this time so closely invested that it was found to
be useless. Meanwhile the republicans, fearing that the
Emperor with his whole force might succeed in escaping
from the city, caused reports of Marquez’ approach to

98
99
be circulated by their spies, while false despatches,
purporting to arrive from the capital, were smuggled
through the lines in order to soothe the imperialists with
vain hopes.
But what of Marquez while all Querétaro watched so
anxiously for his return? Where was he and what was
he doing? He had arrived safely at the capital on the
twenty-seventh of March with few losses, and, finding
the city of Puebla hard pressed by the Juarist, Porfirio
Diaz, determined to go to its relief. Though well aware
of the urgency of the situation in Querétaro, and the
need of haste in executing his mission, he seems to
have troubled himself little concerning it, and to have
taken no steps toward sending the promised aid. The
relief of Puebla he did indeed undertake, but here as in
Querétaro he made so many blunders that the attempt
ended in utter failure and involved the needless sacrifice
of many of Maximilian’s brave Austrians.

100
Chapter XV
Downfall of the Mexican Empire
Meanwhile the situation in Querétaro remained about
the same from week to week. Thanks to the reports
spread by republican spies, relief was still looked for,
while frequent skirmishes enlivened the monotony in
which both Miramon and Mejia distinguished
themselves. Nor were they altogether without results,
for on the twenty-seventh of April Miramon routed
twelve thousand of the besiegers, captured twenty-one
guns, and took a large number of prisoners. Yet neither
of these generals seemed able to utilize their
advantages. Whenever a victory was won, precious
moments were wasted in useless celebrations, in true
Mexican fashion, leaving the enemy plenty of time to
recover lost ground.
At length, however, the Emperor was forced to abandon
all hope of Marquez’ return and as a last resort began
seriously to consider the possibility of breaking through
the enemy’s siege lines to the western plain whence
they might be able to reach the mountains beyond.
Once there they would be safe—for these were the
native haunts of General Mejia, who knew every foot of
the country and was certain to find support among the
sturdy mountaineers—always a loyal race. Thither, too,
the Juarists would be slow to follow. Being unwilling to

101
leave the city without any military protection,
Maximilian’s first step was to issue a call for volunteers,
to which hundreds of the townsfolk responded and were
enrolled as recruits by Mejia, to whom their organization
was entrusted. Meanwhile Prince Salm selected a body-
guard of picked men for the Emperor. The attempt was
to be made early on the morning of the fourteenth of
May,—the chief command of the expedition being
intrusted to Colonel Lopez, a proof of Maximilian’s
unbounded faith in this scoundrel. As to the sequence of
events, Dr. Basch, who was an eye-witness, writes as
follows:
“At eleven o’clock on the night of the thirteenth, a
council of war was held at which it was decided to defer
our departure till the following night. This was at Mejia’s
request, the number of volunteers being so great he
had been unable properly to arm or organize them in so
short a time, and it was upon their help he largely
depended for the success of the undertaking.
Preparations had all been completed. We were ready for
the march. Only such effects as could be carried with us
on our horses were to be taken. The Emperor himself
was very hopeful. ‘I am glad,’ he said to me on the
afternoon of the fourteenth, ‘that the end has come at
last and feel sure we shall succeed, partly because my
good fortune has never yet failed me and also—call it
superstition if you will—because to-morrow is my
mother’s name day—which is a good omen.’
“The Emperor’s luggage was divided among the escort—
members of his suite each taking a part of his papers
among their effects. The contents of His Majesty’s privy
purse were distributed between Salm, Lieutenant-
colonel Pradillo, the Emperor’s secretary, Blasio, Colonel
Campos, commander of the body-guard, myself, and

