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Awareness of Servant Leadership.pdf
The Need for Awareness of Servant Leadership in Business Schools Volume 8 Issue 2 Spring 2010
Posted On Mon, Aug 23 2010 16:09:51
Authors: Annette Barnabas , Joseph Anbarasu D. , Clifford Paul s
Introduction
Every year, thousands of students graduate from business schools all over the world. These graduates become the leaders in multinational companies, business establishments and corporations. In recent years there have been many scandals and frauds in multinational businesses like Enron, WorldCom, Hollinger International, Marsh & McLennan and Satyam Computers Services Ltd. Experience has shown that these establishments crashed because the top leaders failed miserably in areas like honesty, humility, reliability and trustworthiness even though they were educated in reputed educational institutions.
The corporate scandal in the Satyam Computers Services Ltd, India shows how the lack of integrity and credibility can mess up everything and endanger the future of thousands of stakeholders of the company. Ramalinga Raju, the CEO of Satyam built up his company very fast and used fraudulent means to show that Satyam was a successful company. He accepted his failure when he found that he could not continue to commit frauds one after the other and also deceive others. Did Raju acquire all the needed management skills for the top position in his business school?
Ramalinga Raju obtained his Master of Business Administration degree from Ohio University in 1975. He was also an alumnus of Harvard Business School (Shafeeq, 2009). When he was the chairman of Satyam Computers, he inflated the financial statements when there was actually a loss, to continue to make Satyam Computers popular. However he resigned from the top position because he could not continue his fraudulent means any longer. He accepted his mistakes and confessed that he had mishandled money to the tune of $ 1.2 billion. The Central Bureau of Investigation (CBI) charged Raju and nine of his accomplices for skimming about $2.5 billion from the company (Lakshman, 2009).
The collapse in the so called successful career of Raju was mainly because of lack of credibility and integrity, and the failure of Raju to build the right type of leadership. He built a leadership based on his ability to manipulate people and accounts. He convinced others to cooperate with him in his unethical practices. Even though Raju had a sound education from one of the popular Business schools, something went wrong. He failed to maintain his integrity and fell into the trap of love for money and popularity, and fell down from his covetable position. His lifestyle and his way of covering up scandals point out that the business schools must rethink the way in which the leaders are trained for leadership positions all over the world. Jeffrey Skilling, who was the CEO of Enron and was charged for fraud was also a Harvard Graduate (Armstrong and Francis, 2008). Is there a need to reorganize the curriculum of these management schools by introducing areas of training which could prevent such frauds and scams?
Golden (1996) in her study on ethical teaching in secondary level concludes that teaching students about business ethics does improve their ethical decision-making skills. Crane (2004) based on a survey of business school students concludes that teaching ethics must be mandatory in Business Schools. Podolny (2009) the former Dean of Yale University and the former Professor at Harvard and Stanford Business schools expressed the need for radical change in teaching in business schools. He wrote that business schools need to teach ethical principles in management training and insisted that it was one of the essential components of leadership. Albrecht et al also, (2008) writes that educators start teaching quality ethics and fraud courses, but these courses are still mostly elective and only some students opt for it. There is an immense need to introduce compulsory ethics teaching and integrate ethical practices in all programs of the business schools where future leaders are trained. What is leadership and what are the styles of leadership which are taught in business schools?
Leadership
Leadership is the ability to influence a group to achieve a vision or a set of goals (Robbins and Judge, 2007). Leaders, who lead the group to success, are to be models to the followers. There are mainly three styles of leadership. They are autocratic leadership, participative leadership and free rein leadership (Newstorm and Davis, 1998). Autocratic leaders centralize power and decision making in the leaders. Autocratic leaders take full authority and responsibility for decision making. They are primarily concerned with popularity, power and property. Newstorm and Davis (1998) write that the main disadvantage of autocratic type is that it does not create strong organizational commitment among employees that leads to low turnover and absenteeism rates. Participative leaders delegate authority. These leaders take decision
based on consultation with the followers. This type of participative leadership is used widely in many organizations. Free rein leaders allow the group members to make decisions and they avoid power and responsibility. Generally leaders are called to exercise the right type of leadership style and practice depending on the situation. The management and the society at large pay a high cost when the right type of leadership style is not practiced. What is the important missing component or module in the training process which will motivate the leaders to practice the right style of leadership? Can the servant leadership concept practiced by many successful leaders all over the world be included in the curriculum of business schools for raising excellent and valuable leaders for the business establishments?
Servant Leadership
Servant leadership is a type of leadership which comes under the democratic style. Leader and servant are opposite terms. But the practice of servant leadership takes place when the characters of these two paradoxical terms are incorporated in leadership style. In servant leadership, a leader is called to serve the group members or followers when he leads the team. Servant leadership style has been practiced all over the world in many successful companies. But this type of leadership style is not included in the curriculum of most of the business schools. Is there a need to include servant leadership style as a component of training in the business schools?
Origin of Servant Leadership
The concept of servant leader was reported by many thinkers even two thousands years ago.
Lao-tsu, a Chinese philosopher, who lived in sixth century B.C., advocated selflessness and non-directive leadership. He wrote The Tao Te Ching, a strategic treatise on servant leadership:
The greatest leader forgets himself and attends to the development of others. Good leaders support excellent workers. Great leaders support the bottom ten percent. Great leaders know that the diamond in the rough is always found “in the rough.” (Ching, 2008).
Chanakkya wrote in Arthashastra in 4th century B.C., that the (leader) shall consider as good, not what pleases himself but what pleases his subjects (Muniapan, 2008).
Jesus Christ of Nazareth in the first Century A.D., taught His disciples, “But he who is greatest among you shall be your servant” (Matt. 23:11; New King James Version of the Holy Bible, 1982). He also taught that, “And whoever of you desires to be first shall be slave of all” (Mark 10:44; NKJV). Many leaders all over the world appreciate the leadership concept proposed by Jesus because Jesus modeled His teaching on servant leadership by washing the feet of His disciples. While Jesus was with His disciples in the Upper Room, Jesus laid aside His garments, took a towel and washed the feet of all His disciples. After washing their feet, He said, “If I then, your Lord and Teacher, have washed your feet, you also ought to wash one another’s feet, for I have given you an example, that you should also do as I have done to you (John 13:14,15; NKJV).
The concept of Servant leadership
Robert K. Greenleaf coined this modern term servant-leadership in 1970 in the essay entitled, The Servant as Leader (Spears, 1996). Greenleaf coined the term after reading Herman Hesse’s short novel, Journey to the East.
Hesse’s novel was the story of a journey of a group of people to a far away monastery where they hoped to find spiritual truth and actualization. Leo was the main character in the story. He accompanied the group as their cheerful servant. He helped them in many ways in their journey. When Leo disappeared from them, the group quickly fell apart, and the journey ended without success.
After many years of searching, the narrator of the story met Leo again in a religious order that had sponsored the original journey. There he met Leo, and was surprised when he knew that Leo was the head of the order, its guiding spirit, and a great and noble leader. After reading this story, Greenleaf concluded that the central meaning of this novel was that the great leader had to first of all get the experience as a servant to others, and that this simple fact is central to his or her greatness (Spears, 1996). True leadership emerges from those whose primary motivation is a deep desire to help others.
Definition of Servant Leadership
Greenleaf (1970) describes the need for a new kind of leadership model - a model which puts serving others as number one priority. Servant-leadership emphasizes increased service to others, a holistic approach to work, promoting a sense of community, and the sharing of power in decision making.
Greenleaf (1970) defines servant leadership in The Servant as Leader,
“It begins with the natural feeling that one wants to serve, to serve first. Then conscious choice brings one to aspire to lead. …The difference manifests itself in the care taken by the servant-first to make sure that other people’s highest priority needs are being served. The best test, and difficult to administer, is: Do those served grow as persons? Do they, while being served, become healthier, wiser, freer, more autonomous, more likely themselves to become servants? And, what is the effect on the least privileged in society; will they benefit, or, at least, not be further deprived?”
The servant-leader leads others after experiencing and understanding the position of the followers whom he is called to lead. He could very easily empathize with the followers and lead them considering their strengths and weaknesses because he has already experienced their practical problems. He will be aware of the problems of the followers and will listen and understand their suggestions. His leadership style will not incorporate autocratic and authoritarian style of leadership. He cares for the people and wants them all to be successful (Friedman, 2009). At its core, servant-leadership is a long-term transformational approach to life and work- in essence, a way of being - that has the potential for creating positive change throughout our society (Spears 2004).
Attributes of a Servant Leader
After some years of carefully considering Greenleaf’s original writings, Spears (2004) has extracted the following set of characteristics as central to the development of servant-leaders:
i. Listening: Listening intently and receptively to what others say.
ii. Empathy: Striving to understand and empathize with others. People need to be accepted and recognized for their special and unique spirits.
iii. Healing: Possessing the ability of healing the emotional hurts of one self and others.
iv. Awareness: Possessing awareness and self-awareness. Awareness aids one in understanding issues involving ethics and values.
v. Persuasion: Having the power of persuasion; influencing others by convincing
them, not coercing them.
vi. Conceptualization: Servant-leaders seek to nurture their abilities to “dream great dreams.” The ability to look at a problem (or an organization) from a conceptualizing perspective means that one must think beyond day-to-day realities. Possessing the knack of being able to conceptualize and to communicate ideas.
vii. Foresight: Having foresight; which includes the ability to learn from the past and to have a vision of the future.
viii. Stewardship: Seeing themselves as stewards (as individuals whose main job is to serve others).
ix. Commitment to growth of people: Being firmly dedicated to the growth of every single employee.
x. Building Community: A commitment to building community in the institutions
where people work.
Russell and Stone (2002) have identified a practical list of twenty attributes of servant leaders on the basis of review of literature. They classified nine of these twenty attributes as functional attributes. The nine functional attributes of servant leadership are vision, honesty, integrity, trust, service, modeling, pioneering, appreciation of others and empowerment. These are the operative qualities, characteristics, and distinctive features belonging to leaders and are observed through specific behaviors of leaders in the workplace.
Russell and Stone (2002) also identified eleven accompanying attributes of servant leadership that supplement and augment the functional attributes. These eleven accompanying attributes are communication, credibility, competence, stewardship, visibility, influence, persuasion, listening, encouragement, teaching and delegation. If the students of business schools acquire these twenty attributes of servant leadership in their academic studies, it is no wonder that they will excel in their leadership position and surpass other leaders.
Models of Servant Leadership
N.R. Narayana Murthy, the founder of Infosys in India, is a practicing servant leader. He is currently the non-executive Chairman and Chief Mentor of Infosys (Management Profiles, 2010). He was the CEO of Infosys for 21 years, from 1981 to 2002. Under his leadership, Infosys was listed on NASDAQ in 1999. He has also led key corporate governance initiatives in India.His approach to the staff is always nurturing and supportive, not coercive. He practiced and advocated a very strong value system (Karmali, 2000). After stepping down as CEO in 2002, he has broadened his scope of activities to social services as well as promoting India globally.
At the World Economic Forum on January 31, 2005, Murthy stood out among other panelists at a session by defining a business leader as one whose biggest responsibility was to seek the truth, communicate that truth to other stakeholders and live by that truth (Bhattacharya, 2005). He further explained the importance of values by stating that the “softest pillow in the world was a clear conscience” (Bhattacharya, 2005). Murthy is a man with a vision. He exhibits qualities like trust, modeling, simplicity, credibility, integrity, honesty and competence. All multinational companies need leaders like Murthy who was a born servant leader from a humble background.
There are many other examples of historical servant leaders who possessed many of the characteristics of servant leadership. Mahatma Gandhi, Mother Teresa, Abraham Lincoln, Martin Luther King, Jr., and Jesus of Nazareth are well known examples of servant leaders. Their names are remembered because they affected the nations and the lives of thousands of people because they practiced servant leadership in their leadership positions. What will happen if our management schools produce leaders who will live what they teach others to do? Will they be able to impact others in their leadership positions?
Models of Servant Leadership in Companies
An increasing number of companies have adopted servant-leadership as part of their corporate philosophy or as a foundation for their mission statement.
Spears (2004) gives a list of a number of companies that either include the principle of servant leadership in their mission statement or corporate philosophy. His list
contains firms such as the Toro Company (Minneapolis, Minnesota), Synovus Financial Corporation (Columbus, Georgia), ServiceMaster Company (Downers Grove, Illinois), the Men's Wearhouse (Fremont, California), Southwest Airlines (Dallas, Texas), and TD Industries (Dallas, Texas).
Here are some examples of successful companies which practiced servant leadership and became very successful and flourished.
i) Wal Mart
Wal-Mart is a company which practices the concept of “servant-leadership.” (walmartstores, n.d.) The concept of servant leadership in Wall Mart insists that all managers must put the needs of their employees and colleagues first. Sam Walton, the leader of this company knew that the key to success comes by serving the people that served the organization. So Walton insisted that managers must respond to any request for help, even if it means delaying their own work. This concept stems from Sam Walton’s oft-stated belief that “if you take care of your people, your people will take care of the customer and the business will take care of itself.” (Berqdahl, 2004)
Regarding the Wal Mart’s legacy of trust, one of the qualities of servant leadership, Saxena H. R. (2009) writes that Warren Buffet in one of his recent annual reports following the acquisition of Mc-Lane Distribution from Wal-Mart, said, “Berkshire Hathaway did not do any diligence during the acquisition process. They knew that everything would exactly be in conformity with Wal-Mart’s philosophy.” The acquisition was completed in less than a month which otherwise would have taken anything from six to eight months with huge validation and substantiation costs. This process of changeover took place based on trust, which is one of the leading qualities of servant leadership.
ii) Southwest Airlines Co.
Herb Kelleher is the Founder of Southwest Airlines Co. and served as Executive Chairman from March 1978 to May 2008. He was the President and CEO from September 1981 through June 2001. Kelleher has been identified as the best CEO in America by Fortune magazine. Kelleher, a servant leader, emphasized that people take themselves lightly, but their jobs seriously. As an example of service to those he led, Kelleher spent holidays loading baggage with ground crews. Kelleher (1997) believed that the best leader must be the best server. He did not lead by controlling, but by being as servant leader.
Southwest commenced service with three airplanes in 1971. Today the company operates a fleet of more than 545 airplanes performing over 3,100 flights per day. Kelleher’s Company has been profitable for 37 consecutive years and has never furloughed an Employee. In an industry notorious for low morale, Southwest Airlines presents a classic case of bestowing trust and reaping benefits (Kashyap, 2009).
iii) TD Industries
TD Industries, one of the earliest practitioners of servant-leadership in the corporate setting, is a heating and plumbing contracting firm that has consistently ranked in the top ten of Fortune magazine's 100 Best Companies to Work in America (Spears 2004). The founder, Jack Lowe Sr., came upon the novel The Servant as Leader in the early 1970s and distributed copies of the novel to his employees (Cooper, Trammell and Cooper, 2006). The workers were asked to read through the book and then to gather in small groups to discuss its meaning and this exercise incorporated the belief that managers should serve their employees, which became an important value for TD Industries. Spears (2004), writes that even today, any TDPartner who supervises even one person must go through training in servant-leadership. In addition he writes that all new employees continue to receive a copy of The Servant as Leader, and TDIndustries has developed elaborate training modules designed to encourage the understanding and practice of servant-leadership.
iv) Herman Miller Furniture
Max De Pree is the former CEO of Herman Miller Furniture, a Fortune 500 company in Zeeland, Michigan. De Pree is also the author of two books on leadership, Leadership Is an Art and Leadership Jazz. In the second book Leadership Jazz, he writes, “I enjoy jazz and one way to think about leadership is to consider a jazz band. Jazz band leaders must choose the music, find the right musicians and perform—in public. But the effect of the performance depends on so many things—the environment, the volunteers playing in the band, the need for everybody to perform as individuals and as a group, the absolute dependence of the leader on the members of the band to play well. What a summary of an organization. A jazz band is an expression of servant leadership. The leader of a jazz band has the beautiful opportunity to draw the best out of the other musicians. We have much to learn from jazz-band leaders, for jazz, like leadership, combines the unpredictability of the future with the gifts of individuals” (De Pree, 1992, p.8, 9).
Max De Pree was a practicing servant leader. The De Pree Center was founded in 1996 by Samuel T. Reeves in honor of his good friend and fellow board member Max De Pree. He did so in recognition of the profound influence Max has had upon him and those with whom Max worked and to continue his legacy.
Servant-leadership is also increasingly in use in both formal and informal education and training programs abroad (Spears, 2004). Leadership and management programs in colleges and universities should include servant-leadership within the syllabi in any one of the courses. It has to be made compulsory in the curriculum so that every manager is exposed to the basic teaching and practice of servant leadership. Servant-leadership truly offers hope and guidance for a new era in human development, and for the creation of better, more caring institutions (Spears, 2004).
