Leadership Powerbase assignment

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This technical note was prepared by Professor James G. Clawson. Copyright  1989 by the University of Virginia Darden School Foundation, Charlottesville, VA. All rights reserved. To order copies, send an e-mail to [email protected]. No part of this publication may be reproduced, stored in a retrieval system, used in a spreadsheet, or transmitted in any form or by any means—electronic, mechanical, photocopying, recording, or otherwise—without the permission of the Darden School Foundation. Rev. 12/99.

LEADERSHIP THEORIES

Leadership has been widely studied over a long period of time, yet it remains an elusive phenomenon to understand and develop. This note offers an overview of some of the major leadership theories. The theories are grouped according to the research approaches that characterize them. The six categories are the trait, behavioral, power and influence, situational, charismatic, and transformational approaches. Simple direct statements of the main assumptions and conceptual points related to each theory comprise the bulk of the note. Trait Approach

The trait approach—one of the earliest used to study leadership—emphasizes the personal traits of leaders. The underlying assumption is that certain people possess innate characteristics that make them better leaders than others. The “Great Man” theory of leadership

Leaders are born, not made. Leadership ability arises from innate, internal traits. Some people have them, and some don’t. It is our job to figure out what these characteristics are so we can use them to identify potential leaders. No amount of training or coaching will make a leader out of someone who does not possess these traits. Stogdill’s leadership traits Bass, Bernard M. Bass & Stogdill’s Handbook of Leadership. New York: The Free Press, 1981. This book summarizes more than 3,000 books and articles on leadership, spanning the period from 1947 to 1980. Most attempts to pursue the “Great Man” avenue of research found difficulty in identifying specific traits. Stogdill, however, was able to summarize some common traits among effective leaders:

The leader is characterized by a strong drive for responsibility and task completion, vigor and persistence in pursuit of goals, venturesomeness and originality in problem solving, drive to exercise initiative in social situations, self-confidence and sense of personal identity, willingness to accept consequences of decision and

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action, readiness to absorb interpersonal stress, willingness to tolerate frustration and delay, ability to influence other persons’ behavior, and capacity to structure social interaction systems to the purpose at hand.

“Great Man” theory traits

We offer a simple 10-point scale in case you wish to assess yourself on some of the dimensions of the “Great Man” theory.

Traits Adaptable to situations 1 2 3 4 5 6 7 8 9 10 Alert to social environment 1 2 3 4 5 6 7 8 9 10 Ambitious and achievement-oriented 1 2 3 4 5 6 7 8 9 10 Assertive 1 2 3 4 5 6 7 8 9 10 Cooperative 1 2 3 4 5 6 7 8 9 10 Decisive 1 2 3 4 5 6 7 8 9 10 Dependable 1 2 3 4 5 6 7 8 9 10 Energetic (high activity level) 1 2 3 4 5 6 7 8 9 10 Dominant (desire to influence others) 1 2 3 4 5 6 7 8 9 10 Persistent 1 2 3 4 5 6 7 8 9 10 Self-confident 1 2 3 4 5 6 7 8 9 10 Tolerant of stress 1 2 3 4 5 6 7 8 9 10 Willing to assume responsibility 1 2 3 4 5 6 7 8 9 10 Skills Clever (intelligent) 1 2 3 4 5 6 7 8 9 10 Conceptually skilled 1 2 3 4 5 6 7 8 9 10 Creative 1 2 3 4 5 6 7 8 9 10 Diplomatic and tactful 1 2 3 4 5 6 7 8 9 10 Fluent in speaking 1 2 3 4 5 6 7 8 9 10 Knowledgeable about group task 1 2 3 4 5 6 7 8 9 10 Organized (administrative ability) 1 2 3 4 5 6 7 8 9 10 Persuasive 1 2 3 4 5 6 7 8 9 10 Socially skilled 1 2 3 4 5 6 7 8 9 10

Maccoby’s Leader Maccoby, Michael. Leader. New York: Ballantine, 1981. It is a person’s orientation to work that identifies his potential as a great leader. New leaders are labeled by such ideal character orientations as craft, enterprise, career, and self.

I need hardly say much to you about the importance of authority. Only very few civilized persons are capable of existing without reliance on others or are even

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capable of coming to an independent opinion. You cannot exaggerate the intensity of man’s inner irresolution and craving for authority.

—Sigmund Freud

The best of all leaders is the one who helps people, so that eventually they don’t need him. Then comes the one they love and admire. Then comes the one they fear. The worst is the one who lets people push him around. Where there is no trust, people will act in bad faith. The best leader doesn’t say much, but what he says carries weight. When he is finished with his work, the people say, “It happened naturally.”

—Lao Tzu

There are four main ideal types of character orientation to work (see Table 1), each with positive and negative potentials.

Table 1. Ideal types of character orientation to work.