102
103
Lopez, the latter of whom expressed dissatisfaction on
being handed his share because it was in silver and
small coin instead of gold like the rest.
“At ten o’clock that night another postponement was
made till the fifteenth, this time at the request of
General Mendez, for what reason I am unable to say.
About eleven the Emperor held a conference with Lopez
concerning some details of the plan, and, made wakeful
by excitement, did not retire until one. At half-past two
he had me wakened. I went at once to his room and
found him suffering with an attack of dysentery—a
disease which had been making havoc in both camps
owing to bad food and the effects of the rainy season. I
stayed with him nearly an hour till the pain was
relieved, then returned to my own room and lay down
with my clothes on. The convent was then wrapped in
deep stillness; not a sound was to be heard. Just before
five I was suddenly aroused by two men bursting into
my room, one of whom I recognized as Lieutenant
Jablonski. ‘Where is Prince Salm?’ they shouted, ‘he
must be awakened!’ and with these words they rushed
out again. I sprang up at once. Something unusual must
have occurred to bring them to headquarters at that
hour. Without stopping to think about it, however, I
roused my servant, who was sleeping in the same room,
ordered him to saddle my horse as quickly as possible,
and hastened in quest of Salm, whom I found already
up and dressed. I asked him what was the matter. ‘We
are surprised,’ was his answer. ‘Make haste and tell
Fürstenwärther to have the hussars mount without
delay.’
“I had just delivered this message when the Emperor’s
Mexican chamberlain, Severo, came and informed me
that His Majesty wished to speak with me. Returning to

104
his room, I found him already dressed. ‘I do not think it
is anything serious,’ he declared with the utmost
calmness, ‘but the enemy have forced their way into the
courtyard. Get your pistol and follow me to the square.’
“Grill, the steward, afterward told me during our
imprisonment that the Emperor did not lose his
presence of mind for a moment. While he was dressing
he had his sword placed by the door unsheathed, to be
at hand in case of need. In obedience to His Majesty’s
command I went to my room to buckle on my revolver
and there my servant met me with the news that he
had been stopped by a strange officer who had taken
the saddle blankets from him. Having myself given the
order for the hussars to mount, it was necessary for me
to have my horse at once if I was to accompany the
Emperor, so I told my servant to follow me and point
out the officer who had prevented his obeying my
orders. We met him in one of the passageways,
wrapped in one of the blankets and carrying the other
on his shoulder. As the Emperor had only spoken of the
enemy as having entered the courtyard, I naturally
supposed, meeting this man inside the convent, that he
and the ten soldiers with him were our men and asked if
he did not recognize me as the Emperor’s physician. He
tried to evade me, pointing to a staircase leading to the
roof of the convent, and saying, ‘Your blankets are up
there.’
“Still in the dark as to the meaning of all this, and
indignant at the unnecessary delay, I drew my revolver,
whereupon the officer cried to the soldiers, ‘Desarme
lo!’ (Disarm him!) I saw a row of bayonets pointed at
me and heard the click of triggers and in a flash the
whole thing was clear to me. Any attempt at resistance
would have been madness, so, escorted by the officer

105
and his squad, I mounted the steps to the convent roof,
which to my amazement I found crowded with
republican troops. ‘You are my prisoner!’ said the officer,
now speaking for the first time. ‘So I see!’ was my angry
rejoinder. My revolver was then taken away from me,
and Perez, for such was the officer’s name, began to
search my pockets with a dexterity that proved him no
novice in the business. Naturally the well-filled money
belt did not escape his deft fingers, nor my watch which
I had with me, and this unexpected booty caused him to
treat me with more favor. In spite of the danger of the
situation, I could not refrain from drawing out my
surgical case, which had been overlooked, and, offering
it to Perez, inquiring whether he would not like that
also. This voluntary gift, however, he did not accept nor
did he take my note-book. There being no bank notes in
Mexico, paper naturally did not interest him as much as
coin or valuables, and my papers were left undisturbed
in my pocket. I was then taken to the tower where the
Emperor had so often exposed himself to the enemy’s
fire, and placed under the guard of two men.”
So much for the physician’s experiences on that eventful
night. Meanwhile, after telling Dr. Basch to get his pistol
and follow him, Maximilian, accompanied by Prince
Salm, General Castillo, Lieutenant-colonel Pradillo, and
Secretary Blasio, went out into the courtyard. At the
gates they found one of the enemy’s guards stationed,
and standing near by were Colonel Lopez and Colonel
José Rincon Gallardo. The latter, to whom the Emperor
was well known, said to the guard: “Let them pass, they
are civilians,” and Maximilian and his companions
walked out unmolested. From La Cruz they made their
way to Miramon’s headquarters on the Cerro de la
Campaña, several other officers joining them on the
way. The lines everywhere were already in the