Conclusion
There is lot of criticism now that the business schools have failed to teach executives the correct models of management. But in the survey in Harvard Business Review of ranking the performance of 1999 CEOs from 1205 companies based on certain measures, it was found that having an MBA degree helps a CEO to perform well (Hansen, Ibarra and Peyer, 2010). Based on regression analysis of CEOs from companies based in Germany, Britain, France, and the United States, where reliable information on
degrees is available (1,109 CEOs in total), the researchers have found that 32% of CEOs who had an MBA ranked, on average, 40 places better than the CEO’s without an MBA. Even in the beleaguered financial sector, the MBAs tended to rank better than non-MBAs. Thus education does have a positive effect on leaders.
Podolny (2009) states that in the Harvard Business School, in the course on leadership, the teaching of leadership is still about the big picture – not about the details, where such key challenges as the ability to stick to values and make ethical decisions come into play.
There is a great need for a shift from quantitative methods to qualitative techniques in teaching in business schools. Podolny (2009) further argues that academics capable of teaching soft skills such as leadership, values, and ethics are in a distinct minority at most business schools. They conduct research in qualitative methods and publish papers in different kinds of journals. They need to be encouraged and they can only incorporate servant leadership qualities in the students. This effort must be taken in all business schools to produce holistic leaders.
Through internal training, research and education in the field of servant leadership, many multi national companies are practicing the concept of servant leadership and prospering. Servant leaders are the need of the hour. In India and abroad, students need to learn servant leadership in addition to other skills. Hence servant leadership concept must be incorporated in the curriculum of business schools. If the future leaders of the companies learn this concept of servant leadership in business schools and practice it, the business establishments, companies and corporations all over the world would become successful and flourishing enterprises.
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Dr. Peter Earley - transformational-leadership.pdf
Transformational Leadership
Video Title: Transformational Leadership
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Published: 2015
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City: London, United Kingdom
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DOI: http://dx.doi.org/10.4135/9781473935426
© SAGE Publications, 2015
[TRANSFORMATIONAL LEADERSHIP]
DR PETER EARLEY: Transformational leadership is a notion that was first put forward in the '60s in America. And essentially, it was contrasted with the notion of transactional or managerial leadership. Transformational leadership, as the name suggests,
DR PETER EARLEY [continued]: is very much about transforming things, bringing about change, hopefully bringing about improvement. And the leader is seen very much as the driving force to bring that change about. Transformational leadership is very popular with governments and government policy. They want our schools to be led by transformational leaders.
DR PETER EARLEY [continued]: And transformational leaders do bring about change. They're the kind of leaders that one looks up to, the kind of leaders that inspire us to do things. Interestingly, the most recent research is say ing tha t i t ' s no t on ly about transformational leadership or it is not only about learning-centered leadership, but rather, there's a need for both.
DR PETER EARLEY [continued]: So effective, highly-successful schools led by highly- successful leaders, those leaders are most likely to be both transformational and learning- centered.
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Heroic or hubristic.pdf
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Heroic or hubristic? A componential approach to the relationship between perceived transformational leadership and leader–member exchanges
Niels A. van der Kam, Gerben S. van der Vegt, Onne Janssen & Janka I. Stoker
To cite this article: Niels A. van der Kam, Gerben S. van der Vegt, Onne Janssen & Janka I. Stoker (2015) Heroic or hubristic? A componential approach to the relationship between perceived transformational leadership and leader–member exchanges, European Journal of Work and Organizational Psychology, 24:4, 611-626, DOI: 10.1080/1359432X.2014.958149
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Heroic or hubristic? A componential approach to the relationship between perceived transformational leadership and leader–member
exchanges
Niels A. van der Kam, Gerben S. van der Vegt, Onne Janssen, and Janka I. Stoker
Faculty of Economics and Business, University of Groningen, Groningen, The Netherlands
Using an interpersonal approach to self-perceptions, we broke down leaders’ self-perceptions of their transformational leader- ship behaviour into three components: a target effect (i.e., how leaders are perceived by followers), a perceiver effect (i.e., how leaders perceive followers), and a self-enhancement effect (i.e., idiosyncratic positivity bias in how leaders perceive them- selves), and then examined the relationships between these components and the quality of exchanges between leaders and followers (LMX). In a survey study among 60 leaders with 286 followers, we found the target effect in leaders’ self-perceptions of their transformational leadership to be positively related to the quality of LMX, whereas the perceiver effect and self- enhancement effects were negatively associated with LMX. Follower extraversion intensified the positive role of the target effect and the negative role of the self-enhancement effect in the leader–follower exchanges.
Keywords: Transformational leadership; Self-enhancement; Leader–member exchange; Extraversion.
Strong relational ties between leaders and followers are generally considered a key factor in leadership effective- ness (Yukl, 2010). One of the most important factors that catalyse the build-up of such ties is transformational leadership (Wang, Law, Hackett, Wang, & Chen, 2005). By articulating a compelling vision, acting as a role model, and exerting intellectual stimulation and individualized consideration, a transformational leader is usually thought to promote the creation of high-quality exchange relationships with individual followers. Subsequently, followers are expected to reciprocate in the social exchange process by exerting greater efforts and strengthening and encouraging the leader (Deluga, 1992). Consistent with this view, a number of empirical studies have reported positive relationships between leaders’ transformational behaviour and the quality of leader–member exchanges (LMX) (Basu & Green, 1997; Deluga, 1992; Howell & Hall-Merenda, 1999; Li & Hung, 2009; Piccolo & Colquitt, 2006; Wang et al., 2005).
While subscribing to the relational nature of leader- ship, most of the studies examining the relationship between transformational leadership and LMX have one-sidedly focused on follower perceptions and ignored the role of leaders’ self-perceptions of their leadership
behaviours. This is somewhat surprising given the cur- rent dominant view of leadership as a reciprocal process in which both leader and follower exist in a dyadic mutual relationship (Livi, Kenny, Albright, & Pierro, 2008). From such a perspective, one may expect the leadership perceptions of both “parties” in the relation- ship to influence the quality of the LMX. Further, the social perception literature strongly suggests that inter- personal perceptions are influenced by both the perceiver and the target in a relationship (Kenny, 1994). Taken together, these views suggest that a better understanding of the relationship between transformational leadership and LMX requires an interpersonal perspective on leadership, one in which both leader and follower perceptions of the leader’s transformational leadership behaviour are taken into account.
In this study, we propose that leader and follower perceptions form inherent components of a leader’s self-perception of his or her transformational leadership. Specifically, using an adaptation of Kenny’s (1994) Social Relations Model (SRM) (Kwan, John, Kenny, Bond, & Robins, 2004), we suggest that a leader’s self- perception of his or her transformational behaviour can be broken down into three components: (1) how a leader is generally perceived by followers (i.e., the so-called target effect), (2) how a leader generally perceives
Correspondence should be addressed to Gerben S. van der Vegt, Faculty of Economics and Business, University of Groningen, Nettelbosje 2, 9743 HJ, Groningen, The Netherlands. E-mail: [email protected]
European Journal of Work and Organizational Psychology, 2015
Vol. 24, No. 4, 611–626, http://dx.doi.org/10.1080/1359432X.2014.958149
© 2014 Taylor & Francis
followers (i.e., the so-called perceiver effect), and (3) an idiosyncratic bias in a leader’s self-perception (i.e., the so-called self-enhancement effect). Adopting this componential framework (cf., Kwan et al., 2004), and drawing on the existing research discussed earlier, we first argue that both the target effect and perceiver effect in a leader’s self-perception of transformational leader- ship behaviour will be positively related to LMX. In addition, based on self-enhancement theory (e.g., Alicke & Sedikides, 2009; Colvin, Block, & Funder, 1995; Sedikides & Gregg, 2008), we argue that leaders tend to form overly positive self-perceptions of their own transformational leadership behaviour, and propose that this self-enhancement effect in leaders’ self-perceptions will be negatively related to LMX. Furthermore, and consistent with the literature dealing with the effects of follower personality on leadership perceptions (e.g., Bono, Hooper, & Yoon, 2012; Schyns & Felfe, 2006), we propose that followers will respond differently to transformational and self-enhancing leaders depending on their level of extraversion. Specifically, we argue that follower extraversion operates as a contingency variable that intensifies both the positive influence of the target and perceiver effects and the negative influ- ence of the self-enhancement effect in leaders’ self-per- ceptions on the quality of LMX. The proposed conceptual model and hypotheses are summarized in Figure 1.
The contributions of this study to the transforma- tional leadership and LMX literature are threefold. First, by using a componential approach to leadership perceptions based on the SRM, we contribute to a better and more complete understanding of the relationship between perceived transformational leadership and the quality of leader–member exchanges. Our approach enables us to identify three distinct perception effects (i.e., target, perceiver, and self-enhancement) in leaders’
self-perceptions of transformational leadership and to show how these self-perception effects are differentially related to LMX. Second, we contribute to the self- enhancement literature by generating empirically based knowledge on the consequences of self-enhancement for interpersonal effectiveness in the leadership domain. Third, by introducing follower extraversion as a personality trait that could determine the relationship between transformational leadership perceptions and LMX, we answer the call of several scholars (e.g., Howell & Shamir, 2005; Lord, Brown, & Freiberg, 1999; Zhu, Avolio, & Walumbwa, 2009) to more thor- oughly address the role of follower characteristics in leadership effectiveness research.
THEORY AND HYPOTHESES
A componential approach to leaders’ self- perceptions of transformational leadership
The main premise in our approach is that perceptions in general, and leaders’ self-perceptions in particular, are inherently interpersonal in nature and that the self- perceptions of leaders “… cannot be studied without consideration of the fact that the individual is a social agent who always acts as a perceiver and is always the target of perception” (Kwan et al., 2004, p. 97). When perceiving a person, we know that this person also perceives us. This leads us to make inferences, not only about that person but also about how that person perceives us. Our self-perception both affects and is affected by these inferences in several ways (Kenny, 1994). First, self-perception usually serves as a base- line when perceiving and judging others (Kenny, 1994; Kenny & West, 2010). For instance, people tend to assume that others are rather similar to them with regard to thoughts, feelings, and behaviour (Kenny, 1994; Kenny & West, 2010; Ross, Greene, & House, 1977), and have a drive to verify that others see them as they see themselves (Swann, 1990). Second, self- perception is affected by others’ behaviours and atti- tudes towards us, which causes us to adjust our self- image. Hence, self-perception is not created in isola- tion, but reciprocally influences and is influenced by how others perceive us and how we perceive others. Given the intrinsically interpersonal context of leader- ship, it is therefore important to consider leadership perceptions by leaders and subordinates simulta- neously, rather than in isolation.
Many leadership studies have focused on how lea- ders’ self-perceptions relate to those of others (for an overview see Fleenor, Smither, Atwater, Braddy, & Sturm, 2010). Methodologically, these studies have adopted the so-called self–other rating agreement approach, comparing self-perceptions of leadership behaviour to how others (e.g., subordinates or peers) perceive the leader. Although these studies have
Leader’s self-perception of transformational leadership
target effect
perceiver effect
self-enhancement effect
Follower’s extraversion
Follower- perceived
LMX
H1
H2
H3
H 5
H 4b
H 4a
Figure 1. Conceptual model.
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generated a valuable insight into the consequences of self–other disagreement, they have overlooked the component in a leader’s self-perception that represents how he or she perceives others. Kwan and colleagues (2004) argued and showed that ignoring this perceiver effect can be problematic and lead to confounds. A simple example might illustrate their argument. Suppose that Steve rates his own leadership abilities as 7 on a 10-point scale, whereas others rate his leadership abilities as 10 on the same scale. The nega- tive discrepancy (−3) between self- and others’ percep- tions would indicate that Steve is self-effacing. However, if we knew that Steve’s ratings of others’ leadership abilities would average 4 on this scale, we would conclude that Steve sees himself in a more positive light than he sees others (i.e., he self- enhances).
Accordingly, Kwan et al. (2004) argue that when investigating self-perceptions, both how a person is seen by others and how that person sees others should be taken into account. They propose an analytical frame- work based on the SRM (Kenny, 1994; Kenny & LaVoie, 1984) to decompose a person’s self-perception into three components. The first component is labelled the target effect and reflects how positively or negatively a person is perceived by the consensus of others. The rationale for including this target effect in self-percep- tions is that the perceptions people form about them- selves are substantially affected by others’ evaluations and behaviours towards them. If subordinates perceive a leader as a good transformational leader, that supervisor will incorporate “I am a transformational leader” into his or her self-perception.
The second component in a person’s self-perception reflects how positively or negatively that person gen- erally perceives and evaluates others, and is therefore labelled the perceiver effect. The reason to include this perceiver effect in self-perceptions is that a person may have a general tendency to evaluate people, including him- or herself, in positive or negative ways. A leader may be quite positive about the trans- formational behaviours of people in general, and this positive perceiver effect will be reflected in the self- perception of this leader’s own transformational lea- dership behaviour.
The third component reflects an idiosyncratic bias that a person has towards perceiving him- or herself. This unique component is “left over” after considering the target and perceiver effects. As people tend to be overly positive about their favourable attributes, abilities, and performance (e.g., Sedikides, Gaertner, & Toguchi, 2003; Sedikides & Gregg, 2008; Taylor & Brown, 1988, 1994), Kwan and colleagues (2004) and Kwan, John, Robins, and Kuang (2008) labelled this “leftover” component the self-enhancement effect. This self-enhancement bias in self-perceptions is “due to the unique relationship individuals have with
themselves and captures their own idiosyncratic view of themselves” (Kwan et al., 2008, p. 1063).
Adopting this componential approach to self-percep- tions (Kwan et al., 2004), we decompose leaders’ self- perceptions of their transformational leadership behaviour into three components: a target effect, a per- ceiver effect, and a self-enhancement effect. In the following sections, we will develop hypotheses predict- ing that the target and perceiver effects in leaders’ self- perceptions of transformational leadership are positively related to LMX, whereas the self-enhancement effect plays a negative role in the exchanges between leaders and followers.
LMX and how the leader is perceived by followers (the target effect)
A basic premise in LMX theory is that reciprocity of invested effort by the dyad partners, in the role-making and social exchange process, is crucial for the develop- ment of the leader–follower relationship (Maslyn & Uhl- Bien, 2001). Over a series of exchanges, a leader and a follower “test one another to determine whether they can build the relational components of trust, respect, and obligation necessary for high-quality exchanges to develop” (Maslyn & Uhl-Bien, 2001, p. 698). If a leader and a follower continue to invest high and balanced amounts of matched effort, a higher quality and more mature exchange relationship can be developed and sus- tained, resulting in mutual influence and satisfaction. However, if either party in the relationship experiences the other’s efforts to be insufficient or unbalanced, a lower quality exchange relationship develops which is characterized by a hierarchically based downward influ- ence process in which exchanges occur on a formal, contractual basis with distance between leader and fol- lower. A leader’s target effect for transformational lea- dership represents the extent to which that person is seen as a transformational leader by followers and is thus a proxy for the leader’s social investment in the exchange relationship. Accordingly, Wang and colleagues (2005, p. 249) argued that transformational behaviour can be seen as the leader’s “social currency, nourishing high- quality LMX”. A recent meta-analysis of antecedents and consequences of LMX indeed found a significantly positive relationship between transformational leadership and LMX (Dulebohn, Bommer, Liden, Brouer, & Ferris, 2012). As highlighted by Dulebohn et al. (2012), trans- formational leadership seems to “create an environment that is conducive for the development of high-quality LMX relationships” (p. 1722). Leaders who inspire and motivate followers elicit a desire on the part of followers to invest effort in forming high-quality relationships with their leaders. Those followers are more likely to trust and respect their leader and subsequently reciprocate with increased task effort, ultimately resulting in higher LMX quality.
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However, previous studies have only examined the relationship between transformational leadership and lea- der–member exchange at the individual level of analysis, relating individual followers’ ratings of their leader’s transformational leadership to their individual percep- tions of LMX quality. We extend these findings to the team level of analysis by focusing on followers’ aggre- gated perceptions of their leader’s transformational lea- dership behaviour. Specifically, we argue that how leaders’ transformational behaviour is perceived by their followers represents the target effect in leaders’ self-perceptions of their transformational leadership. We expect that this target effect will be positively related to LMX quality. When leaders are seen as transformational by most of their followers, they are more likely to establish and maintain high-quality exchange relation- ships with them, whereas a lower target effect would go hand in hand with lower quality exchange relation- ships between leaders and followers. Thus, our first hypothesis reads as follows:
Hypothesis 1: The target effect in leaders’ self- perceptions of their transformational leadership behaviour is positively related to followers’ percep- tions of LMX.