Type Positive Potential Negative Potential Craft independent and hard-working inflexible and suspicious Enterprise entrepreneurial and daring instrumental and uncaring Career professional and meritocratic bureaucratic and fearful Self experimental and self-developing escapist and rebellious

As Maccoby states: Craft is the traditional orientation to independent, inner-directed, skilled work.… Enterprise is at best an entrepreneurial, risk-taking orientation.… Career is the orientation of the technical expert, at best with professional standards and a meritocratic belief that measurable performance should be rewarded by promotion …. Self is the orientation of the new man in an age where abundance is taken as a right and technology provides limitless possibilities. The self-oriented person sees himself in a world of constant change and few roots, where he must create his identity and relationships and use himself as an instrument at work. At best he is experimental, tolerant, willing to be involved in an equitable enterprise that promises enriching experience and continued personal growth. At worst, the self- oriented are indeed rebellious, disloyal, centerless, and escapists into an unproductive inner world of fantasy.1 Maccoby names four main types of leaders:

1. Administrators: traditional expert engineer, accountant, lawyer/craftsman

2. Strongmen: distrust to be overcome by bearing down: “jungle fighter”

1 Preface of Michael Maccoby, Leader (New York: Ballantine, 1981).

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3. Gamesmen: risk-taking, innovative, adaptable, inspiring in competition

4. Developers: new products, develop people, participative The new social character is evolving most rapidly in the affluent, technically educated,

large urban populations here and in the other industrial democracies as well. Like all social characters, it contains both negative and positive tendencies. It is a social character more oriented to self than to craft, enterprise, or career.

Characteristics of the new leader are: intelligence, ambition, willfulness, optimism, and persuasiveness. He or she is influenced by religious and political thought, an able competitor, critical of traditional authority, and willing to take risks. Most importantly, a new leader possesses the following qualities:

1. a caring, respectful, and responsible attitude

2. flexibility about people and organizational structure

3. a participative approach to management: willingness to share power

John Gardner Gardner, John. On Leadership. New York: Free Press, 1990. John Gardner is a widely-known and well-respected essayist and author on the topic of leadership. In this book, he explores the leadership challenges in large organizations, in political arenas, and in government—and the challenges of integrating them all. He posits a series of leadership attributes drawn from other researchers as essential to good leadership:

1. physical vitality and stamina

2. intelligence and judgment in action

3. willingness (eagerness) to accept responsibilities

4. task competence

5. understanding of followers/constituents and their needs

6. skill in dealing with people

7. need to achieve

8. capacity to motivate

9. courage, resolution, and steadiness

10. capacity to win and hold trust

11. capacity to manage, decide, and set priorities

12. confidence

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13. ascendance, dominance, and assertiveness

14. adaptability and flexibility of approach

Jim Collins Collins, Jim. “Level Five Leadership.” Harvard Business Review (December 2000). Coauthor of the best-selling book Built to Last, Collins describes his findings about the kind of leadership that has taken mediocre companies to greatness. In the results of a five-year study of 1,500 companies on the NYSE, Good to Great (New York: HarperCollins, 2001), Collins found that only 11 companies in 30 years made this jump from average to extraordinary and that all their leaders had two traits in common: a self-effacing humility and a dogged persistence, that he called, “Humility + Will.” He argues that Level One is the highly capable individual; Level Two is contributing team members; Level Three is the competent manager; Level Four is the effective leader; and Level Five is the executive who builds enduring greatness through a paradoxical combination of personal humility and professional will. Behavioral Approach

The behavioral approach first rose to prominence in the 1950s as researchers grew frustrated with the trait approach. They switched their emphasis to observations of what effective and ineffective leaders actually do on the job.

Mintzberg’s 10 managerial roles Mintzberg, Henry. The Nature of Managerial Work. New York: HarperCollins College

Division, 1973. Mintzberg’s interviews and observations of five chief executives included:

1. figurehead role

2. leader role: integrating the organization, motivating

3. liaison role

4. monitor role

5. disseminator role

6. spokesman role

7. entrepreneur role

8. disturbance handler role

9. resource allocator role

10. negotiator role

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Kotter’s leadership factor Kotter, John. The Leadership Factor. New York: The Free Press, 1988. (data from 900

senior executives in 100 American corporations); and Kotter, John. “What Leaders Really Do.” Harvard Business Review, (May–June 1990). See also The General Managers and Power and Influence by the same author. According to Kotter:

Leadership is defined as the process of moving a group (or groups) in some direction through mostly noncoercive means. Effective leadership is defined as leadership that produces movement in the long-term best interest of the group(s). Using Lee Iacocca as an example, Kotter outlines this pattern:

1. development of a bold, new vision

2. an intelligent (i.e., workable) strategy for implementing the vision

3. eliciting the cooperation and teamwork from a large network of essential people

4. relentless work to keep key people in the network motivated toward the vision Great vision emerges when a powerful mind, working long and hard on massive amounts of information, is able to see (or recognize in suggestions from others) interesting patterns and new possibilities. Effective senior management:

1. industry and organizational knowledge

2. relationships in the firm and the industry

3. reputation and track record

4. abilities and skills (keen mind, interpersonal skills)

5. personal values (integrity)

6. motivation (high energy level, strong drive to lead)

A surprisingly large number of the items (on the skill list) are developed on the job as a part of one’s posteducational career. Almost all the knowledge, relationship, and background requirements fit this generalization. Management is different from leadership. Management is about coping with complexity,

and leadership is about coping with change. Both are invaluable to the well-being of an organization. Management and leadership are both focused on providing three crucial functions, but they accomplish these tasks in different ways, as outlined in Table 2.