106
107
possession of the enemy and even the small body of
cavalry they found assembled at the foot of the hill soon
melted away, going over to the enemy little by little as
their fears overcame them. Turning to Mejia, the
Emperor asked if there was no possibility of breaking
through with a few faithful followers, but Mejia sadly
replied in the negative, saying any such attempt would
be useless. Resigning himself to his fate, therefore,
Maximilian ordered the white flag hoisted and a few
moments later surrendered his sword to a republican
officer who galloped up. The Emperor was a prisoner.
That afternoon at four o’clock Escobedo sent the
following telegram to the Juarist minister of war in
Potosi:
“At three o’clock this morning our troops captured the
convent La Cruz. The garrison were taken prisoners,
part of the enemy’s troops having retreated to Cerro de
la Campaña in great disorder and under fire from our
artillery. About eight this morning Maximilian with his
generals Mejia and Castillo surrendered at discretion. I
beg to offer the President my congratulations on this
great triumph of the national arms.
Mariano Escobedo.”
A mighty triumph, indeed, for fifty thousand men to
conquer a garrison of five thousand, exhausted by
famine and disease, and that only by an act of
treachery!
As to the manner and conditions of Lopez’ betrayal,
accounts vary. He is said to have been promised as
much as ten thousand piastres by Escobedo. His
accomplice in the plot was a certain Anton Jablonski,

108
but the whole affair was managed with such adroitness
that not one of the Emperor’s friends had a suspicion of
it. Lopez afterward published an emphatic denial of the
accusation, which was supported by Escobedo and in
which he had the audacity to appeal to Prince Salm for
confirmation. The latter’s reply, written during his
imprisonment and after Maximilian’s death, leaves
nothing to be desired in the way of plain speaking. It
runs in part as follows:
“To Miguel Lopez, former imperial Mexican colonel and
author of the article entitled ‘The Capture of Querétaro’:
“In this defence, addressed by you to your countrymen,
to France, and to the world at large, you appeal to me
as witness that Querétaro did not fall by treachery and
maintain that your statements bear the stamp of perfect
truth. Although I, as you know, have been a prisoner of
war for five months, my sense of justice will no longer
allow me to be silent, for I can prove their utter falsity.
You publicly declare that Querétaro was captured by
force of arms; that the Emperor commissioned you on
the night of the fourteenth of May to negotiate with the
enemy, his troops being completely demoralized and all
hope of escape abandoned; and you dare any who
maintain that Querétaro fell by treachery to appear and
dispute your assertions. I accept your challenge,
therefore, and before the world proclaim you a traitor
with the blood of your former sovereign and benefactor
on your hands. It is not true that the Emperor
commissioned you to negotiate with the enemy. I had
the honor of conversing with His Majesty that night,
after you had left him, and he had not then or at any
other time the faintest idea of treating with the
republicans. If his army was small, it was still brave and
loyal enough to have fought a way out through the