LMX and how the leader perceives others (the perceiver effect)
The way leaders see themselves is also partly the result of a perceiver effect (Kenny, 1994). With regard to the transformational leadership, a leader’s perceiver effect represents a general positivity bias or response set in the leader’s perceptions of transformational leadership. The higher the leaders’ perceiver effect for transforma- tional leadership, the more they see themselves and others through rose-coloured glasses. Such positive per- ceptions of others are likely to be expressed in positive behaviours towards these others, which facilitates the quality of the relationship. Consistent with reasoning, research has shown that individuals with a positivity bias are often liked by others (Wood, Harms, & Vazire, 2010) and generally experience higher quality relation- ships (Livi et al., 2008). Moreover, research indicates that individuals who judge others as more cooperative, sociable, and reliable develop more appealing and rewarding dyadic interactions (Jackson, Dimmock, Gucciardi, & Grove, 2010). Although extant research on the perceiver effect has mainly examined the effects of positivity biases with regard to individual differences like the Big Five personality traits, there are no reasons to expect that the outcomes of the perceiver effect with regard to transformational leadership will be different. Therefore, we propose that positivity bias in leaders’ judgements of transformational leadership qualities will lead to a higher quality leader–follower exchange relationship:
Hypothesis 2: The perceiver effect in leaders’ self- perceptions of transformational leadership beha- viour is positively related to followers’ perceptions of LMX.
LMX and the idiosyncratic bias in leaders’ self-perceptions (the self-enhancement effect)
Self-enhancement has been defined as the desire to main- tain, protect, and boost a positive self-concept (Leary, 2007) and is considered one of the most fundamental motives that drive human behaviour (Alicke & Sedikides, 2009). Indeed, although cultural differences exist, self-enhancement is considered to be a universal human tendency (Gaertner, Sedikides, & Chang, 2008; Sedikides et al., 2003). Abundant research has shown that people tend to hold inflated perceptions of their favourable attributes, abilities, and behaviour and that this tendency can explain a wide variety of psychological and behavioural phenomena (for overviews see Dunning, Heath, & Suls, 2004; Leary, 2007; Sedikides & Gregg, 2008).
Although the tendency to self-enhance is well established, the question of whether self-enhancement is beneficial or detrimental to an individual’s function- ing continues to be debated. On the one hand, self- enhancement is thought to promote individual well- being because it boosts self-esteem, self-confidence, and self-efficacy (Taylor & Brown, 1988, 1994; Taylor, Lerner, Sherman, Sage, & McDowell, 2003a). Taylor and Brown (1988) argued that these “positive illusions” produce positive outlooks on the future, provide a sense of control in uncertain and stressful environments, and thus serve to defend us against stress (e.g., Bonanno, Rennicke, & Dekel, 2005; Taylor, Lerner, Sherman, Sage, & McDowell, 2003b). On the other hand, self-enhancement is asso- ciated with deception and self-serving attributions that may offend or alienate others (e.g., Anderson, Ames, & Gosling, 2008; Anderson, Srivastava, Beer, Spataro, & Chatman, 2006; Asendorpf & Ostendorf, 1998; Campbell, Bush, Brunell, & Shelton, 2005; Colvin et al., 1995; Robins & Beer, 2001). From this perspective, self-enhancement is detrimental to a person’s relationship with others, because it hinders effective social functioning. Thus, although self- enhancement seems to have some beneficial intraper- sonal effects, it also has detrimental interpersonal effects, leading several scholars to conclude that self-enhancement is, at best, a “mixed blessing” (e.g., Kwan et al., 2004; Paulhus, 1998; Robins & Beer, 2001).
The present study investigates self-enhancement in leadership contexts. Because leadership is inherently an interpersonal influence process, self-enhancement in lea- ders’ behaviour may be negatively related to leadership
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processes in which leaders and subordinates need to reach mutual understanding and agreement about “what needs to be done and how to do it” (Yukl, 2010, p. 26). This might be especially true for self-enhancement of transformational leadership behaviour, because close and harmonious relationships are considered essential to the leadership-influencing process within the transforma- tional leadership paradigm (Avolio, 2011; Bass, 1985; Bass & Riggio, 2006).
Despite the potentially harmful consequences of self- enhancement in the leadership context, leaders may hold self-enhanced perceptions of their transformational behaviour for several reasons. To begin with, transfor- mational leadership is nowadays seen as a key factor for individual, work unit, and organizational outcomes (for an overview, see Judge & Piccolo, 2004), and therefore, the display of such behaviour is important for leaders. Since people are particularly prone to self-enhancement in those domains that matter to them most (Sedikides et al., 2003), it is likely that leaders will tend to be overly positive about their own transformational leadership behaviours.
Also, leaders may feel “pressured” to meet the orga- nization’s and their followers’ expectations regarding their transformational behaviour. Research on Implicit Leadership Theory has shown that leaders are more likely to be effective if their behaviour matches their followers’ images of prototypical leader behaviour (Kenney, Schwartz-Kenney, & Blascovich, 1996; Nye, 2005). The importance attached to transformational lea- dership in today’s society will be reflected in followers’ schemas of prototypical leader behaviour, thus providing leaders with an incentive to portray themselves as “good” transformational leaders. Moreover, according to the Romance of Leadership theory (Meindl, Ehrlich, & Dukerich, 1985), followers are likely to expect too much of their leaders. Leaders may feel that these high expectations of them have to be met, thereby creating a need for leaders to engage in the boasting of their transformational leadership behaviour (Jung & Sosik, 2006).
Finally, research on self-enhancement has shown that people are more prone to enhancement in regard to ambiguous than unambiguous dimensions (e.g., Anderson et al., 2006; Dunning, Meyerowitz, & Holzberg, 1989; Janssen & Van der Vegt, 2011). Transformational leadership behaviours such as “exerting vision”, “idealized influence”, “providing interpersonal support”, and “intellectual stimulation” are rather ambig- uous in that they are hard to assess objectively, thus leaving “room” for self-enhancement.
Although there may be a general trend towards self- enhancement in transformational leadership behaviour, some leaders are more likely to self-enhance than others for various reasons, such as a greater importance attached to leadership display or awareness of follower pressure. How will such different levels of self-
enhancement in transformational leadership behaviour affect LMX quality? From a social exchange perspective, one would argue that leaders who have overly positive perceptions of their transformational leadership beha- viour are unlikely to be investing as much as they think they are. Consequently, the followers’ perceptions of the leader’s invested effort will not match the leader’s own perception. Specifically, followers are likely to per- ceive less invested effort by their leader and will reci- procate with lower effort on their part, and subsequently, this will lead to lower quality LMX relationships. Analogous to the “currency” metaphor of invested effort (Wang et al., 2005), leaders’ inflated self-perceptions resemble monetary inflation in that the worth of the claimed transformational behaviour is devalued, thereby “buying” less follower trust, respect, and obligation. Consequently, followers are likely to report lower quality LMX in response to leaders who self-enhance in terms of their transformational leadership.
A related reason why self-enhancement in transforma- tional leadership behaviour might be negatively asso- ciated with LMX is that leaders’ overly positive claims about their displayed transformational leadership may offend and alienate followers. Research on the social consequences of self-enhancement does indeed suggest that although self-enhancers are viewed relatively posi- tively by others after initial brief interactions, the tide turns against them when others begin to detect their self- promotion in the longer term (e.g., Anderson et al., 2006, 2008; Colvin et al., 1995; John & Robins, 1994; Miller, Cooke, Tsang, & Morgan, 1992; Paulhus, 1998). Similarly, whereas self-enhancing leaders may initially seem self-confident, inspirational, and attractive to fol- lowers, this initial favourable impression is likely to decline after repeated interactions where followers begin to experience the discrepancy between the claims of a self-enhancing leader and their actual behaviour. Eventually, followers are likely to feel misled by leaders who overinflate the transformational leadership beha- viour they pretend to invest in the exchange relationship. Hence, self-enhancing leaders may soon lose their cred- ibility and offend their followers, causing the latter to perceive their exchange relationships with their leaders to be of lower quality.
A final reason why self-enhancement in transforma- tional leadership behaviour may be detrimental to LMX quality is that self-enhancing leaders may set themselves up for failure. That is, because they overestimate their own abilities, they are likely to take on tasks and respon- sibilities they cannot realize. Especially in an organiza- tional context, where there are long-term relationships between leaders and followers, such failure on the part of the leader will be detected by followers and is likely to reduce the followers’ willingness to build the relational components of trust, respect, and obligation that are necessary for high-quality exchanges to develop and be sustained (Gray & Densten, 2007). Taken together, this
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reasoning suggests that a leader with an overly positive view of their transformational leadership behaviours will undermine the LMX quality as perceived by fol- lowers. As this self-enhancement effect in leaders’ self- perceptions reflects an idiosyncratic bias they have towards perceiving themselves and is “left over” after considering the target and perceiver effects, it will have a unique negative relationship with LMX. Hence, we hypothesize:
Hypothesis 3: The self-enhancement effect in lea- ders’ self-perceptions of their transformational lea- dership behaviour is negatively related to followers’ perceptions of LMX.
The moderating role of follower extraversion
Given that LMX is a reciprocal exchange process, not only will leader characteristics, such as the target, perceiver, and self-enhancement effects, influence the quality of LMX, but also follower characteristics may play a role. In particular, follower characteristics that are known to be relevant to social interaction and exchange are likely to prove important. One such follower char- acteristic is extraversion. Extraverted individuals tend to be assertive, dominant, and energetic, with a pronounced tendency towards goal accomplishment (Carver, Sutton, & Scheier, 2000; McCrae & Costa, 1987). Research has shown extraversion to positively associate with an indi- vidual’s behavioural approach system, which is charac- terized by a propensity for action-taking (Smits & Boeck, 2006; see also Elliott & Thrash, 2010). Moreover, extraverts are generally outgoing, gregarious, and seek out social situations (Barrick & Mount, 1991; Goldberg, 1999). Compared with extraverts, their intro- verted counterparts have been described as “silent and withdrawn” (Judge, Bono, Ilies, & Gerhardt, 2002, p. 768), more passive, and less sociable (Matthews, Deary, & Whiteman, 2003; McCrae & Costa, 1987).
On this basis, we propose that follower extraversion operates as a boundary condition that moderates the influence of the target, perceiver, and self-enhancement effects in leaders’ self-perceptions of their transforma- tional leadership on the quality of LMX. This proposi- tion is supported by the research showing that extraverts build better relationships with their leaders because they seek out more interaction (e.g., Nahrgang, Morgeson, & Ilies, 2009; Phillips & Bedeian, 1994). Specifically, not only does frequent interaction with a leader who is perceived as more transformational (i.e., target effect) fulfil extraverts’ approach motive and satisfy their need for high-level interaction, it also increases the likelihood of receiving challenging tasks, and thereby a more sti- mulating exchange relationship with the leader. Likewise, frequent interaction facilitates leaders who perceive followers as more transformational (i.e.,
perceiver effect) to express this positivity bias in their leader behaviour towards them. As extraverted followers seek more interaction with their leader, they are more likely to respond to this positivity bias in a leader’s perceptions and behaviours by establishing a higher quality relationship with him or her. Hence, extraverted followers tend to respond more favourably to a leader who is perceived by them as more transformational (i.e., target effect) or perceives them as more transformational (i.e., perceiver effect), and to become motivated to invest effort in establishing high-quality relationships with such a leader. Less extraverted members, in contrast, are less likely to seek and utilize contacts with their leaders and, thus, may find it harder to develop high-quality LMX relationships with them. Overall, this suggests that extra- verted followers are more likely to benefit from leaders high on target and perceiver effects in their self-percep- tion of transformational leadership than less extraverted followers. Hence, we hypothesize:
Hypothesis 4: Extraversion moderates the relation- ship between the target (H4a) and perceiver effects (H4b) in leaders’ self-perceptions of their transfor- mational leadership behaviour and LMX in such a way that these relationships are more positive for the more extravert followers.
At the same time, however, their desire to engage in high-quality relationships may also lead extraverted fol- lowers to negatively respond to a leader’s self-enhance- ment. Because extraverts seek high-quality relationships, they tend to invest significant effort in building relation- ships. According to LMX theory, such high follower investment needs to be reciprocated by the leader for the development of high-quality LMX (Maslyn & Uhl- Bien, 2001). As self-enhancing leaders actually invest less than they believe, think or pretend, more extraverted followers are likely to feel that their investments are not reciprocated and, because of this, will feel less positive about the quality of their relationship with their leader. Furthermore, because extraverted followers engage more frequently in interactions with their leader than intro- verts, they are more often “exposed” to the leader’s self-enhancement. Combined with their greater social skills, this frequent exposure may lead the more extra- verted followers to more quickly and better “detect” their leader’s self-enhancement. Taken together, these argu- ments suggest that highly extraverted followers will be affected more negatively by leader self-enhancement than less extraverted followers. Hence, we hypothesize:
Hypothesis 5: Extraversion moderates the relation- ship between the self-enhancement effect in lea- ders’ self-perceptions of their transformational leadership behaviour and LMX quality in such a way that the relationship is more negative for the more extravert followers.
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METHOD
Sample and procedure
Data were collected from work teams within two organi- zations in the Netherlands, a University of Applied Science and a mental health care institution. We obtained data from 60 of the 72 team leaders (83.3%) and 286 of the 418 team members (68.4%) who were asked to parti- cipate: 259 participants, including 45 team leaders, from the University of Applied Science, and 87 participants, including 15 team leaders, from the mental health care institution. Teams consisted of at least four participants, including the team leader, with the numbers of partici- pants per team ranging from four to nine (M = 6.19, SD = 1.44). Fifty-five per cent of the participants were female (53% female among the team leaders) and the average age was 44 years (SD = 9.70). The mean team tenure was 42.4 months (SD = 55.45), and the dyadic tenure between leader and follower was 24.30 months (SD = 37.77). The University of Applied Science had a higher proportion of female participants (59.8 %) than the mental health care institution (41.7%). Team tenure, and consequently dyadic tenure, between team leader and team member was lower at the mental health care institu- tion (the average difference in team tenure was 22.55 months, and 18.89 months for dyadic tenure).
We approached participants in collaboration with the personnel departments of both organizations, who pro- vided us with information about the available teams and their composition. Based on the information given, we approached team leaders and asked them whether they would participate in the research project. When team leaders agreed, we informed the team members about the research project and asked for their voluntary parti- cipation. The questionnaire was administered online, through the research project’s dedicated website. Participants received personal credentials with which they could log in to the project’s website and complete the questionnaires available. The questionnaires had per- sonal identifiers to match employees with their leaders. However, confidentiality was guaranteed and data were anonymized once the leader–subordinate dyads had been matched. The questionnaires were administered digitally for the convenience of both the researchers (allowing close monitoring of the process of data collection) and the participants (allowing them to complete the question- naire at a convenient place and time). The quality of data acquired with such web-based surveys has been shown to be on a par with that of data acquired with more traditional “paper-and-pencil” methods (Gosling, Vazire, Srivastava, & John, 2004).
Measures
The scales used in the survey were translated from English into Dutch. Four academic staff members who were proficient in English independently translated the
items of the scales. If translations were not a one-on-one match, the translators discussed the differences until they had reached agreement on the translation.
Transformational leadership behaviour. Kwan and col- leagues’ (2004) method for calculating the target effect, perceiver effect, and self-enhancement effect in leaders’ self-perceptions of transformational leadership requires round robin data. Therefore, we asked both team leaders and their team members to rate themselves and the other members on transformational leadership behaviours in a full round robin design (Kenny & Livi, 2009). Having leaders rate team members and team members rate each other on leadership behaviours is a method that is used in many research occasions, most notably in research focused on shared leadership (Wang, Waldman, & Zhang, 2014) or on disentangling various sources of variance in leadership perceptions (Livi et al., 2008). Transformational behaviour can be found in subordinates as it does not require a formal power base or control over resources, as does for instance transactional leadership. Moreover, transformational leaders are assumed to enable “followers to develop their own leadership poten- tial” (Bass & Riggio, 2006, p. 4). Thus, effective trans- formational leadership should lead to transformational behaviour amongst subordinates.
To reduce the workload for the participants, we used a six-item scale adapted from the 23-item scale for trans- formational leadership developed by Podsakoff, MacKenzie, Moorman, and Fetter (1990). Only the high- est loading item from each of the six dimensions in the original scale was used. The selected items were: “Inspires others with his/her plans for the future”, “Develops a team attitude and spirit among employees”, “Leads by example”, “Will not settle for second best”, “Shows respect for my personal feelings”, and “Has stimulated me to rethink the way I do things”. Items were translated into Dutch and reworked to refer to either self-perceptions (e.g., “I develop a team attitude and spirit among employees”) or perceptions of others (e.g., “X develops a team attitude and spirit among employees”). Respondents rated both themselves and their peers on a seven-point scale ranging from 1 (“Totally disagree”) to 7 (“Fully agree”). In line with much of the research on transformational leadership, the six items were combined to create a single higher order indicator of transformational leadership (Judge & Piccolo, 2004). The internal consistency was good for the self-ratings (Cronbach’s α = 0.82) as well as for the ratings of others (Cronbach’s α = 0.89). Leaders’ mean self-rating was 5.54 (SD = 0.71). The mean followers’ rating of their leader’s transformational behaviour was 5.05 (SD = 0.73). Followers in the mental health care institution rated their leaders marginally significantly higher (p < .10) on transformational behaviour (M = 5.16) than did followers in the University of Applied Science (M = 4.98). To examine the validity of
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our shortened measure for transformational leadership behaviour, we also asked team members to complete the full 23-item scale for their perceptions of their lea- der’s transformational behaviour. The Pearson correla- tion between our six-item scale and the full scale was 0.84, supporting the content validity of our shortened transformational leadership scale.