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Table 2. Functions of management and leadership.

Function Management Leadership Deciding what needs to be done

Planning and budgeting (short-term focus)

Setting a direction (long-term focus; communicating a vision)

Creating networks of people and relationships to accomplish the agenda

Organizing and staffing Aligning people (by communicating with them)

Ensuring that the job gets done

Control mechanisms (compare results to plan and make corrections)

Motivating people (appeal to human needs like self-esteem and recognition)

Companies with weak leadership show these characteristics:

1. Managers leave frustrated with neglect and/or abuse.

2. Middle management jobs are mostly fire-fighting.

3. Managers who want to be leaders are stymied by bureaucracy.

4. Without depth of management, people are promoted into positions they weren’t prepared for.

5. Managers cannot be moved across organizational boundaries.

6. Managers are rarely coached or mentored.

7. Managers have one chance only at promotion, regardless of whether that makes sense. In short, such companies manage by responding to short-term financial imperatives, and their efforts are often hampered by parochial internal politics.

Companies with strong leadership tend to provide in these areas:

1. sophisticated recruiting efforts

2. attractive work environment

3. challenging opportunities

4. early identification

5. planned development

Therefore, Kotter suggests that new leaders take a different approach:

1. abandon the notion of professional leadership

2. think of leadership with a small “l,” something we all must do better

3. think more carefully about managerial careers

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4. realize that human resource professionals are not professionals but rather advisors to the line management

5. think about how to manage global businesses and develop that talent

6. realize that the sources of competitive advantage have changed from the past Stewart’s three-part theory of management

Stewart, R. Managers and Their Jobs. London: MacMillan, 1967; Stewart, R. Contrasts

in Management. Maidenhead, England: McGraw-Hill, 1976; and Stewart, R. Choices for the Manager: A Guide to Understanding Managerial Work. Englewood Cliffs, New Jersey: Prentice-Hall, 1982.

Stewart outlines three forces which affect individual managerial roles to varying degrees,

helping to shape the nature of those jobs:

1. Demands: Duties and responsibilities imposed by others in positions of power that the manager must uphold (e.g., standards, deadlines, bureaucratic procedures).

2. Constraints: Elements in the organizational and external environment that limit the manager’s options (e.g., policies, regulations, and labor laws, as well as the limited funds, supplies, and personnel available for a task).

3. Choices: What a manager may do, at his or her own discretion (e.g., objectives for the business unit being managed, prioritizing of tasks, and strategy).

The relative influences of these three forces affect managerial behavior and can make one

management position very different from another. Kouzes and Posner’s leadership challenge

Kouzes, James and Barry Posner. The Leadership Challenge. San Francisco: Jossey-Bass, 1987. In a three-year study of about 1,500 managers, Kouzes and Posner inferred five practices and 10 behavioral commitments that characterized effective leaders. They developed a self- assessment and leadership assessment tool, the Leadership Practices Inventory (LPI), which has become widely used in many schools and businesses, to measure these five practices and 10 dimensions:

1. Challenging the process

a. search for opportunities

b. experiment and take risks

2. Inspiring a shared vision

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a. envision the future

b. enlist others

3. Enabling others to act

a. foster collaboration

b. strengthen others

4. Modeling the way

a. set the example

b. plan small wins

5. Encouraging the heart

a. recognize individual contributions

b. celebrate accomplishments

Results-focused leadership

Ulrich, Dave, Jack Zenger, and Norm Smallwood. Results-Based Leadership. Boston: Harvard Business School Press, 1999.

Ulrich and his co-authors assert that, whatever a person’s characteristics might be, in the end, that person must focus on results—the outcomes of an organization. They point out that at least four entities perceive results from an organization: employees, organizational capabilities, customers, and investors. A results-oriented leader will pay attention to all entities. Ulrich and his coauthors offer 14 suggestions to help that person become a more results-oriented leader:

1. Begin with an absolute focus on results.

2. Take complete and personal responsibility for your groups’ results.

3. Clearly and specifically communicate expectations and targets to the people in your group.

4. Determine what you need to do personally to improve your results.

5. Use results as the litmus test for continuing or implementing leadership practice.

6. Engage in developmental activities and opportunities that will help you produce better results.

7. Know and use every group member’s capabilities to the fullest and provide everyone with appropriate developmental opportunities.