109
enemy’s lines for its beloved sovereign, to whose
character, as you well know, such a course as you
describe would have been utterly foreign. This being the
case, permit me, Senor Lopez, to ask you a few
questions before the world.
“Why, if you had been ordered to enter the enemy’s
lines, did you return about two o’clock with a republican
officer of high rank and bring him into La Cruz, the
Emperor’s headquarters? Why did you, contrary to the
Emperor’s wishes, and without my knowledge, order the
Hungarian hussars to unsaddle, when I had already
given them the Emperor’s commands to remain saddled
all night? Why, at such a dangerous time, did you
remove from the Emperor’s headquarters the guard
upon whom the safety of La Cruz depended? Why were
the eight guns which stood on the square in front of the
convent turned with their muzzles toward the city? Why,
at two o’clock in the morning, did you take this
republican general, dressed as a civilian and armed with
a revolver, all through our fortifications? Why did you
leave our lines before four o’clock that morning, still
with this same officer, and return in a quarter of an hour
at the head of two of the enemy’s battalions and lead
them into the inner court of La Cruz, where you were
met by your accomplice, Lieutenant Jablonski? How did
it happen that you and Jablonski, both supposedly
prisoners, should have informed the Emperor of the
enemy’s presence in La Cruz? How do you explain the
fact that when His Majesty, with General Castillo and
myself, were about to leave the convent, then already
surrounded by the enemy, we were allowed at a word
from you to pass as civilians, although the Emperor
must have been already recognized and General Castillo
and I were in full uniform? How was it that after our
capture some of the republican officers named you as

111
112
the traitor? How did it happen that you, a prisoner, were
always at liberty? And, finally, how were you able to
possess yourself of the imperial papers and various
articles belonging to His Majesty, such as his silver toilet
service, which, by the way, have never appeared again?
“To all of this, Señor Miguel Lopez, you cannot honestly
and honorably reply; the facts speak for themselves and
proclaim you both traitor and murderer. Why did you
betray your Emperor and benefactor? Because, in the
first place, you wished to be revenged on him for
withholding from you the General’s commission which
he had already signed. In case you should not know his
reason for this, then learn now that it was because a
brave man, whose blood is also on your hands and
whose name I will not mention, lest you take revenge
on those he has left behind, had presented to His
Majesty a private document dismissing you from the
army for infamous conduct during Santa Anna’s
presidency and forbidding your ever holding a
government office again.
“And, secondly, Señor Lopez, you were moved by fear.
Seeing that something decisive must soon occur and
fearing, in case of our defeat, for your future and for
your life, you hoped by this shameful treachery to clear
your past account with the republicans, as indeed you
did. Your third attempt at treason failed, for a short time
after the Emperor had been made prisoner, finding your
hopes disappointed, you sent a person known to us
both to him with offers to betray your new
confederates. In my presence this person attempted to
pave the way for you to approach the Emperor,
overtures that were naturally rejected with contempt. A
man may choose his own course in life, but he must be
true to his principles. You have not only been false to

113
yours but have also committed the most infamous of all
crimes—that of treason—and broken the oath you took
to the imperial cause. The name of Miguel Lopez may
become famous, no doubt, but it will never be
mentioned in the annals of Mexico or of the world save
with deepest abhorrence and contempt.”

114
Chapter XVI
The Emperor’s Imprisonment
After Maximilian had surrendered his sword to the
republican commander on the Cerro de la Campaña he
was taken back to his old quarters at the convent, his
physician and two attendants, Grill and Severo, being
allowed to join him later.
“It was with a heavy heart,” writes Dr. Basch, “that I
approached the Emperor’s door, before which a guard
was posted. I opened it and paused a moment on the
threshold to compose myself, but His Majesty came up
at once and embraced me, weeping. Quickly controlling
himself, however, he pressed my hand and turned away,
sighing deeply. A mournful silence followed. Now for the
first time I perceived that Salm, Blasio, Pachta, and
Pradillo were also in the room. For a time the Emperor
paced up and down, lost in thought, but at last he
spoke, this time more calmly.
“‘I am glad,’ he said, ‘that it all happened without more
bloodshed. That much at least has been accomplished. I
feared for you all.’
“Although he had been so ill the night before,
excitement had sustained him during the events that
had since occurred. Now, however, the attack returned
and he was forced to go to bed suffering greatly.

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