Leader–member exchange. To assess leader–member exchange quality, the team members were asked to com- plete the LMX-12 scale developed by Liden and Maslyn (1998). In contrast to the widely used LMX-7 scale (Scandura & Graen, 1984), these scholars recognized the complex reciprocal nature of the LMX construct and developed a 12-item scale that assessed the LMX aspects of loyalty, affect, contribution, and professional respect. Items included: “I like my supervisor very much as a person” (affect), “My supervisor defends my work actions to a superior even without complete knowledge of the issue in question” (loyalty), “I do work for my supervisor that goes beyond what is specified in my job description” (contribution), and “I respect my supervi- sor’s knowledge and competence on the job” (profes- sional respect). Items were measured on a seven-point scale (1 = “totally disagree”, 7 = “totally disagree”).
We had no theoretical rationale for suggesting that the leader’s target, perceiver, and self-enhancement effects in transformational leadership behaviour would be differen- tially related to the various aspects of LMX. Therefore, we conducted a second-order confirmatory factor analy- sis of a model in which the LMX items loaded onto the four LMX aspects (affect, loyalty, contribution, and pro- fessional respect), with these four latent constructs sub- sequently contributing to a single LMX factor. Results showed that the second-order factor model had a satis- factory fit (χ2 = 147.47; NFI = .96, NNFI = .96, CFI = .97, SRMR = .05). On this basis, we created a single leader–member exchange quality score by aver- aging the 12 LMX items. The LMX scores ranged from 1.92 to 7.00, and Cronbach’s alpha for the scale was 0.90. Consistent with previous research (e.g., Vidyarthi, Liden, Anand, Erdogan, & Ghosh, 2010), an ICC1 of 0.30 indicated that there was substantial between-group variation in LMX scores.
Extraversion. Following Bakker, Van Oudenhoven, and Van Der Zee (2004), follower extraversion was measured using the six highest loading items for extra- version from the hundred-item five-factor personality inventory by Hendriks, Hofstee, and De Raad (1999). The items were: “Are you someone who loves to chat”, “Are you someone that laughs aloud?”, “Are you some- one that slaps people on the back?”, “Are you someone that keeps apart from others?” (reversed), “Are you someone that avoids contact with others?” (reversed), and “Are you someone that avoids company?” (reversed). Items were measured on a five-point scale
(1 = “does not reflect me at all”, 5 = “totally reflects me”). Extraversion scores ranged from 1.84 to 5.00, and Cronbach’s alpha for the scale was 0.68. Followers within the mental health care institution rated themselves significantly (p < .05) more extraverted (M = 3.80) than did followers in the University of Applied Science (M = 3.58).
Control variables. Following recommendations by Becker (2005) on the use of control variables, we included only the leader’s gender as a control variable in the analyses on the basis that this socio-demographic was significantly correlated with our dependent variable (r = .18; p < .01). Other potential LMX correlates, such as the organization (dummy-coded), team size, age, gen- der difference between leader and follower, leader tenure with the team, leader–follower dyadic tenure (Green, Anderson, & Shivers, 1996), and manager extraversion (to rule out potential effects of similarity), were not included in the analyses because their zero-order correla- tions with LMX were not significant (cf. Becker, 2005).
Decomposition of leaders’ self-perceptions
Following Kwan and colleagues’ (2004) procedure for decomposing self-perceptions, we used both the other- ratings and the leaders’ self-ratings to calculate a mea- sure of the target effect, the perceiver effect, and the self- enhancement effect in leaders’ self-perceptions of their transformational leadership behaviour. This procedure involved two general steps. First, the round robin trans- formational leadership other-ratings and self-ratings are analysed using the SOREMO statistical package (Kenny, 1994, 1995; Kenny & LaVoie, 1984). For each partici- pant, this analysis yielded a target effect, which repre- sents how transformational the participant is typically perceived by others in the group; additionally, the ana- lysis yielded a perceiver effect, which represents how transformational that person generally perceives others in the group. The second step involves calculating the actual self-enhancement index. Consistent with earlier research (e.g., Anderson et al., 2006; Kwan et al., 2004; Lönnqvist, Leikas, Verkasalo, & Paunonen, 2008), we calculated the leaders’ self-enhancement (i.e., the unique part of a leader’s self-perception that cannot be explained by the target and perceiver effects) regard- ing transformational leadership as:
SEtfl ¼ Selftlf � Ttfl � Ptfl � G
where SEtfl represents self-enhancement regarding trans- formational leadership behaviour, Selftfl represents a lea- der’s self-perceptions of transformational behaviour, Ttfl represents the target score for transformational beha- viour, Ptfl represents the perceiver score for transforma- tional leadership, and G represents the group mean (for a
618 VAN DER KAM ET AL.
detailed description of the procedure, see Kenny, 1994; Kwan et al., 2004).
Statistical analyses
Given the nested structure of the data, with followers nested in work teams/leaders, we tested our hypotheses using hierarchical linear models in MLwiN (Rasbash, Charlton, Browne, Healy, & Cameron, 2009). Following the guidelines of Aiken, West, and Reno (1991), we standardized all the independent variables prior to analysis. Interaction effects were computed as the product term of the respective standardized variables.
We analysed the data in three steps. First, we tested a model containing only our control variable (Model 1). Second, we tested a model including the control variable, the main effects of the target effect, perceiver effect, and self-enhancement effect in leaders’ self-perceptions of transformational leadership, and follower extraversion (Model 2). Finally, we tested each of the cross-level interactions, between follower extraversion and the lea- der’s target effect, perceiver effect, and self-enhancement effect for transformational leadership (Models 3, 4, and 5, respectively).
RESULTS
Descriptive statistics
Table 1 presents means, standard deviations, and Pearson zero-order correlations for the variables considered in this study. As can be seen from Table 1, female leaders were generally perceived as more transformational than men (r = .30, p < .01), which is consistent with the previous research findings (Eagly, Johannesen-Schmidt,
& Van Engen, 2003), and were less prone to self- enhancement when it came to transformational leader- ship (r = −.32, p < .01). Moreover, followers reported higher quality leader–member exchange relationships with female leaders than with male leaders (r = .18; p < .01). Leaders who were perceived as more transfor- mational (a higher leader’s target effect for transforma- tional leadership) had higher quality leader–member exchange relationships with their followers (r = .35, p < .01). Self-enhancing leaders had lower quality rela- tionships with their followers (r = −.31, p < .01). These findings provide some support for Hypotheses 1 and 2.
Furthermore, the leader’s target effect and perceiver effect for transformational leadership were positively cor- related (r = .34, p < .01), which is in line with the recipro- city hypothesis (Kenny, 1994) which argues that leaders whose perceptions of their followers are more positively biased are seen as more transformational by their followers. Leader self-enhancement was negatively correlated with both the target effect (r = −.68, p < .01) and the perceiver effect (r = −.45, p < .01), indicating that self-enhancing leaders are seen as less transformational by their followers and are less positively biased in their perceptions of fol- lowers. These negative intercorrelations are similar to the findings from earlier research that examined the relation- ships among the target effect, the perceiver effect, and the self-enhancement effect in self-perceptions (Kenny & Livi, 2009; Kwan et al., 2008; Livi et al., 2008).
Hypothesis testing
Hypotheses 1 and 2 predict that the leader’s target effect (H1) and perceiver effect (H2) for transformational lea- dership behaviour are positively related to LMX quality.
TABLE 1
Descriptive statistics and Pearson zero-order correlations among the study variables
Variable Mean SD 1 2 3 4 5 6 7 8
1. Leader’s gender (T) 0.54 0.50 2. Follower’s team tenure (I) 42.41 55.45 0.06 3. Leader’s team tenure (T) 42.30 65.96 0.16** 0.38*** 4. Dyadic tenure (I) 24.30 37.77 0.11 0.70*** 0.67*** 5. Leader’s target effect for transformational
leadershipa (T) 0.33 0.60 0.30** 0.00 0.14* 0.04
6. Leader’s perceiver effect for transformational leadership (T)
0.50 0.60 0.15* 0.11 0.13* 0.02 0.34**
7. Leader’s self-enhancement for transformational leadership (T)
−0.10 1.04 −0.32** 0.02 −0.14* −0.01 −0.68** −0.45**
8. Follower’s extraversion (I) 3.64 0.66 −0.11 −0.03 −0.03 −0.07 −0.08 −0.11 0.07 9. Leader–member exchange (I) 4.92 0.97 0.18** −0.06 0.07 0.02 0.35** −0.07 −0.31** 0.05
T = team-level variable; I = individual-level variable. N varies between 267 and 286 for individual-level variables; team-level variables (N = 60 teams) were disaggregated to the individual level to
calculate their correlations with individual-level variables. *p < .05; **p < .01; ***p < .001. aPerceived transformational leadership was measured using a seven-point response scale (see “Method” section). Based on these continuous scale
ratings, the leader’s target, perceiver, and self-enhancement effects were calculated using an index in the 0–1 range that represents team-mean deviated scores.
HEROIC OR HUBRISTIC? 619
As can be seen from Table 2 (Model 2), Hypothesis 1 is supported by our data. The more that followers perceive their leader to display transformational behaviour, the higher the reported quality of the leader–member exchanges (B = 0.27, p < .01). However, we found leaders’ positivity bias in their perceptions of followers’ transformational leadership (i.e., perceiver effect) to be negatively related to LMX quality (B = −0.26, p < .01). This result therefore does not support Hypothesis 2.
Hypothesis 3 predicts that the leader’s self-enhance- ment effect for transformational leadership is nega- tively related to LMX quality. The results of the analyses presented in Table 2 (Model 2) also provide support for this hypothesis. Followers of self-enhan- cing leaders report lower levels of LMX quality (B = −0.23, p < .05). Overall, adding the main effects in Model 2 resulted in a significantly better fit com- pared with Model 1, in which only the leader’s gender was included as a control variable (Δχ2 = 35.54, df = 4, p < .001).
Hypothesis 4a predicts that the relationship between the target effect in leaders’ self-perceptions of transfor- mational leadership and LMX quality is more positive for more extraverted followers. Table 2 shows, for Model 3, a significant cross-level interaction between the target effect and follower extraversion (B = 0.09, p < .05). Furthermore, adding this interaction effect to the equation in Model 3 resulted in a significantly improved model fit compared with Model 2 (Δχ2 = 3.96, df = 1, p < .05). To further interpret the direction of this two-way interaction effect, Figure 2A shows the simple regression lines of the relationship between a leader’s target effect and LMX under condi- tions of high and low extraversion. In line with the guidelines from Aiken and colleagues (1991), we assessed whether the slopes of these regression lines differed significantly from zero. In the high-extraversion condition, the regression line has a significantly positive slope (t = 3.49, df = 282, p < .001), whereas the slope of the regression line for followers with low extraversion is
TABLE 2
Results of multilevel regression analysis for quality of leader–member exchange
Variables Model 1 Model 2 Model 3 Model 4 Model 5
Leader’s gender (T) 0.35* (0.17) 0.15 (0.14) 0.14 (0.14) 0.14 (0.14) 0.14 (0.14) Target effect (T) 0.27** (0.08) 0.25** (0.09) 0.27** (0.09) 0.24** (0.09) Perceiver effect (T) −0.26** (0.07) −0.25** (0.07) −0.26*** (0.07) −0.25** (0.07) Self-enhancement effect (T) −0.22* (0.09) −0.22* (0.09) −0.23* (0.09) −0.24** (0.09) Follower’s extraversion (I) 0.08 (0.06) 0.08 (0.06) 0.07 (0.06) 0.08 (0.06) Target effect × follower’s extraversion (I) 0.09* (0.05) Perceiver effect × follower’s extraversion (I) 0.06 (0.05) Self-enhancement effect × follower’s extraversion (I) −0.13** (0.06) Individual-level residual variance 0.79 0.79 0.78 0.79 0.77 Team-level residual variance 0.23 0.06 0.06 0.06 0.06 χ2 759.57 724.03 720.07 723.61 718.20 Δχ2 4.81* 35.54*** 3.96* 0.42 5.83*
N = 60 teams, n = 286 team members. T = team-level effect; I = individual-level effect. Table 2 reports the parameter estimates and the standard errors in parentheses directly following the estimate. *p < .05; **p < .01; ***p < .001.
4.00
4.500
5.00
5.500
6.00
A B
low high
L M
X q
ua lit
y
Leaders' Target Effect for Transformational Leadership
Follower's extraversion high
Follower's extraversion low
4.00
4.500
5.00
5.500
6.00
low high
L M
X q
ua lit
y
Leaders' Self-Enhancement Effect for Transformational Leadership
Follower's extraversion high
Follower's extraversion low
Figure 2. (A) Interaction of leaders’ target effect for transformational leadership and followers’ extraversion; (B) interaction of leaders’ self- enhancement effect for transformational leadership and followers’ extraversion.
620 VAN DER KAM ET AL.
less positive and not statistically significant (t = 1.31, ns). The results of these simple slope analyses support Hypothesis 4a.
We did not find empirical support for Hypothesis 4b predicting that follower extraversion would intensify the positive relationship between the perceiver effect in lea- ders’ self-perceptions of transformational leadership and LMX quality. As the results for Model 4 in Table 2 show, the cross-level interaction between the perceiver effect and follower extraversion was not significant (B = 0.06, p = ns). Accordingly, including this interac- tion effect in the equation in Model 4 did not result in a significantly improved model fit compared with Model 2 (Δχ2(1) = 0.42, p = ns).
Hypothesis 5 predicts that the leader’s self-enhancement effect for transformational leadership behaviour is more negatively related to LMX quality for more extraverted followers. Table 2 shows, for Model 5, a significant cross-level interaction between leader self-enhancement and follower extraversion (B = −0.13; p < −.05). Again, adding this interaction effect to the equation resulted in a model with a significantly better fit compared withModel 2 (Δχ2 = 5.83, df = 1, p < .05). The interaction between leader self-enhancement and follower extraversion is plotted in Figure 2B. Simple slope analyses revealed that the slope of the regression line for highly extraverted followers is sig- nificantly different from zero (t = −3.46, df = 282, p < .001), whereas the slope for followers with low extraversion is not (t = −1.09, df = 282, ns). These findings support Hypothesis 5.
DISCUSSION
Researchers have consistently argued for, and found, a positive relationship between perceptions of transforma- tional leadership and the quality of leader–member exchanges (e.g., Basu & Green, 1997; Dulebohn et al., 2012; Gerstner & Day, 1997; Howell & Hall-Merenda, 1999; Wang et al., 2005). However, such research has one-sidedly focused on followers’ perceptions of trans- formational leadership behaviour, thereby ignoring the role of leaders’ self-perceptions of their transformational behaviour. Given the reciprocal nature of the influence between leaders and followers, we have addressed this shortcoming by testing the notion that not only fol- lowers’ perceptions but also leaders’ self-perceptions of transformational leadership play a critical role in deter- mining the quality of LMX. Specifically, by adopting an interpersonal approach to self-perceptions (Kwan et al., 2004), we broke down leaders’ self-perception of their transformational behaviour into three components: a tar- get effect, a perceiver effect, and a self-enhancement effect, and then examined the relationships between these components and LMX.
Consistent with previous research, the present results show that leaders who are perceived by their followers as being highly transformational (i.e., have a
high target effect) develop higher quality LMX rela- tionships with their followers than leaders who are not viewed so highly in these terms. In contrast, leaders’ enhanced self-perceptions of transformational leader- ship behaviour were negatively related to LMX quality. These findings empirically underpin the claimed relevance of including both a leader’s self- perceptions and followers’ perceptions by showing that leadership perceptions from both sides of the leadership process can be related to LMX in different ways. Moreover, both the positive influence of the target effect (follower perceptions) and the negative influence of the self-enhancement effect (leader’s self-perception) in relation to LMX were more pro- nounced with extravert followers.