8. Experiment and innovate in every realm under your influence, looking constantly for new ways to improve performance.

9. Measure the right standards and increase the rigor with which you measure them.

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10. Constantly take action; results won’t improve without it.

11. Increase the pace or tempo of your group.

12. Seek feedback from others in the organization about ways you and your group can improve your outcomes.

13. Ensure that your subordinates and colleagues perceive that your motivation for being a leader is the achievement of positive results, not personal or political gain.

14. Model the methods ands strive for the results you want your group to use and attain. Power and Influence Approach

This school of research studies the influence processes at work between leaders and other individuals. In general, the aim is to gain insight into leadership effectiveness by studying the power possessed by a leader, as well as the way that power is wielded.

“The Two Faces of Power” McClelland, David. “The Two Faces of Power.” Journal of International Affairs 24, no. 1

(1970): 29–47.

1. Dominating Power: Seeks to subjugate others by keeping them weak and dependent on the leader.

2. Empowering Power: Seeks to enable the weak. Power is exercised cautiously; the aim is to build commitment to the organization and its ideals rather than to oneself.

Winter’s theory of leadership

Unpublished doctoral dissertation, Harvard Business School, circa 1978.

Leadership is a function of the ability of the leader to empower the followers: to make

them feel that they are more capable, more powerful and more able than they were.

If you think about it, people love others not for who they are, but for how they make us feel. We willingly follow others for much the same reason. It makes us feel good to do so. Now, we also follow platoon sergeants, self-centered geniuses, demanding spouses, bosses of various persuasions, and others for a variety of reasons as well.

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But none of those reasons involves that person’s leadership qualities. In order to willingly accept the direction of another individual, it must feel good to do so. This business of making another person feel good in the unspectacular course of his daily comings and goings is, in my view, the very essence of leadership.

—Irwin Federman, quoted in Bennis and Nanus, Leaders The West Point Way of Leadership Donnithorne, Larry. The West Point Way of Leadership. New York: Currency/

Doubleday, 1993. Colonel Donnithorne describes the leadership principles that West Point cadets are taught each year at the Academy. These lessons, taken sequentially and carefully, comprise the West Point way of leadership. Donnithorne’s lessons are listed in Table 3.

Table 3. West Point’s leadership principles.

First Year Second Year Third Year Fourth Year Followership is job one

Positioning the leader inside the group/team

Acquiring self reliance to lead leaders

Executive leadership

Finding courage in fear

Just and unjust leadership

Pushing character to the extreme

Serving as the organization’s eyes and ears

Honor is the language we speak

Face-to-face leadership

Leading leaders

Being a team member

Social exchange theory Hollander, E. P. “Conformity, Status, and Idiosyncrasy Credit.” Psychological Review 65

(1958): 117–27; Hollander, E. P. “Leadership and Social Exchange Processes.” in. Gergen, K, M. S. Greenberg, and R. H. Willis (Ed.). Social Exchange: Advances in Theory and Research. New York: Winston-John Wiley; 1979; and Jacobs, T. O. Leadership and Exchange in Formal Organizations. Alexandria, Virginia: Human Resources Research Organization, 1970.

Social exchange exists between a leader and the other members of the group: the leader champions a course of action, and the group affords the leader a greater (or lesser) degree of status and influence based on the perceived success (or failure) of the plan. When an innovative plan succeeds, the leader wins not only greater power and influence but also idiosyncrasy credits—the allowance of greater latitude to deviate from normal

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procedures in the future. In other words, the group becomes more receptive to radical-sounding proposals, thanks to the trust that the former success has engendered. When the leader’s plan fails, social exchange theory predicts that the leader will experience a loss of status and influence. The loss will be greater if the failure appears to be due to poor judgment, rather than factors beyond the leader’s control (e.g., if the leader is thought to have pursued selfish motives, if the plan was especially divergent from group norms, or if the leader had a particularly high degree of status beforehand). Strategic contingencies theory

Hickson, D. J. et al. “A Strategic Contingencies Theory of Intra-Organizational Power.”

Administrative Science Quarterly 16 (1971): 216–29. The strategic contingencies theory looks at organizational subunits and their relative abilities to influence strategic decisions for the organization as a whole. In other words, it clarifies what makes some subunits more powerful than others. The theory names three factors:

1. Expertise in dealing with important problems. This expertise is especially valuable when the problem is critical (essential for the survival and well-being of the organization) and when the subunits are highly interdependent.

2. The subunit’s centrality in the workflow of the organization. This factor is particularly important if the subunits are not highly interdependent.

3. The extent to which the expertise of the subunit is unique and not easily substitutable. Situational Approach The situational approach pays special attention to contextual factors: the nature of the work performed by the leader’s unit, the individual characteristics of the followers, or the nature of the external environment. How, it asks, does the larger situation affect the leadership task? Hersey and Blanchard’s situational theory of leadership

Hersey, P., and K. H. Blanchard. Management of Organizational Behavior. Englewood

Cliffs, New Jersey: Prentice Hall, 1977.