We also included the perceiver effect for transforma- tional leadership in our analysis. The perceiver effect reflects a leader’s potential tendency to perceive fol- lowers’ behaviours as relatively positive. We expected that being positive about a person’s behaviour would enhance the quality of the relationship (Livi et al., 2008). Interestingly, our results indicate that, although the bivariate correlation between the perceiver effect and LMX was not significant, the relationship between these variables became negative in the multilevel ana- lyses. A tentative explanation for this finding is that followers expect their leaders to assess follower beha- viours in accurate ways and that biases in their assess- ments are seen as an indication of poor leadership, which compromises the development of high-quality exchanges. However, given the inconsistency between the correlational and multilevel analyses, more research is needed to examine the robustness of this finding and to examine potential underlying mechanisms that may explain the negative influence of leaders’ perceiver effect on the quality of the leader–member exchange relationship.
Another unexpected and interesting finding was that followers of female leaders not only reported exchange relationships of higher quality, they also indicated that their leader was more transformational than the aver- age evaluation of male leaders. These findings are in line with the earlier research showing that female leaders more often than men adopt a transformational style of leadership and more often reward followers for appropriate behaviour (Eagly et al., 2003). Moreover, our results showed that female leaders were less prone to self-enhancement of their transfor- mational behaviour than their male colleagues. This latter finding could stem from the “think manager think male stereotype” that is prevalent in society (e.g., Eagly, 2007; Eagly & Karau, 1991). Whether this stereotype is true or not, this general belief may put more pressure on male leaders than on female leaders to exhibit stereotypically effective leadership behaviour. Combined with the finding that men are less “equipped” to demonstrate transformational
HEROIC OR HUBRISTIC? 621
behaviour (e.g., Eagly et al., 2003), this pressure may lead to greater self-enhancement of transformational behaviour by male than by female leaders.
Theoretical implications
Taken together, our findings have several implications for research on both leadership and self-enhancement. First, our study provides support for the claim that self- perception is an interpersonal phenomenon that should not be investigated without considering perceptions of and by others (Kwan et al., 2004). Using the interperso- nal approach to self-perception, we have shown the relevance of breaking down leadership self-perceptions into three components: a target effect, a perceiver effect, and an idiosyncratic self-enhancement effect. Differential effects on LMX quality were identified for each of these distinct components of leaders’ self-perceptions of their transformational behaviour. Furthermore, although this interpersonal approach has previously been used to investigate self-perceptions of leadership in experimental research (see Livi et al., 2008), to our knowledge the present study is the first to assess leaders’ self-percep- tions of their transformational behaviour in a field setting.
Second, our results have implications for self- enhancement theory. Theory and research on this topic have been characterized by an ongoing debate as to whether self-enhancement is adaptive or maladaptive. Some scholars argue that self-enhancement serves to engender and preserve high levels of self-esteem and a positive self-concept (e.g., Taylor & Brown, 1988, 1994; Taylor et al., 2003a, 2003b). Research drawing on this perspective suggests that individuals who show evidence of optimism about themselves are better able to take care of others and are better liked by others (e.g., Taylor & Brown, 1988; Taylor et al., 2003a). Other scholars, how- ever, have suggested that whereas self-enhancement may be adaptive when it comes to intrapsychic criteria such as self-esteem, it is likely to be maladaptive for establish- ing and maintaining interpersonal relationships (e.g., Colvin et al., 1995; Robins & Beer, 2001), and espe- cially in the longer term (Paulhus, 1998). Studies guided by this viewpoint found that even though the self-con- fidence and optimism of self-enhancers may be initially attractive, they eventually offend and alienate others when more discrepancies between self-enhancers’ claims and actual behaviours emerge (e.g., Anderson et al., 2008, 2006; Asendorpf & Ostendorf, 1998; Colvin et al., 1995; John & Robins, 1994; Paulhus, 1998; Robins & Beer, 2001). The participants in our sample had worked with each other over a considerable period of time, and so our results provide support for the latter perspective that, in the longer term, self-enhancement is maladaptive in the intrinsically interpersonal context of leadership.
The third and final implication of our findings relates to our results showing that follower extraversion moder- ates the influence on LMX quality of both the leader’s target effect and the self-enhancement effect of transfor- mational leadership. As such, this study contributes to theorizing on the role of follower characteristics in explaining leadership effectiveness (Howell & Shamir, 2005; Lord et al., 1999; Zhu et al., 2009), by identifying follower extraversion as a boundary condition that shapes not only the effect of followers’ perceptions of leadership but also that of leaders’ self-perceptions. Incorporating follower characteristics, such as extraver- sion, in research on leadership processes and outcomes does justice to the notion that leadership is a relational phenomenon in which leadership and followership both play important roles.
Limitations and future research
The use of a round robin design, multiple data sources, and rigorous procedures to analyse the data are some of the strengths of the present study. However, there are also some limitations that we should address. First, when considering the generalizability of our findings, we recognize that our sample came from only two Dutch organizations, both operating in the “soft” sector (educa- tion and health care), and is therefore limited in terms of heterogeneity. Further research is needed to test the gen- eralizability of our results, for instance in organizations in “harder” sectors where the need for profitability may put greater demands on leaders. Furthermore, the Dutch culture has been characterized as individualistic (Hofstede, 2001) and there is evidence that differences exist in the form and acceptability of self-enhancement between individualistic cultures and more collectivistic ones (e.g., Sedikides et al., 2003). Future research should therefore investigate the effect of self-enhancement of transformational behaviour on LMX quality in collecti- vistic cultures that more strongly value interpersonal harmony. Such research could also contribute to the recent debate on the universal nature of self-enhance- ment (Henrich, Heine, & Norenzayan, 2010).
Second, as with most empirical studies, we must acknowledge that our cross-sectional design precludes causal inferences. Whereas maintaining high self-esteem is thought to be one of the key reasons for people to self- enhance (Taylor & Brown, 1988), one could argue that a leader’s poor effectiveness (as indicated by low-quality LMX) would lead them to self-enhance, thus adopting a self-protecting rather than a self-advancing perspective on self-enhancement (Sedikides & Gregg, 2008). Consequently, a plausible possibility is that self-enhance- ment and LMX quality reciprocally influence each other in a downward spiral. Longitudinal research could address issues related to the direction of causality. Furthermore, a longitudinal design would allow study
622 VAN DER KAM ET AL.
of the dynamics of LMX development in relation to leader self-enhancement.
Third, whereas research has shown that self- enhancement may have short-term benefits, due to impression management for example, the long-term effects of self-enhancement are likely to become detri- mental (e.g., Colvin et al., 1995; Paulhus, 1998; Robins & Beer, 2001). Indeed, followers may be initi- ally impressed by their leader’s claims, perceiving major investment on the part of their leader, and reci- procate likewise (Wang et al., 2005). Over time, how- ever, they may start to recognize their leader’s inflated claims leading to a drop in LMX quality. In general, the leaders and followers in the present study had worked together for more than two years, and there- fore, we would expect the LMX relationships to have become well established. In new or young teams, the results may well be different. Longitudinal research designs with multiple measurement periods, in which teams are studied from their conception onwards, are necessary to uncover the short- and longer-term effects of self-enhancement on relevant outcome variables.
Practical implications
Overall, our findings suggest that followers’ perceptions of their leader’s transformational leadership behaviours are positively related to the quality of leader–member exchanges, which supports the potential usefulness of training programmes aimed at increasing leaders’ transfor- mational skills and abilities (Barling, Weber, & Kelloway, 1996). At the same time, however, our results indicate that leaders’ enhanced perceptions of their transformational leadership behaviour are detrimental for leadership effec- tiveness. Given that self-enhancement is a general ten- dency, this suggests the importance of efforts aimed at reducing leaders’ tendency to form an overly positive view of their transformational leadership behaviour. One way to realize this for organizations may be to use 360° feedback programmes. Using the interpersonal approach to self-enhancement, as described in this article, the informa- tion available from such programmes can be used to deter- mine leaders’ self-enhancement scores. This information can subsequently be utilized in leadership development programmes to provide leaders with knowledge about how their followers view them and to provide insights into the differences between their own perceptions of their leadership behaviour and those of their followers. This information could be used to guide discussions between leaders and followers about effective leadership behaviour. Alternatively, organizations could train leaders to more actively seek feedback from their followers about their behaviour. Although organizations should be aware that leaders may sometimes filter the feedback they receive, and only absorb elements that match their self-image or simply discard negative feedback as incorrect or unjust (Ditto & Boardman, 1995; Ditto & Lopez, 1992; Taylor
& Brown, 1988), research also suggests that actively seek- ing feedback increases leader effectiveness (e.g., Ashford & Tsui, 1991). Follow-up activities such as discussing the acquired feedback with followers might prove useful, espe- cially when considering self-enhancement tendencies, as it would allow leaders to verify their interpretation of the feedback and increase their accountability for actually using the feedback (Walker & Smither, 1999). Such inter- ventions may help to turn hubristic, self-enhancing leaders into more transformational and heroic ones, which may ultimately benefit follower, team, and organizational performance.
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Original manuscript received June 2012 Revised manuscript received May 2014 Revised manuscript accepted June 2014 First published online September 2014
626 VAN DER KAM ET AL.
- Abstract
- Theory and hypotheses
- A componential approach to leaders’ self-perceptions of transformational leadership
- LMX and how the leader is perceived by followers (the target effect)
- LMX and how the leader perceives others (the perceiver effect)
- LMX and the idiosyncratic bias in leaders’ self-perceptions (the self-enhancement effect)
- The moderating role of follower extraversion
- Method
- Sample and procedure
- Measures
- Decomposition of leaders’ self-perceptions
- Statistical analyses
- Results
- Descriptive statistics
- Hypothesis testing
- Discussion
- Theoretical implications
- Limitations and future research
- Practical implications
- References
How Transformational Leadership Shapes Team Proactivity.pdf
How Transformational Leadership Shapes Team Proactivity: The Mediating Role of Positive Affective Tone and the Moderating
Role of Team Task Variety
Chia-Huei Wu London School of Economics and Political Science
Zhen Wang Renmin University of China
The authors examine how and when transformational leadership can contribute to team proactivity. Drawing on the affect-as-resources perspective, they propose that trans- formational leadership will contribute to team proactivity by cultivating positive group affective tone within teams. They further indicate that the function of positive group affective tone in shaping team proactivity will be stronger when team task variety is higher. These hypotheses were supported by results based on 76 teams in the same organization. The results reveal that the mediation effect of positive group affective tone on the association between transformational leadership and team proactivity is stronger when team task variety is high rather than low. This investigation contributes to the literature by suggesting how to promote proactivity at the team level.
Keywords: transformational leadership, proactivity, group affective tone, work design, team
The need to be proactive has become more pressing in today’s global work context (Crant, 2000) because anticipating the future and taking action in advance is an approach to mastering change in a complex and uncertain work envi- ronment (Campbell, 2000; Griffin, Neal, & Parker, 2007). Consequently, how to promote proactivity at work has become an important topic in organizational behavior research. To date, scholars have devoted a great deal of at- tention to understanding how to promote proac- tivity at the individual level (e.g., Frese & Fay, 2001; Grant & Ashford, 2008; Parker, Bindl, & Strauss, 2010). However, being proactive is also
relevant for teams. Teams, as work units, are entities for achieving specific tasks, and they can be proactive when they take an active, self- starting, and persistent approach toward work at a collective level (Baer & Frese, 2003). Being proactive at the team level is critical because it can help teams to operate effectively to master uncertainty and change (Bindl & Parker, 2010; Williams, Parker, & Turner, 2010).
To facilitate team proactivity, past studies (Kirkman & Rosen, 1999; Williams et al., 2010) have suggested that team leaders can empower teams by enhancing capability and providing autonomy, facilitating a “can do” process in shaping team proactivity (Parker et al., 2010). They also can enlighten meaningfulness and the effect of work to trigger a “reason to” process in leading team proactivity (Parker et al., 2010). Although these findings are informative, one mechanism that has been overlooked is the af- fective role in shaping proactivity, or the “en- ergized to” process in shaping team proactivity (Parker et al., 2010). Being proactive to make changes at the team level is challenging and demanding in many aspects because it takes effort for a team to identify potential opportu- nities; to search for alternative ways to improve; and, most importantly, to coordinate within- and between-team activities to achieve collec-
This article was published Online First May 4, 2015. Chia-Huei Wu, Department of Management, London
School of Economics and Political Science; Zhen Wang, School of Labor and Human Resources, Renmin University of China.
This article is supported by the Fundamental Research Funds for the Central Universities, and the Research Funds of Renmin University of China (11XNK019), and National Natural Science Foundation of China (71101148, 71202148 & 71102162).
Correspondence concerning this article should be ad- dressed to Zhen Wang, School of Labor and Human Re- sources, Renmin University of China, Zhongguancun Street 59, Haidian District, Beijing, China 100872. E-mail: [email protected]
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Group Dynamics: Theory, Research, and Practice © 2015 American Psychological Association 2015, Vol. 19, No. 3, 137–151 1089-2699/15/$12.00 http://dx.doi.org/10.1037/gdn0000027
137
tive action to effect change (Baer & Frese, 2003; Williams et al., 2010). To overcome such challenges and demands, having capability and reasons is not sufficient if a team lacks energy to sustain such effortful activities. Therefore, it is useful to identify leaders who can affectively energize teams to be more proactive.
In this study, we suggest that transforma- tional leaders who tend to affectively motivate followers with inspirational communication (Bono & Ilies, 2006) can cultivate positive group affective tone, or homogeneous positive affective reactions within a team (George, 1990), to promote team proactivity. We focus on positive group affective tone as an energiz- ing mechanism for team proactivity because positive affect increases cognitive and behav- ioral resources (Aspinwall, 1998; Aspinwall & Taylor, 1997; Hobfoll, 1989) for teams to set future-focused and change-oriented goals, to have better coordination within teams, and to persistently engage in activities to achieve an- ticipated outcomes. In addition, we propose that positive group affective tone will be more crit- ical to promote team proactivity for teams with higher task variety. This is because higher team task variety indicates a demanding work situa- tion that requires more cognitive and behavioral resources to approach desired proactive goals and changes (Carver & Scheier, 1982). Because understanding “when” an effect happens in- forms “why” it happens (Baron & Kenny, 1986), this examination helps to substantiate the affect-as-resources perspective in understand- ing the function of positive group affective tone on team proactivity. Overall, we propose a sec- ond-stage moderated mediation model (Ed- wards & Lambert, 2007; Hayes, 2013; Preacher, Rucker, & Hayes, 2007) to understand how and when transformational leadership can contrib- ute to team proactivity.
Our investigation provides three major con- tributions to the literature. First, our study is one of only a few studies examining mechanisms that can promote team proactivity (e.g., Erkutlu & Chafra, 2012; Kirkman & Rosen, 1999; Raub & Liao, 2012; Williams et al., 2010). Different from previous research, we propose an energiz- ing mechanism through which leaders can shape team proactivity. Second, by identifying the role of positive group affective tone in shap- ing team proactivity, our research suggests that positive affect can trigger proactivity at the
team level similarly to how it does at the indi- vidual level (e.g., Bindl, Parker, Totterdell, & Hagger-Johnson, 2012). Our work establishes a basis to unpack a multilevel effect of positive affect in shaping proactivity. Finally, we indi- cate a boundary condition to show when posi- tive group affective tone is more important to sustain team proactivity. Our investigation of the moderating effect of team task variety is important because it indicates the interplay be- tween a team’s tasks and its affective charac- teristics regarding team output, providing impli- cations for job design for teams. We provide arguments below to underpin our hypotheses.
Theory and Hypothesis Development
Transformational Leadership and Team Proactivity: A Mediating Effect of Positive Group Affective Tone
We first elaborate why transformational lead- ership can lead to positive group affective tone in a team. Positive group affective tone de- scribes the extent to which members within a team have consistent positive affective reac- tions at work (George, 1990; Mason & Griffin, 2003). Although group affective tone is concep- tualized as an emergent group state (Kozlowski & Klein, 2000), it is relatively stable over time (test–retest reliability is .63 of 97 teams over a year) (Mason & Griffin, 2003). Such stability may be shaped by bottom-up processes such that team members will have similar affective experiences due to emotion contagion or behav- ioral entrainment in social interactions (Barsade & Gibson, 1998; Bartel & Saavedra, 2000; Tot- terdell, Kellett, Teuchmann, & Briner, 1998). Alternatively, such stability may be shaped by top-down processes such that team members will have similar affective experiences due to the attraction–selection–attrition process (i.e., retain members who have similar affective re- actions) or socialization (i.e., new members as- similate their affective reactions to the group norm) (Collins, Lawrence, Troth, & Jordan, 2013), which results in the emergence of posi- tive affective similarity in work groups in a positive spiral (Walter & Bruch, 2008).