This is an extension of the leadership theories presented by Blake and Mouton (in the managerial grid approach) and Reddin’s 3-D management style theory. Hersey and Blanchard, like Blake and Mouton, use a two-dimensional grid with task-orientation and people-orientation axes. They also argue that the maturity of the subordinate determines what mix of people versus task orientation is appropriate for that subordinate. Immature subordinates require a more directive, task-oriented leader, while mature subordinates who are willing to take responsibility

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will respond better to a more relationship- and people-oriented leader. The four Blanchard leadership styles are directive, managing, coaching, and delegating (from leading less mature to more mature subordinates). House’s path-goal theory of leadership

House, R. J. “A Path-Goal Theory of Leader Effectiveness.” Administrative Science Quarterly 16 (1971): 321–39.

The motivational function of the leader consists of increasing personal payoffs to subordinates for work-goal attainment, and making the path to these payoffs easier to travel by clarifying it, reducing roadblocks and pitfalls, and increasing the opportunities for personal satisfaction en route.

Path-goal theory is related to expectancy theory—the belief that people are motivated by their level of expectation that they can do the work, be rewarded, and value the reward offered. The leader must understand the subordinates’ expectancies and clarify and magnify them toward the desired result. The latest version of the path-goal approach includes four basic types of leader behavior: supportive, directive, participative, and achievement-oriented. Fiedler’s contingency model of leadership

Fiedler, F. E. A. Theory of Leadership Effectiveness. New York: McGraw-Hill, 1967.

Fiedler’s work revolves around the collection of data on a “least preferred coworker” (LPC) scale. Individuals are asked to name the person with whom they have worked least well in the past and then to rate the personality of that person; those who do so critically receive low LPC scores, while those who are more positive in their evaluations receive high scores. The interpretation of the scores has changed over the years. Fiedler’s belief is that one particular score is not necessarily a better indicator of leadership effectiveness; rather, that effectiveness is a function of the individual’s score and several other factors in the situation. Hence, some leaders will be more effective in certain situations, while others will do better in other situations. Fiedler argues that leader-member relationships, positional power, and the structure of the task all contribute to the degree of fit between an individual and a situation. Leadership substitutes theory

Kerr, S. and J. M. Jermier. “Substitutes for Leadership: Their Meaning and

Measurement.” Organizational Behavior and Human Performance 22 (1978): 375–403. This theory explores aspects of a work situation that can reduce the importance of leadership by “formal leaders” such as managers. There are two situational variables: Neutralizers are factors in the work situation that hamper the effectiveness of a leader’s actions. Substitutes are factors that

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make the very role of a formal leader unnecessary. Neutralizers and substitutes may be found in three different dimensions of the work situation. Here are a few examples of each:

1. Subordinate characteristics. Subordinates who arrive with extensive training (e.g., doctors) or who have high internal motivation may serve as substitutes for leadership: they may not require or even want supervision. Subordinates’ values may serve as neutralizers for leadership: if they value time spent with their families, they may not respond to “time-and-a-half” payment incentives for working overtime.

2. Task characteristics. Certain tasks, by their nature, do not call for much leadership. Simple, repetitive tasks that can easily be mastered make leadership unnecessary. Extremely rewarding tasks need less of certain types of leadership, by ensuring job satisfaction and enthusiasm without the presence of a formal leader.

3. Group and organization characteristics. Highly formalized organizations with extensive regulations and policies can serve as substitutes for leadership: once subordinates learn the rules, there is little need for the direction of a leader. Such formalized settings can also become neutralizers for leadership, if the inflexibility of the rules impedes the leader’s efforts to make strategic changes.

The multiple-linkage model

Yukl, G. “Toward a Behavioral Theory of Leadership.” Organizational Behavior and

Human Performance 6 (1971): 414–40. This model builds on several earlier theories, particularly the leadership substitutes theory. A leader attempts to influence the performance of a group, but with a class of intervening variables ultimately determining the performance outcomes. There are six intervening variables:

1. subordinate effort

2. subordinate ability and role clarity

3. organization of the work

4. cooperation and teamwork

5. resources and support

6. external coordination Like the leadership substitutes theory, this model includes two additional situational variables: neutralizers and substitutes. Here, they exert influence at three points: they impact the behavior and effectiveness of the leader; they impinge directly on the intervening variables; and they determine the relative importance of the intervening variables. As an example of the last, a situation which requires subordinates to work in close quarters for long periods of time will make the cooperation and teamwork variable especially crucial.

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Leaders can take actions to influence the variables and thereby bring about better outcomes. In the short term, they can correct deficiencies in the intervening variables. For example, they can affect the second intervening variable by setting specific goals and giving feedback on performance. In the long term, they can modify the situational variables. For example, they can institute new recruitment systems to attract highly-skilled people to the organization. Cognitive resources theory

Fiedler, F. E. “The Contribution of Cognitive Resources to Leadership Performance.” Journal of Applied Social Psychology 16 (1986): 532–48; and Fiedler, F. E. and J. E. Garcia. New Approaches to Leadership: Cognitive Resources and Organizational Performance. New York: John Wiley, 1987. In this theory, three propositions explore the conditions when two cognitive resources of a leader—intelligence and experience—have a bearing on group performance.

1. Leader ability contributes to group performance only when (a) the leader has a directive style, and (b) subordinates require guidance in order to perform. When a task is complex, an intelligent leader will be able to devise a better strategy for performance than an unintelligent leader and should use a directive style to convey it. When the task is more routine, subordinates will not need much leadership, and leader intelligence will not have any bearing.

2. Stress affects the relationship between intelligence and group performance. In a low- stress situation, a high-intelligence leader will generate better strategies and decisions than a less intelligent leader. But when stress is high, there is a negative relationship between leader intelligence and the quality of decisions.

3. Stress affects the relationship between leader experience and group performance. In high- stress situations, leaders look to their own past decisions for guidance. Experience is positively related to decision quality in these situations but is unrelated to decision quality when stress is low.

Charismatic Approach Charisma was rarely studied in a managerial context before the 1980s, but since then it has attracted a good deal of attention. In Greek it means “divinely inspired gift,” but theorists use a less colorful definition: the result of follower perceptions which are influenced by actual leader traits and behavior, situational context, and the needs of the followers.

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House’s theory of charismatic leadership House, R. J. “A 1976 Theory of Charismatic Leadership.” in J. G. Hunt and L. L. Larson

(ed.), Leadership: The Cutting Edge. Carbondale: Southern Illinois University Press, 1977. Charismatic leadership is measured by the relationship that followers have with their

leader. It is their strong, positive emotions toward their leader that create a successful situation. Charismatic leadership builds on these measurements:

1. followers’ trust in the correctness of the leader’s beliefs

2. similarity of followers’ beliefs to the leader’s beliefs

3. unquestioning acceptance of the leader by followers

4. followers’ affection for the leader

5. followers’ willing obedience to the leader

6. emotional involvement of followers in the mission of the organization

7. heightened performance goals of followers

8. belief of followers that they are able to contribute to the success of the group’s mission

Charismatic leaders will respond to the emotional outpouring from their followers and act in the following manner:

1. maintain high self confidence and a strong conviction in their own beliefs.

2. create the impression they are competent

3. articulate ideological goals for subordinates

4. appeal to the hopes and ideals of the followers

5. use role modeling where they can (“Be like me.”)

6. communicate high expectations

7. arouse motives related to the group’s mission

Attribution theory of charisma

Conger, J. A. and R. Kanungo, “Toward a Behavioral Theory of Charismatic Leadership in Organizational Settings.” Academy of Management Review 12 (1987): 637–47; and Conger, J. A. The Charismatic Leader: Behind the Mystique of Exceptional Leadership. San Francisco: Jossey-Bass, 1989.

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This theory describes five leader traits and behaviors which help make the leader seem charismatic in the eyes of followers:

1. championing a vision that is radically different from the status quo—although not so different that followers will find it unacceptable

2. employing unconventional methods and strategies to realize the vision

3. taking personal risk and making sacrifices (Followers trust a leader who may incur personal loss if the undertaking fails.)

4. projecting confidence

5. using persuasive appeals toward followers, rather than an authoritative or consensus approach

This theory outlines two processes by which charismatic leaders actually influence

followers:

1. Personal identification. Followers admire the leader and, as a result, want to become more like him or her.

2. Internalization of values and beliefs. This process runs deeper than personal identification, which is often limited to the imitation of superficial leader traits. Followers who internalize the values and beliefs of the leader become motivated on their own to perform.

Finally, the theory names dissatisfaction as an important situational contributor to

charismatic leadership. A charismatic leader is more likely to emerge when there is a crisis calling for drastic measures. Self-concept theory of charismatic leadership

Shamir, B., R. J. House, and M. B. Arthur. “The Motivational Effects of Charismatic Leadership: A Self-Concept-Based Theory.” Organization Science 4 (1993): 1–17. This theory attempts to explain how charismatic leaders are able to compel followers to put aside their own self-interest for the sake of the organization’s betterment. It identifies four processes:

1. Personal identification. As in the attribution theory above, the self-concept theory further says that those with low self-esteem are most likely to identify in this way with a leader.

2. Social identification. More important than personal identification, this involves defining oneself in terms of one’s membership in the group. High social identification leads followers to put the group’s needs ahead of their own. Charismatic leaders inspire social

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identification through appeals to group values and through the use of flags, uniforms, and other symbolic devices.

3. Internalization. In this theory, follower adaptation (internalization) of the leader’s values is uncommon. More often, the leader plays up existing follower values by linking them to task objectives.

4. Self-efficacy. This is the belief in one’s own competence and ability. By holding high expectations and projecting confidence that followers can live up to them, a charismatic leader inspires this trait in individuals and also in the group as a whole (collective self- efficacy).