Transformational leaders can shape positive group affective tone via bottom-up and top- down processes. In terms of bottom-up pro- cesses, transformational leaders tend to moti-
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vate and stimulate followers’ enthusiasm by providing inspirational talk and emotional ap- peals (Bass, 1985). Because leaders have a cen- tral position in interacting with followers in their own teams, they are influential persons who can influence team members’ affective ex- periences (Barsade & Gibson, 1998; Totterdell, Wall, Holman, Diamond, & Epitropaki, 2004) via an emotion contagion process (Bono & Ilies, 2006; Sy, Côté, & Saavedra, 2005). They also can elicit followers’ positive emotions when followers are implicitly entrained with leaders in communicating positive things in interactions (Kelly & Barsade, 2001). In terms of top-down processes, a transformational leadership style can be a salient feature to attract and retain members who have similar characteristics in teams (Ehrhart & Klein, 2001; George, 1990; Schneider, 1987). Accordingly, it is easy for transformational leaders to cultivate positive group affective tone within teams when they also have more followers who tend to enjoy and express positive emotion. Transformational leaders also can shape group norms regarding expressing positive emotion and having positive affective reactions within teams, which lead fol- lowers, particularly new members, to embrace positive affect at work (George, 1990; Totter- dell et al., 2004). Empirically, several studies have found that transformational leaders can elicit followers’ positive emotions and shape positive group affective tone within teams (Bono & Ilies, 2006; George, 1995; Sy et al., 2005). Because this proposition has been sup- ported by previous findings, we therefore do not propose a formal hypothesis on the association between transformational leadership and posi- tive group affective tone.
We further suggest that positive group affec- tive tone can contribute to team proactivity based on an affect-as-resources perspective (Aspinwall, 1998; Aspinwall & Taylor, 1997; Hobfoll, 1989), which suggests that positive affect provides cognitive and behavioral re- sources to sustain goal regulation activities. Be- cause team proactivity is a goal regulation pro- cess (DeShon, Kozlowski, Schmidt, Milner, & Wiechmann, 2004; Weingart, 1992; Weldon, Jehn, & Pradhan, 1991) in which cognitive and behavioral resources are required to bring about changes, we therefore expect that positive group affective tone can contribute to team proactiv- ity. Specifically, teams with a stronger positive
group affective tone will be more open to new information and will tend to generate new ideas to bring about change when they see potential opportunities. This behavior will occur because members in teams with a positive group affec- tive tone are more likely to experience positive affect at work and thus have higher cognitive flexibility and an ability to see different things (Isen, 1987). Such cognitive benefits in idea generation and opportunity identification are very likely to occur as positive group affective tone, signaling a positive and enjoyable envi- ronment in which team members will have higher willingness to share their ideas and ex- change information with other team members (Shalley, Gilson, & Blum, 2009). Supporting this view, positive group affective tone has been positively linked to team creativity (Grawitch, Munz, & Kramer, 2003; Tsai, Chi, Grandey, & Fung, 2012), which is defined as “the produc- tion of novel and useful ideas concerning prod- ucts, services, processes and procedures by a team of employees working together” (Shin & Zhou, 2007, p. 1710). In addition, due to the effect of positive affect on motivation (Carver & White, 1994; Elliot & Thrash, 2002), mem- bers in teams with positive group affective tone are more likely to project a future goal and strive to meet that goal with higher intrinsic (Isen & Reeve, 2005) and expectancy motiva- tion (Erez & Isen, 2002). Such promotive ten- dencies will be facilitated at the team level because teams with higher positive group affec- tive tone are more likely to have better coordi- nation (Sy et al., 2005) and cooperation (Bar- sade, 2002) to construct and achieve a shared goal. Based on the above reasoning, we suggest that positive group affective tone can contribute to team proactivity by providing cognitive and behavioral resources.
Overall, we thus expect that transformational leadership will first shape positive group affec- tive tone, which then contributes to team pro- activity. We therefore expect that group affec- tive tone will mediate the association between transformational leadership and team proactiv- ity.
Hypothesis 1: Transformational leadership will be positively related to positive group affective tone, which in turn will have a positive association with team proactivity. Positive group affective tone will have a
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mediation effect on the association be- tween transformational leadership and team proactivity.
Moderating Effect of Team Task Variety
We further suggest that the level of team task variety will shape the effect of positive group affective tone on team proactivity.
Task variety is a job characteristic that is initially used to describe “the degree to which a job requires a variety of different activities in carrying out the work, which involve the use of a number of different skills and talents of the person” (Hackman & Oldham, 1976, p. 257). Here, we focus on this job characteristic at the team level because teams can engage in a vari- ety of activities when carrying out their work due to the scale, complexity, and duration of projects (Campion, Medsker, & Higgs, 1993; Campion, Papper, & Medsker, 1996). We sug- gest that higher team task variety can enhance the association between positive group affective tone and team proactivity because, according to control theory (Carver & Scheier, 1982), higher task variety results in higher work demands, and to achieve a proactive goal and bring construc- tive changes, teams must devote more cognitive and behavioral resources to sustain an initiative approach. As such, we suggest that positive group affective tone will become more critical to sustaining team proactivity by fueling cogni- tive and behavior resources when team task variety becomes higher. We now provide spe- cific arguments to elaborate on how this mech- anism is operated.
First, when team task variety is high, the function of positive group affective tone in fa- cilitating idea generation and sharing becomes more important for teams to initiate a proactive goal. Specifically, when team task variety is high, team members must devote more attention and cognitive effort to different activities to ensure that all activities necessary to complete a project are on the right track. In such work environments, team members may not have ad- ditional cognitive resources to monitor potential problems or opportunities and generate alterna- tive ways to work to bring about change (Naray- anan, Balasubramanian, & Swaminathan, 2009). As such, the function of positive group affective tone in facilitating cognitive flexibility and information processing (Isen, 1987) is help-
ful for teams with high task variety to generate new ideas and envision change-oriented goals. At the same time, having a positive environ- ment for team members to propose ideas is critical when team task variety is high because suggesting an alternative approach to do the work may not be welcome (Burris, 2012; Mor- rison & Phelps, 1999; Parker et al., 2010); a small change can impose a large effect on all work activities. Positive group affective tone is thus important in such a work context because it denotes a positive environment for suggestions of ideas and information sharing (Sy et al., 2005; Tsai et al., 2012). Second, teams having higher task variety may have higher demands to coordinate different work activities. The posi- tive function of positive group affective tone on team coordination and cooperation (Barsade, 2002; Sy et al., 2005) will thus become more desirable for these teams to coordinate different work activities. Finally, because higher task va- riety results in higher work demands (Chung & Ross, 1977; Parker, 1998), teams with higher task variety are required to devote more effort and to be more persistent to get work done. Having stronger motivation is thus crucial to meet demand, and positive group affective tone can help to sustain motivation, as we mentioned earlier. In contrast, when team task variety is low, positive group affective tone will have less of an effect on team proactivity because fewer cognitive and behavioral resources are re- quested in such a situation to support an initia- tive action. We therefore propose a moderating effect of team task variety as follows:
Hypothesis 2: Team task variety will mod- erate the association between positive group affective tone and team proactivity. Specifically, the association between posi- tive group affective tone and team proac- tivity will be stronger when the level of team task variety increases.
The Second-Stage Moderated Mediation Model
Based on the above reasoning, we propose an overall second-stage moderated mediation model (Edwards & Lambert, 2007; Hayes, 2013; Preacher et al., 2007) suggesting that the mediation effect of positive group affective tone will be moderated by the level of team task variety. Specifically, the affective mechanism
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elicited by transformational leadership in pro- moting team proactivity will be more prominent when the level of team task variety increases. To test this moderated mediation effect for- mally, we thus propose the following:
Hypothesis 3: Team task variety will mod- erate the mediation effect of positive group affective tone on the association between transformational leadership and team pro- activity. Specifically, the mediation effect of positive group affective tone will be stronger when team task variety is high than when it is low.
Method
Participants and Procedure
Eighty-eight construction management teams from a large company in China were invited to participate in this study. These teams take charge of different construction projects with a wide range of scale, providing a variety of tasks across teams. We focus only on construction management teams for two main reasons. First, because they are core business teams in the company, the company is more interested in knowing the conditions of these teams than of other teams. Second, focusing only on construc- tion management teams provides a better basis to compare levels of task variety across teams and put all teams together in the analyses. Such comparison and analysis would be problematic if we had teams diverse in the nature of their tasks, such as including teams responsible for, for example, central execution and human re- source management.
Before conducting the survey, we conducted in-depth interviews with human resource man- agers, several team leaders, and team members to ensure that these teams have typical team characteristics (Cohen & Bailey, 1997; Hack- man, 2002). Specifically, each team manages a specific construction project, and the team leader takes charge of the entire project. Team members have different but interdependent tasks, such as on-site inspection, quality control, safety and risk management, and cost control. They must rely on each other to achieve a team goal. Moreover, team membership is stable over time, and team boundaries are clear. A pilot test of the survey was also conducted on a small
number of employees to ensure that the instruc- tions and questions in the survey could be clearly understood.
In the formal survey, multisource data were collected at two points in time. Two research assistants administered the survey on site. At Time 1, team members completed measure- ments of transformational leadership, positive group affective tone, task variety, team proac- tivity, and proactive personality as a control variable. Two weeks later (Time 2), team lead- ers completed a measurement of overall team performance to validate employee-reported measurements. The completed questionnaires were returned directly to the researchers. Ano- nymity and confidentiality were assured in the cover letter and at the beginning of each survey section.
After deleting responses with incomplete in- formation and teams with fewer than three members, we obtained data from 76 teams (407 team members and 76 team leaders). The aver- age team size was 5.36 (range � 3–12 and SD � 2.41). The response rate was 94.9% for team members and 86.4% for team leaders among the available 88 teams. The high re- sponse rates resulted from encouraged partici- pation from the company and on-site survey administration. For the team members, 68.06% were male. The mean age was 30.19 years old with an SD of 8.37. The mean tenure was 86.33 months with an SD of 105.95. Regarding edu- cation, 29.2% of members completed high school, 59.7% completed college, and 11.1% had a bachelor’s degree. For the team leaders, 96.81% were male. The mean age was 35.14 years old with an SD of 6.87. The mean tenure was 151.23 months with an SD of 103.27. The average time in a leadership position was 36.66 months with an SD of 30.53. Regarding educa- tion, 11.3% of the leaders completed high school, 63.4% completed college, and 25.3% had a bachelor’s degree.
Measurements
Because all our measurements were origi- nally constructed in English, we created Chi- nese versions for all measurements following the commonly used translation–back translation procedure (Brislin, 1970). All measurements used a response scale ranging from 1 (strongly disagree) to 7 (strongly agree).
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Transformational leadership. Transform- ational leadership was measured with the scale developed by Rafferty and Griffin (2004). It has 15 items measuring vision, intellectual simula- tion, inspirational communication, supportive leadership, and personal recognition. Team members were asked to rate their team leaders. An example item is “My team leader has a clear understanding of where we are going.” Cron- bach’s alpha was .95.
Positive group affective tone. In line with Mason and Griffin (2003) and Tsai et al.’s (2012) approach, we used the five items to assess the degree to which the team members at work in general felt “enthusiastic,” “ex- cited,” “pleasure,” “energized,” and “happy.” An example item is “Members in my work team are enthusiastic at work.” Cronbach’s alpha was .87.
Team proactivity. Items developed by Baer and Frese (2003) were used to measure proactivity at the team level. We used four items: “People in my team actively attack prob- lems,” “People in my team quickly use oppor- tunities to attain goals,” “People in my team usually do more than they are asked to do,” and “People in my team are particularly good at realizing ideas.” Cronbach’s alpha was .81.
Team task variety. We measured team task variety using three items developed by Hackman and Oldham (1975). An example item is “The task requires us to use a number of complex or high-level skills.” Cronbach’s alpha was .77.
Overall team performance. We used three items from Van Der Vegt and Bunderson (2005) to measure overall team performance in terms of quality, productivity, and mission fulfillment. Team leaders were asked to rate their own teams. Cronbach’s alpha was .86.
Control variables. We controlled for sev- eral demographic variables of teams, including gender composition, mean age (in years), aver- age tenure as a team member (in months), av- erage education level, and team size. We also controlled for the mean of proactive personality among team members for each team because previous studies have indicated that teams with members higher in proactive personality were more self-reliant and had higher team proactivity (Williams et al., 2010). Team members were also asked to rate their own proactive personality using the four-item ver-
sion of the proactive personality scale (Bate- man & Crant, 1993; Wu, Parker, & Bindl, 2013; Wu, Parker, & de Jong, 2014). An example item is “No matter what the odds, if I believe in something, I will make it hap- pen.” Cronbach’s alpha was .77.
Measurement Model
We examined the validity of measurements reported by team members with a series of confirmatory factor analysis. We first examined a model containing five factors for the concepts of transformational leadership, positive group affective tone, team task variety, team proactiv- ity, and proactive personality. Except for trans- formational leadership, each factor was indi- cated by items for the posited concept. To reduce the model size, we created five parcels based on the five subdimensions of transforma- tional leadership to indicate the factor for trans- formational leadership. Factors could be related to each other, but errors of items could not. This correlated five-factor model fit well: �2 � 417.22, df � 179; Comparative Fit Index (CFI) � .93; Tucker-Lewis Index (TLI) � .91; root mean square error of approximation (RMSEA) � .057; and standardized root mean square residual (SRMR) � .055. Except for positive group af- fective tone and team proactivity (r � .69), correlations between variables ranged from .29 to .55.
We examined alternative models to ensure that our hypothesized measurement model was preferable. Specifically, we tested a single- factor model in which all items/parcels were influenced by only one factor. This single-factor model did not fit well (�2 � 1,552.92, df � 189; CFI � .58; TLI � .53; RMSEA � .133; and SRMR � .116). We examined a three-factor model in which transformational leadership and proactive personality were influenced by their own factors, whereas other concepts related to team characteristics (i.e., positive group affec- tive tone, team task variety, and team proactiv- ity) were influenced by another factor. This three-factor model was not acceptable (�2 � 762.33, df � 186; CFI � .82; TLI � .80; RMSEA � .087; and SRMR � .077). Finally, we examined a four-factor model in which transformational leadership, proactive personal- ity, and team task variety were influenced by their own factors, whereas positive group affec-
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tive tone and team proactivity were influenced by another factor. This model helps to clarify the distinction between positive group affective tone and team proactivity; however, it was not acceptable (�2 � 575.94, df � 183; CFI � .88; TLI � .86; RMSEA � .073; and SRMR � .067). These findings suggested that measure- ments reported by team members are distin- guishable.
Data Aggregation
Because we focused on phenomena at the team level, we examined whether measure- ments reported by each team member can be aggregated to represent concepts at the team level. First, we examined interrater agreement by computing rwg(j), as suggested by James, Demaree, and Wolf (1984). We obtained a mean value of 0.83 for transformational leader- ship, 0.86 for positive group affective tone, 0.86 for team proactivity, 0.85 for team task variety, and 0.75 for proactive personality. These values are greater than the generally accepted 0.70 value. Second, we conducted one-way analysis of variance (ANOVA) and found significant between-groups variances for all of these vari- ables. Additionally, we calculated intraclass correlation (ICC1) and reliability of group mean (ICC2) values: transformational leadership, 0.18 and 0.55; positive group affective tone, 0.26 and 0.66; team proactivity, 0.19 and 0.56; team task variety, 0.21 and 0.59; and proactive personality, 0.24 and 0.62. These values are
comparable to the median ICC values of aggre- gated constructs in the organizational literature (e.g., Bliese, 2000; Liao & Chuang, 2007). Thus, we concluded that aggregation was justi- fied for these variables.
Results
Table 1 presents descriptive statistics among research variables, including the mean, standard deviation, and correlations. Transformational leadership, r � .32, p � .005 (e.g., Schau- broeck, Lam, & Cha, 2007); proactive person- ality at the team level, r � .29, p � .011; positive group affective tone, r � .41, p � .001 (e.g., George, 1995); team task variety, r � .37, p � .001 (e.g., Campion et al., 1996); and team proactivity, r � .42, p � .001 (e.g., Kirkman & Rosen, 1999) were positively related to team performance rated by team leaders. These rat- ings are consistent with previous findings and thus support the validity of our team member self-report measurements. To examine our hy- potheses, we performed a series of regression analyses. Scores of positive group affective tone and team task variety were mean centered in the following analysis with the purpose of avoiding the problem of multicollinearity when their in- teraction terms were included. Table 2 presents the results of these analyses.
First, we predicted positive group affective tone by including all control variables (Model 1–1) and then additionally including transfor-
Table 1 Descriptive Statistics Among Research Variables (n � 76)
Correlation
M SD 1 2 3 4 5 6 7 8 9 10
1. Gender composition (percentage of males) 0.68 0.22
2. Age 30.10 4.39 .12 3. Tenure in teams (months) 22.05 18.82 .11 .21 4. Education 2.78 0.39 �.17 �.56�� �.26�
5. Team size 5.36 2.41 �.02 .05 �.12 �.06 6. Proactive personality 3.48 0.54 �.07 �.20 �.04 .22 �.04 7. Transformational leadership 4.21 0.44 �.17 �.04 �.11 .11 �.19 .50��
8. Positive affective tone 5.72 0.61 �.06 .06 .01 �.10 �.15 .36�� .67��
9. Team task variety 5.79 0.58 �.18 .09 .06 .16 �.05 .31�� .40�� .36��
10. Team proactivity 5.69 0.53 �.11 .02 .10 .09 �.09 .45�� .68�� .74�� .47��
11. Leader-rated team performance 5.58 1.04 �.11 �.07 .06 .18 �.23� .29� .32�� .41�� .37�� .42��
� p � .05. �� p � .01.