1. Charismatic leaders are more likely to motivate when facilitating conditions are

present. Not only is this in times of crisis, but also when the mission and vision of the leaders are in line with the organization.

1. The leader’s vision harmonizes with existing follower values.

2. The organizational mission can be linked to follower values (e.g., defense contractor employees believing they are helping to defend the country).

3. Work is unstructured and hazy.

4. Organization is facing difficulties. Transformational Approach

Transformational leadership is seen as a process in which leaders and followers both inspire one another to elevated moral conduct. It can be used to influence both superiors and subordinates. Those under its influence feel they are “bettering themselves.”

Warren Bennis’s theory of leadership

Bennis, Warren, and Burt Nanus, Leaders: The Strategies for Taking Charge. New York: Harper and Row, 1985. This volume contains 90 interviews with 60 successful CEOs (30 with outstanding public-sector leaders). Leadership occurs in a context defined by three elements: (1) commitment of the culture to excellence and improvement, (2) complexity of the culture/society (swirling maelstroms of technology, social, and business change), and (3) credibility: the willingness of a people to place trust and respect in public figures. With regard to the second element, the authors maintain that we are at a pivotal point in the world’s industrial history: a transition from the industrial society to the information society. Some basic tenets are provided:

1. Power is the basic energy needed to initiate and sustain action or, to put it another way, the capacity to translate intention into reality and sustain it.

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2. Present problems will not be solved without successful organizations, and organizations cannot be successful without effective leadership.

3. Managers are people who do things right and leaders are people who do the right thing. Four leadership strategies were found to be used by all 90 interviewees:

1. Attention through vision. “Vision animates, inspirits, transforms purpose into action.”

2. Meaning through communication. Regardless of how articulate they are in a conventional sense, leaders find a way to convey their visions and meanings in unmistakable terms to their constituents. “The main clue is that leadership creates a new audience for its ideas because it alters the shape of understanding by transmitting information in such a way that it fixes and secures tradition.”

3. Trust through positioning. “Trust is the lubrication that makes it possible for organizations to work.” Trust is a function of constancy.

“Every organization incorporates four concepts of organization…the manifest organization (on the charts)…the assumed organization (what we think we have)…the extant organization (what we really have)…the requisite organization (what we should have).”

4. The deployment of self through positive self-regard. “To have self-respect is everything. Without it, we are nothing but unwilling slaves, at everybody’s mercy, especially those we fear or hold in contempt. Recognizing strengths and compensating for weaknesses represent the first step in achieving positive self-regard. The second element in positive self-regard is the nurturing of skills with discipline—that is, to keep working on and developing one’s talents…. The third aspect of positive self-regard [is] the capacity to discern the fit between one’s perceived skills and what the job requires.” Included in Bennis’s theory are the five characteristics of emotional wisdom:

1. ability to accept people as they are

2. capacity to approach relationships and problems in the present rather than in the past

3. ability to treat those who are close with the same respect and courtesy reserved for those who are strangers

4. ability to trust others even if the risk is great

5. ability to do without constant approval and recognition from others

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James Macgregor Burns’s theory of leadership

Burns, James MacGregor, Leadership. New York: Harper, 1973.

Leaders do not set out to win popularity contests. They incite their followers to strive toward common goals and values, while maintaining higher moral standards than those of their constituents.

No matter how strong this longing for unanimity, however, almost all leaders, at least at the national level, must settle for far less than universal affection. They must be willing to make enemies—to deny themselves the affection of their adversaries. They must accept conflict. They must be willing and able to be unloved. It is hard to pick one’s friends, harder to pick one’s enemies. Transforming leadership ultimately becomes moral in that it raises the level of human conduct and ethical aspiration of both leader and led, and thus it has a transforming effect on both. I define leadership as leaders inducing followers to act for certain goals that represent the values and the motivations—the wants and needs, the aspirations and expectations—of both leaders and followers. And the genius of leadership lies in the manner in which leaders see and act on their own and their followers’ values and motivations. Leadership over human beings is exercised when persons with certain motives and purposes mobilize, in competition or conflict with others, institutional, political, psychological, and other resources so as to arouse, engage, and satisfy the motives of followers. We must see power—and leadership—as not things but as relationships. We must analyze power in a context of human motives and physical constraints. Moral leadership is the kind of leadership that operates a need and value levels higher than those of the potential follower (but not so much higher as to lose contact). Second, it is the kind of leadership that can exploit conflict and tension within persons’ value structures. But the ultimate test of moral leadership is its capacity to transcend the claims of the multiplicity of everyday wants and needs and expectations, to respond to the higher levels of moral development, and to relate leadership behavior—its roles, choices, style, commitments—to a set of reasoned, relatively explicit, conscious values.

Transforming leadership must be distinguished from transactional leadership. Both appeal to values, but the latter only to values related to exchange (fairness, reciprocity). Table 4 identifies types of transforming leadership and the corresponding transactional types.