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mational leadership (Model 1–2). We found that only transformational leadership (B � .893, p � .001) was positively related to positive group affective tone when it was additionally in- cluded. Next, we predicted team proactivity by including all control variables, transformational leadership, and positive group affective tone (Model 2–1). We found that transformational leadership (B � .341, p � .009) and positive group affective tone (B � .465, p � .001) were positively related to team proactivity. To for- mally test the mediation effect of positive group affective tone on the association between trans- formational leadership and team proactivity, we followed the nested equations path analytic ap- proach (Edwards & Lambert, 2007; Hayes, 2013; Preacher et al., 2007) by integrating the equations of Models 1–2 and 2–1 to calculate the mediation effect. We relied on the PROCSS procedure developed by Hayes (Model 4, 2013) to achieve this analysis approach and used a bootstrapping method to calculate the mediation effect. Supporting Hypothesis 1, positive group affective tone had a significant mediation effect (mediation effect � .415; 95% confidence in- terval [CI] � [.222, .638]).
Next, we examined the proposed moderating effect of team task variety. We predicted team proactivity by including all control variables, transformational leadership, positive group af-
fective tone, and team task variety (Model 2�2) and then additionally included the interaction effect of positive group affective tone and team task variety (Model 2–3). We found that the model including the interaction effect explains more variance of team proactivity (�R2 � .024, p � .026). The interaction effect was significant (B � .240, p � .026) in predicting team proac- tivity. Figure 1 presents the interaction plot, which shows that the relationship between pos- itive group affective tone and team proactivity was stronger when team task variety was high (i.e., M � 1SD) (simple slope � .616, p � .001)
Table 2 Results of Regression Analysis (n � 76)
Positive affective tone Team proactivity
Model 1–1 Model 1–2 Model 2–1 Model 2–2 Model 2–3
B SE B SE B SE B SE B SE
Intercept �.574 1.120 �3.213 .999 .075 .736 3.098 .797 2.885 .778 Gender composition �.194 .296 .056 .243 �.051 .171 �.018 .172 �.075 .168 Age .008 .018 �.002 .015 .011 .010 .007 .011 .011 .010 Tenure in teams �.002 .004 .001 .003 .005� .002 .004� .002 .005� .002 Education �.297 .211 �.284 .170 .246� .123 .201 .126 .224 .122 Team size �.038 .028 �.007 .023 .016 .016 .015 .016 .020 .016 Proactive personality .455�� .125 .090 .117 .100 .083 .086 .083 .053 .082 Team task variety — — — — — — .108 .075 .069 .075 Transformational leadership .893�� .145 .341�� .127 .316� .128 .343�� .124 Positive affective tone .465�� .086 .444�� .086 .477�� .085 Positive affective tone �
Team task variety .240� .105 F 2.793� 9.123�� 16.775�� 15.366�� 15.230��
R2 .195 .484 .667 .677 .701 R2 change .289�� .024�
� p � .05. �� p � .01.
4.5
5
5.5
6
6.5
Low PA tone High PA tone
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ac �
vi ty
Low team task variety
High team task variety
Figure 1. Interaction plot of positive affective tone and team task variety in predicting team proactivity (PA tone � positive affective tone).
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than when team task variety was low (i.e., M � 1SD) (simple slope � .337, p � .001), support- ing Hypothesis 2.
Finally, we examined the hypothesized mod- erated mediation effects using the same nested equations path analytic approach. In brief, we integrated the equations of Models 1–2 and 2–3 and used the PROCSS procedure (Model 14, Hayes, 2013) to calculate the conditional medi- ation effect of positive group affective tone with a bootstrapping method. Supporting Hypothesis 3, positive group affective tone had a stronger mediation effect when team task variety was high (conditional mediation effect � .551; 95% CI � [.308, .892]) than when team task variety was low (conditional mediation effect � .304; 95% CI � [.070, .0547]).
We examined several alternative moderated mediation models (Edwards & Lambert, 2007) and found that team task variety did not have significant moderation effects on the association between transformational leadership and posi- tive group affective tone or the association be- tween transformational leadership and team proactivity.
Discussion
In this study, we found that transformational leadership has a positive association with posi- tive group affective tone, which in turn helps energize teams to be more proactive. We also found that such an energizing effect of positive group affective tone on team proactivity is more prominent for teams with higher task variety than for those with lower task variety. Our findings offer several theoretical and practical implications.
First, the results of this study widen the un- derstanding of how leaders can shape team pro- activity. In contrast to the role of leadership in building team capacity (“can do” process) and work meanings (“reason to” process) (Kirkman & Rosen, 1999; Williams et al., 2010) that have been focused on in previous studies, we indicate that leaders can promote team proactivity by cultivating a positive affective tone within teams, reflecting an energizing process in moti- vating proactivity (Parker et al., 2010). This understanding first suggests a broad practical implication; that is, that having transformational leaders is critical to making teams proactive. However, because there are several components
within the concept of transformational leader- ship, which is more critical for sustaining team proactivity, particularly when team task variety is high? Our finding suggests that the affective component, such as inspirational communica- tion, should play an important role because we found that establishing a positive affective tone is the key to sustaining team proactivity, partic- ularly when team task variety is high. In addi- tion to the focus on the affective component of transformational leadership, those aiming to lead their teams to be proactive can consider using different approaches to facilitate positive group affective tone through top-down and/or bottom-up processes, as mentioned earlier.
With a focus on the concept of positive group affective tone, our investigation contributes to the proactivity literature by extending the func- tion of positive affect on proactivity beyond the individual level (Bindl et al., 2012; Den Hartog & Belschak, 2007; Fay & Sonnentag, 2012). Our work thus provides a basis to examine a multilevel role of positive affect in shaping pro- activity. The potential multilevel effect of pos- itive affect on proactivity has rarely been dis- cussed, and we believe that it is an important research avenue in proactivity research. The main reason is that building a multilevel model to consider positive affect and proactivity at both individual and team levels can help us to delineate single-level and, most importantly, cross-level pathways in shaping individual and team proactivity. For example, individuals’ pos- itive affect can be transferred to contribute to positive group affective tone via emotionally contagious processes or behavioral entrainment (a bottom-up process), and then positive group affective tone can facilitate team proactivity by providing a positive environment for idea shar- ing and activities coordination, as we discussed earlier. In contrast, positive affective tone can induce individuals’ positive affect by providing a norm for emotional expression and reactions in teams, and then individuals’ positive affect can evoke flexible cognition and stronger moti- vation to envision and implement changes at the individual level (a top-down process). We rec- ommend that future studies bring a multilevel perspective to unpack the function of positive affect in shaping proactivity.
While examining the multilevel effect of positive affect, future studies can also explore whether teams with a positive group affective
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tone may tune their proactive effort to goals that are easy to approach instead of goals that are difficult to achieve. Studies on positive affect at the individual level have indicated a hedonic contingency effect such that “people in happy moods are more likely to strategically choose activities on the basis of the hedonic conse- quences of those activities” (Wegener & Petty, 1994, pp. 1044–1045). If the same rule applied at the team level, it would be very likely that teams having a positive affective tone will choose goals that can bring positive conse- quences. In other words, positive group affec- tive tone may not only shape the cognitive and behavioral resources within a team but also the content of proactive goals for leading changes. Our study only considers the level of team pro- activity and therefore leaves a research question regarding the content of proactive goals for future studies.
Our investigation on the moderating effect of team task variety indicates when positive group affective tone is more critical to sustain team proactivity. As suggested by Collins et al. (2013), “the impact of group affective tone on group outcomes is more complex . . . such that team task characteristics may play a moderating role in these relationships” (p. S53); therefore, we provide an empirical examination to unpack the complex interplay between team tasks and a team’s affective characteristics in shaping team proactivity. To our knowledge, only two studies have examined when group affective tone will be more influential in shaping team perfor- mance (Klep, Wisse, & van der Flier, 2012; Tsai et al., 2012), and neither considered the moderating role of team task characteristics. Our study thus provides new knowledge per- taining to group affective tone research. The specific results also offer a managerial implica- tion for teamwork design. Specifically, team task variety has been considered a motivating factor that makes teams devote more effort and utilize different talents and skills to increase team effectiveness (Campion et al., 1993, 1996). In line with this view, we found that team task variety is positively correlated with team proactivity. However, when we take pos- itive affective tone into account, we found that having higher team task variety cannot make teams proactive if positive group affective tone is lacking (that is, team task variety only is positively related to team proactivity when pos-
itive group affective tone is high [B � .216, p � .016] rather than low [B � �.078, p � .481]). This finding suggests that an increase in teams’ task variety should be paired with higher posi- tive group affective tone to fuel resources and energy to motivate teams to take initiative to bring about change.
Several limitations should be noted. First, this is a cross-sectional study, which may lead to a question on our mediation process from transformational leadership via positive group affective tone to team proactivity. Our findings thus only provide an indicative implication for the potential temporal order between variables; they cannot offer a causal conclusion. To vali- date our suggested moderated mediation pro- cess, a longitudinal study is required to gauge how our research variables would shape each other over time. Second, we only consider pos- itive affective group tone as a mediator to link transformational leadership and team proactiv- ity. To substantiate our findings, it would be better to control factors representing a “can do” process, such as team efficacy, and factors rep- resenting a “reason to” process, such as work meaningfulness or shared vision, to demonstrate the uniqueness of an “energized to” process in leading team proactivity.
Third, we measured all main research con- structs using team member reports and demon- strated the validity of these measurements by showing positive correlations with team perfor- mance rated by team leaders. Although this approach is not ideal, it is ecologically reason- able, particularly in our research context. Spe- cifically, the construction management teams we focused on are based in different places and responsible for different projects. Only leaders and members in the same team are able to clearly gauge their activities within teams and their overall performance. Therefore, we de- cided to request team members to rate leader- ship, positive affective group tone, and team proactivity because it was assumed that they would have a better sense than team leaders to observe related activities within teams. We de- cided to request team leaders to rate team per- formance because they would have a better view of their team’s performance against those criteria. Although a concern exists with using team leader–rated team performance because team leaders may bring subjective bias into the ratings, we can at least avoid the potential prob-
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lem of common method bias in which team members were requested to rate team perfor- mance at the same time. Nevertheless, to alle- viate concerns with the use of subjective ratings from team members and leaders, future studies should consider using objective measures of team performance as outcomes.
Although our measurements are valid, it could be argued that the concern of common method bias still exists because our main re- search constructs are measured using the same method (Podsakoff, MacKenzie, Lee, & Podsa- koff, 2003). We do not think that common method bias will threaten our conclusions. Fol- lowing Podsakoff et al.’s (2003) suggestions, we have taken actions to reduce common method bias in survey administration by in- forming our participants that the survey is anon- ymous and that there are no right or wrong answers for each question. Empirically, results of confirmatory factor analysis showed that our measurements were empirically distinct from each other. Additionally, we found a significant interaction effect between positive group affec- tive tone and team task variety in predicting initiative climate. Such an interaction effect is unlikely to be detected when common method variance is high (Siemsen, Roth, & Oliveira, 2010).
Finally, in this study, we conceptualize team proactivity from an energizing perspective that emphasizes a generative component of proac- tivity such as initiating changes for a better future before encountering problems. Neverthe- less, a team can also be proactive in solving problems that it has encountered, rendering a necessity perspective of proactivity (Fay & Sonnentag, 2002). These two perspectives of proactivity create a need to identify whether, when, and how different forms of proactivity could be operating. Our measure of team pro- activity did not differentiate proactivity into dif- ferent components; the measure thus cannot help address this research question directly. However, this question is relevant to our re- search because it raises a concern about the role of negative group affective tone in shaping team proactivity. At the individual level, Den Hartog and Belschak (2007) indicated that negative af- fect can be considered as an indicator of a necessity for change and found a positive asso- ciation between negative affect and personal initiative when positive affect was controlled
for. The effect is largely due to the function of negative affect in motivating an individual to envision a better situation (Bindl et al., 2012). Although more evidence is required to establish the reliability of such an effect, these findings highlight an affect-as-information perspective (Schwarz, 2012) in shaping an individual’s judgment and action. At the team level, whether negative group affective tone can similarly shape team proactivity could be an important research question. Because teams with negative group affective tone tend to have more conflict and less cooperation among team members, negative group affective tone may not sustain team proactivity that requires collaboration and coordination among members. Although nega- tive group affective tone can indicate a strong need for improvement, it may point toward a need for improvement in team climate specifi- cally rather than improvement for team task performance. If our reasoning were supported, there would be an asymmetric effect of negative affect in shaping proactivity across individual and team levels. As such, to unpack the role of affect in shaping proactivity more broadly, fu- ture studies should consider using proactivity measures that differentiate proactivity into dif- ferent elements (e.g., proactivity for leading changes for a better future vs. proactivity for solving encountered problems), examining pos- itive and negative affect at the same time, and investigating a multilevel model consolidating team and individual processes.
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Received August 18, 2014 Revision received February 8, 2015
Accepted February 17, 2015 �
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151TRANSFORMATIONAL LEADERSHIP AND TEAM PROACTIVITY
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- How Transformational Leadership Shapes Team Proactivity: The Mediating Role of Positive Affectiv ...
- Theory and Hypothesis Development
- Transformational Leadership and Team Proactivity: A Mediating Effect of Positive Group Affective ...
- Moderating Effect of Team Task Variety
- The Second-Stage Moderated Mediation Model
- Method
- Participants and Procedure
- Measurements
- Transformational leadership
- Positive group affective tone
- Team proactivity
- Team task variety
- Overall team performance
- Control variables
- Measurement Model
- Data Aggregation
- Results
- Discussion
- References
Servant Leaders Inspire Servant Followers.pdf
The Leadership Quarterly 24 (2013) 316–331
Contents lists available at SciVerse ScienceDirect
The Leadership Quarterly
j ourna l homepage: www.e lsev ie r .com/ locate / leaqua
Servant leaders inspire servant followers: Antecedents and outcomes for employees and the organization
Emily M. Hunter a,⁎, Mitchell J. Neubert a, Sara Jansen Perry b, L.A. Witt c, Lisa M. Penney c, Evan Weinberger c
a Baylor University, Hankamer School of Business, Department of Management and Entrepreneurship, One Bear Place #98006, Waco, TX 76798-8006, USA b University of Houston-Downtown, USA c University of Houston, USA
a r t i c l e i n f o
⁎ Corresponding author. Fax: +1 254 710 1093. E-mail address: [email protected] (E.M
1048-9843/$ – see front matter © 2012 Elsevier Inc. A http://dx.doi.org/10.1016/j.leaqua.2012.12.001
a b s t r a c t
Article history: Received 16 January 2012 Received in revised form 17 December 2012 Accepted 18 December 2012 Available online 9 January 2013
Despite widespread adoption of servant leadership, we are only beginning to understand its true utility across multiple organizational levels. Our purpose was to test the relationship between personality, servant leadership, and critical follower and organizational outcomes. Using a social influence framework, we proposed that leader agreeableness and extraversion affect follower perceptions of servant leadership. In turn, servant leaders ignite a cycle of service by role-modeling servant behavior that is then mirrored through coworker helping behavior and high-quality customer service, as well as reciprocated through decreased withdrawal. Using a multilevel, multi-source model, we surveyed 224 stores of a U.S. retail organization, including 425 followers, 110 store managers, and 40 regional managers. Leader agreeableness was positively and extra- versionwas negatively related to servant leadership,whichwas associatedwith decreased follower turnover intentions and disengagement. At the group-level, service climate mediated the effects of servant leadership on follower turnover intentions, helping and sales behavior.
© 2012 Elsevier Inc. All rights reserved.
Keywords: Servant leadership Personality Helping behavior Turnover intentions Service climate
1. Introduction
Robert K. Greenleaf's (1991) famous essay on servant leadership spearheaded a movement that continues to gain strength today. Manyof Fortunemagazine's 100 Best Companies toWork for in America name servant leadership as a core company value (Ruschman, 2002). There are a number of possible explanations for this trend. Servant leaders may promote increased collaboration and creativity among employees, which helps organizations gain andmaintain competitive advantage (Neubert, Kacmar, Carlson, Chonko, & Roberts, 2008). Servant leadership may also improve the ethical culture of modern companies because servant leadership promotes more morality-centered self-reflection by leaders than other leadership styles (i.e., transformational leadership; Giampetro-Meyer, Brown, Browne, & Kubasek, 1998).