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Table 4. Transforming leadership types.

Transforming Leadership Transactional Leadership

Intellectual leadership Legislative leadership

Heroic leadership Group leadership

Executive leadership Bureaucratic leadership

Ideological leadership Reforming leadership

Revolutionary leadership

Bass’s theory of transformational leadership

Bass, B. M. Leadership and Performance beyond Expectations. New York: Free Press,

1985. This theory, which builds on that of Burns’s, distinguishes transactional leadership from transformational leadership. Transactional leadership is based on an exchange: the leader offers rewards for performance of a desired behavior.

Transactional behaviors:

1. Contingent reward is the use of incentives and rewards to induce task performance.

2. Passive management by exception is the use of punishments and other measures to correct deviations from expected performance.

3. Active management by exception involves monitoring subordinates to ensure that deviations from expected performance do not occur.

4. Laissez-faire leadership involves not managing much at all; ignoring problems.

Transformational leadership (which differs from Burns’s transforming leadership in that it does not necessarily have to appeal to positive moral values) lies in the leader’s ability to inspire trust, loyalty, and admiration in followers, who then subordinate their individual interests to the interests of the group.

Transformational behaviors:

1. Idealized influence (charisma)

2. Individualized consideration includes support, guidance, and encouragement.

3. Intellectual stimulation involves increasing follower awareness and an understanding of problems.

4. Inspirational motivation focuses on conveying a compelling vision; using symbols and slogans to unite followers and intensify their efforts.

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The following differences exist between charismatic leadership and Bass’s theory of transformational leadership:

1. Bass sees charismatic leadership as the ability to inspire superficial identification only. Charisma is an ingredient of transformational leadership (see “transformational behaviors,” above); transformational leadership encloses it and goes beyond it. Transformational leadership arouses stronger emotions and appeals to values.

2. Charismatic leaders often try to keep followers dependent and weak. Transformational leaders offer empowerment.

3. Charismatic leaders are rare. Transformational leaders can be found at any level of an organization.

4. Charismatic leaders inspire extreme love and extreme hate. Transformational leaders inspire a less polarized response.

Tichy and Devanna’s transformational leadership process Tichy, N. M., and M.A. Devanna. The Transformational Leader. New York: John Wiley

& Sons, 1986.

Transforming and revitalizing an existing organization involves the following sequence:

1. Recognizing the need for change. Transformational leaders must identify significant changes in the environment and then be able to convince others that major organizational changes, rather than small adjustments, are needed. There are four ways to increase the sensitivity of the organization to environmental change:

a. Encourage dissenting opinions.

b. Listen to outsiders who can objectively critique the organization.

c. Visit with and learn from other organizations.

d. Measure performance against the competition and not simply against the previous fiscal year.

2. Managing the transition. Determine what changes are necessary, and help followers deal with the emotional upheaval that accompanies them.

3. Creating a new vision. Communicate (through a mission statement as well as other means) a vision for the future which can inspire and unite followers. Express it not just as numbers but as ideology. Make it conducive to greater follower self-esteem.

4. Institutionalizing the changes. Ensure that the new vision has the support of top management and other key players in the organization. Develop a coalition of people who are committed to the vision, replacing people where necessary. Revise the structure of the organization itself if the current structure is an impediment to realization of the vision.

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The following are Tichy and Devanna’s attributes of transformational leaders:

1. They see themselves as agents of change.

2. They are not afraid to take risks but are not reckless.

3. They believe in people and are attentive to their needs.

4. They are able to identify and articulate their own set of core values.

5. They are flexible and open to new ideas.

6. They are careful, disciplined thinkers.

7. They trust their own intuitions.

Schein’s model of organizational culture and leadership

Schein, Edgar. Organizational Culture and Leadership. San Francisco: Jossey-Bass, 1985. It is up to the leaders to create and manage culture through their own resolutions to problems that have arisen throughout the years. According to Schein:

Culture is invisible. Only its manifestations are visible. Culture stems from the enduring solutions to problems that have arisen historically. It also contains and reduces anxiety. Leaders create cultures, but cultures, in turn, create their next generation of leaders. The unique and essential function of leadership is the manipulation of culture. In early stages of culture formation, leaders need vision, the ability to articulate it, and the ability to enforce it. They need persistence and patience. They need the ability to absorb anxiety when things do not go as well as originally planned or hoped. They must also be able to provide temporary stability and emotional reassurance. In mature organizations, leadership is defined by culture. The leaders of such organizations must understand their cultures insightfully. They must be able to skillfully motivate their followers. They must also have emotional strength to get the organization through periods of change. In order to do so, they must be able to change the culture’s assumptions. This requires the paradoxical abilities to listen and to create involvement. They must be able to see the deepest parts of the assumptive framework of the organization. The leader is a culture manager. He/she must understand culture formation and maturation. Cultures form around assumptions relating to humanity’s relationship

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to nature, the nature of reality and truth, human nature, the nature of human activity, and the nature of human relationships.

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