Despite the growing popularity of servant leadership practice and the emergence of a promising stream of research affirming its potential utility in organizations (e.g., Neubert et al., 2008; Walumbwa, Hartnell, & Oke, 2010a), most research to date has focused on construct development (Barbuto & Wheeler, 2006; Dennis & Bocarnea, 2005; Ehrhart, 2004; Liden, Wayne, Zhao, & Henderson, 2008; Parolini, Patterson, &Winston, 2009; Sendjaya, Sarros, & Santora, 2008; van Dierendonck, 2011). There remains a need to better understand the scope and magnitude of the influence that servant leadership has on a range of multilevel outcomes and the differential influences of servant leadership conceptualized at the individual and group levels. Further, more advanced research designs and more comprehensive explorations of antecedents and outcomes are necessary to help scholars and managers better understand how to best apply servant leadership and what benefits can be expected from an emphasis on this particular leadership style.
. Hunter).
ll rights reserved.
317E.M. Hunter et al. / The Leadership Quarterly 24 (2013) 316–331
We first address these needs by proposing and testing a model that integrates multiple levels of theory and analysis. This is necessary to advance our understanding of any type of leadership (Hofmann, 2002; Yammarino & Bass, 1991), but it is particularly needed in the area of servant leadership. The study by Liden et al. (2008) represents an important initial effort; they tested the influence of both individual-level and group-level servant leadership on individual outcomes (i.e., community citizenship behavior, in-role performance, and organizational commitment). Only individual-level servant leadership emerged as a significant predictor. More recently, Walumbwa et al. (2010a) tested a more extensive multi-level model of servant leadership that revealed group-level servant leadership predicting several individual- and group-level mediators (i.e., self-efficacy, commitment to supervisor, procedural justice climate and service climate), and in turn, individual organizational citizenship behavior (OCB). Although these initial results are mixed, they suggest that individual- and group-level measures of servant leadership may both be worthy of consideration in predicting important work outcomes.
In the current study, we apply the social influence theories of social learning (Bandura, 1977) and social exchange (Blau, 1964) to propose that servant leaders initiate a cycle of service, thereby influencing a range of multilevel outcomes both directly and indirectly through service climate (see Fig. 1). We expand upon Liden et al. (2008) and Walumbwa et al. (2010a) by testing both group- and individual-level servant leadership predicting both group- and individual-level outcomes, including group-level measures of store performance and follower helping and sales behavior, and individual-level measures of follower turnover intentions and disengagement. In particular, these individual-level outcomes have received little attention by servant leadership scholars but are of practical relevance to an organization's bottom line (Peterson, Galvin, & Lange, 2012).
We also contribute to research and practice in servant leadership by testing a multi-source model. With the exception of in-role performance assessed by a supervisor, the measures included in Liden et al. (2008) and Walumbwa et al. (2010a) originated from the same source (i.e., followers). More recently, Peterson et al. (2012) included multiple sources in their organizational-level research of the servant leadership among chief executive officers (CEOs). They found associations between individual differences as reported by the CEOs, the CEOs' servant leadership as assessed by their chief financial officers, and firm performance as measured by return on assets. We build on this important effort by including assessments drawn from the servant leaders themselves, their managers, and their followers. Thus, we respond to the call for more research on servant leadership from multiple stakeholder perspectives (van Dierendonck, 2011).
Store Level
Individual Level
Store-level
Servant Leadership
(Follower-Rated and Regional Mgr-
Rated)
Individual-level
Servant Leadership
(Follower-Rated)
Store Performance
(Regional Mgr-Rated)
Turnover intentions
(Follower-Rated)
Service Climate
(Follower-Rated)
Task-focused OCB-I
Person-focused OCB-I
(Leader-Rated)
Task-focused OCB-I
(Follower-Rated)
Agreeableness
Extraversion
(Leader-Rated)
Disengagement
(Follower-Rated)
Sales Behavior
(Leader-Rated and Follower-Rated)
Note: Dashed lines indicate unsupported hypotheses.
Fig. 1. Proposed model.
318 E.M. Hunter et al. / The Leadership Quarterly 24 (2013) 316–331
Finally, we further contribute to research on servant leadership by examining leader personality as a valuable tool in understanding and selecting servant leaders. Extant research suggests that leader personality affects the outcomes leaders achieve (Bono & Judge, 2004; Judge, Bono, Ilies, & Gerhardt, 2002), but we know little about the traits linked to servant leadership and its outcomes. Peterson et al. (2012) demonstrated that CEO servant leaders are less likely to exhibit narcissism. In order to better understand servant leadership, we examine two traits that are associated with cognitive-motivational processes that are relevant for servant leadership. We extend this initial research on personality by examining two traits from among the Big Five, agreeableness and extraversion, as antecedents to servant leadership. We focus only on these traits because they are related to motivational strivings (communion and status striving, respectively; Barrick, Mitchell, & Stewart, 2003) that are most relevant to servant leadership. These traits may reflect underlying values that influence the extent to which leaders model servant behaviors and, in turn, the extent to which followers perceive their leader as a servant leader. Only one study has linked leader agreeableness to servant leader behaviors (Washington, Sutton, & Field, 2006), and no studies to our knowledge have investigated leader extraversion. We theoretically position these traits as antecedents of follower perceptions of servant leadership because of the consistency between their motivational bases and servant leader motivations and behaviors. In doing so, we aim to offer theoretical insights into the personality predictors of servant leadership and practical recommendations for leader selection and development.
2. Servant leadership as a construct
According to Greenleaf's seminal essay in 1970, “the servant-leader is servant first” (Greenleaf, 1991, p. 13). More recently, Ehrhart (2004) conducted a thorough review of the literature and identified seven dimensions of servant leadership. The first dimension involves forming relationships with followers, such as when servant leaders spend quality time and forge interpersonal bonds with their followers. Second, servant leaders empower followers (e.g., incorporating follower input on important managerial decisions). Servant leaders also help followers grow and succeed by providing opportunities to enhance follower skills. Fourth, servant leaders behave ethically. For instance, a servant leader will follow through on promises made to followers to demonstrate their adherence to strong ethical values. Fifth, these leaders demonstrate conceptual skills, such as balancing daily work with future vision. They also put followers first by promoting follower success. Finally, servant leaders create value for others outside the organization, such as encouraging followers to engage in community service opportunities outside of work.
While it shares similarities with related leadership theories, there is mounting evidence that servant leadership is distinct from transformational leadership and leader–member exchange (LMX; Barbuto & Wheeler, 2006; Ehrhart, 2004; Liden et al., 2008; Parolini et al., 2009) and has incremental predictive validity (Liden et al., 2008; Schneider & George, 2011). Servant leadership also has a moral component similar to ethical and authentic leadership (Brown, Trevino, & Harrison, 2005; Neubert et al., 2008) but differs in its focus on all organizational stakeholders (Graham, 1991) and inclusion of altruistic and self-reflective behaviors (Brown & Trevino, 2006; Walumbwa, Avolio, Gardner, Wernsing, & Peterson, 2008). Altogether, servant leadership is different from other leadership styles and, in its distinctiveness, offers the potential to have a unique influence on organizations and their stakeholders (Jaramillo, Grisaffe, Chonko, & Roberts, 2009a; Neubert et al., 2008).
Consistent with recent multilevel conceptualizations of transformational leadership (e.g., Charbonnier-Voirin, El Akremi, & Vandenberghe, 2010; Herold, Fedor, Caldwell, & Liu, 2008; Liao & Chuang, 2007), a multilevel view of servant leadership is appropriate because it can be conceptualized separately at each level of analysis (Bliese, 2000; Klein & Kozlowski, 2000; Morgeson & Hofmann, 1999). Indeed, Liden et al. (2008) expanded the definition of servant leadership to encompass both individual and group levels. Initial evidence reveals that between-leader and within-leader variation in follower perceptions of the leader has different associations with follower outcomes (Liden et al., 2008). Therefore, we define store-level (i.e., group-level) servant leadership as an aggregate perception by multiple followers of the extent to which their leader demonstrates servant leadership qualities targeted at their entire team and employs such behavior consistently across all followers. In other words, store-level servant leadership is how a leader is viewed collectively in the eyes of all followers, based on these group-targeted leadership efforts (Walumbwa et al., 2010a). On the other hand, servant leaders also strive to form an individual connection with each follower, which likely results in variance across individuals regarding the level of servant leadership exhibited (i.e., individual-level servant leadership).
3. Servant leadership and the cycle of service
Two key social influence theories that can help explain why individual-level and store-level servant leadership promotes positive outcomes are Bandura's (1977) social learning theory and Blau's (1964) social exchange theory. According to social learning theory, individuals learn by modeling the attitudes, values, and behaviors of role models in their environment (Brown & Trevino, 2006). Followers must desire to mimic their leader's behavior (Wood & Bandura, 1989), which is more likely if leaders are viewed as credible role models. Servant leaders are likely to be seen as credible role models because followers perceive their motivations to be altruistic (Brown et al., 2005); servant leaders are self-motivated to serve humbly without expecting service in return. As a result, a servant leader's humble service is often mimicked by followers (Graham, 1991) and may also be reciprocated through the process of social exchange in which followers return the service they receive in kind (Blau, 1964).
Thus, through social influence processes, a servant leader inspires a cycle of service. Greenleaf sums it up when he asks of followers, “Do they,while being served, become . . . more likely themselves to become servants?” (Greenleaf, 1991, pp. 13–14).We suggest that the cycle of service will be perpetuated through the social influence process at the individual-level to inspire
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followers to reciprocate by remaining engaged with the organization (i.e., low turnover intentions and disengagement), as well as inspire followers to serve other followers (i.e., follower helping behavior) and infuse a climate for service that influences follower sales behavior and store performance at the store-level.
We describe our cycle of service model by first examining the motivational tendencies behind servant leadership that are likely to influence both follower perceptions of servant leadership and willingness to model and reciprocate leader behavior. We suggest that agreeableness and extraversion are two traits from the Big Five most relevant to servant leadership.
3.1. Leader personality and values
Agreeableness reflects an empathetic concern for others (Barrick & Mount, 1991), whereas extraversion reflects a tendency to be “sociable, gregarious, assertive, talkative, and active” (p. 3). We draw from recent theory and research on personality and perfor- mance (e.g., Barrick &Mount, 2005; Barrick et al., 2003; Kanfer & Ackerman, 2000) to suggest that agreeableness and extraversion are associated with servant leadership because they are associated with motivational tendencies likely to be espoused (or rejected) by servant leaders. Thesemotivational tendencies in turn are likely to reflect underlying values that may be communicated to followers through word and deed, leading to follower perceptions of servant leadership and modeling of behavior.
Applying social cognitive theory, Barrick et al. (2003) argued that personality traits, particularly the Big Five, are associated with work-related behavior through their influence on broad motivational intentions or goals. Agreeableness is associated with communion striving, or striving “toward obtaining acceptance and intimacy in personal relationships” (Barrick et al., 2003, p. 66). That is, highly agreeable individuals value positive relationships with others and are motivated (i.e., willing to direct attention, energy, and other resources) to engage in behaviors toward that end. Among individuals in leadership positions, agreeableness, with its concomitant motivation toward social harmony, is likely to be associated with behavior that followers perceive as servant leadership and desire to emulate. For example, just as individuals high on agreeableness focus on interpersonal relationships (Barrick, Stewart, Neubert, & Mount, 1998) and are modest and other-centered (Judge et al., 2002), servant leaders take time to form quality relationships and build community among followers (Ehrhart, 2004). Further, leaders who are high on agreeableness are likely to protect and develop their followers in order to manage follower satisfaction and goodwill; such actions are also likely to be taken by servant leaders. Initial evidence suggests that agreeableness is related to follower perceptions of servant leadership (Washington et al., 2006).
Hypothesis 1. Leader agreeableness is positively related to follower perceptions of servant leadership.
Unlike agreeableness, extraversion is associated with motivational intentions that may actually run contrary to the values of servant leaders. Specifically, Barrick et al. (2003) argued that extraversion is associated with status striving, or the pursuit of goals “directed toward obtaining power and dominance within a status hierarchy” (p. 66). Indeed, Lucas, Diener, Grob, Sun, and Shao (2000) went so far as to argue that the “primary essence” of extraversion is not sociability, but rather the pursuit of rewards. Put another way, extraverts are sociable primarily because it provides them with greater opportunities for recognition and reward. Such goals reflect values that contradict those espoused by servant leaders, who emphasize the interests of their followers and organization over their own self-interests (Greenleaf, 1991).
Transformational leaders are often high in extraversion (Bono & Judge, 2004), but we assert that leaders low in extraversion (i.e., introverts) are more likely to be perceived as servant leaders. Although extraverts can contribute to the cohesion of a team (Barrick et al., 1998) and the extraversion of a leader can influence overall ratings of leadership effectiveness (DeRue, Nahrgang, Wellman, & Humphrey, 2011), other empirical evidence supports our view. Namely, the extraversion of a leader contributes little or nothing to satisfaction with the leader or group performance (DeRue et al., 2011) and does not contribute to quality relationships between the leader and follower (Nahrgang, Morgeson, & Ilies, 2009). Extraverts may initiate conversation, but they also enjoy being the center of attention, tend to talkmore than they listen, and generally dominate social interactions (Grant, Gino, & Hofmann, 2011). Instead of deferring to the interest of others, extraverts are more likely to actively assert their ideas and strive to advance their ideas relative to others (Barrick & Mount, 1991; Barrick, Stewart, & Piotrowski, 2002). Extraverts seek to gain influence not through inclusion but through persuasion (Anderson, Spataro, & Flynn, 2008), and theymay resist or discourage employee voice or proactivity (Grant et al., 2011).
Contrary to these tendencies, servant leaders exercise humility and place a high priority on the concerns and development of others (Ehrhart, 2004; Liden et al., 2008; Sendjaya et al., 2008). Likewise, introverts prefer to take a less dominant and visible role in social interactions (Grant et al., 2011). Similar to servant leaders, introverts spend time listening; they communicate verbally and non-verbally that they are open to the ideas and input of others. Therefore, we expected that extraverted leaders would be less likely to be perceived as servant leaders by others compared to introverted leaders.
Hypothesis 2. Leader extraversion is negatively related to follower perceptions of servant leadership.
3.2. Individual-level servant leadership: reducing follower withdrawal
At the individual-level, followers frequently witness their servant leader's commitment to follower needs and well-being through other-centered and relational behavior. For example, servant leaders support and empower their followers, foster self-confidence, and build follower trust (Liden et al., 2008). According to the social influence theory of social exchange (Blau,
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1964), followers may perceive the servant leader's commitment to their needs and well-being as meriting a reciprocal response. Follower engagement and commitment to remain a member of the leader's team rather than quit may thus reflect “payback” for a positive social exchange (Liden, Bauer, & Erdogan, 2004; Walumbwa et al., 2010a).
Leadership behaviors have been found to explain withdrawal intentions, which may represent a follower's extent of “payback” to the organization by staying (e.g., Hughes, Avey, & Nixon, 2010). Yet, other than Jaramillo et al.'s (2009a) test of a mediated model of the impact of servant leadership on follower turnover intentions through job attitudes, this important association has received scant research attention. Previous research has shown positive linkages between servant leadership and workplace attitudes and attachments (Barbuto &Wheeler, 2006; Hu & Liden, 2011; Liden et al., 2008; Neubert et al., 2008; Walumbwa et al., 2010a), which influence turnover intentions (i.e., job satisfaction and commitment; Allen & Griffeth, 2001; Maertz & Griffeth, 2004; Meyer, Stanley, Herscovitch, & Topolnytsky, 2002; Mobley, 1977; Vandenberghe & Bentein, 2009). In support of these processes, Jenkins and Stewart (2008) found that servant leaders improved the job satisfaction of their nursing staff, and Jaramillo et al. (2009a) found that servant leadership was associated with the job satisfaction and organizational commitment of salespeople. Servant leadership influences followers by satisfying basic follower needs and treating followers fairly (Mayer, Bardes, & Piccolo, 2008). Therefore, we proposed that through the process of social exchange, followers of servant leaders are unlikely to develop intentions to leave their organization.
Hypothesis 3. Individual-level servant leadership is negatively related to follower turnover intentions.
Similar to the process proposed with turnover intentions, followers of servant leaders may become less disengaged in their work as a reciprocal response to the commitment shown by their leader. Conceptualized as the opposite of engagement, disengagement refers to psychologically withdrawing oneself from work tasks, including negative attitudes/affect toward work and executing work tasks mechanically (Demerouti, Bakker, Vardakou, & Kantas, 2003). Although no research to our knowledge has investigated disengagement as an outcome of servant leadership, leadership in general is speculated to be a major factor contributing to employee engagement in the workplace (Harter, Schmidt, & Hayes, 2002). For instance, engagement has been linked to authentic leadership (Walumbwa, Wang, Wang, Schaubroeck, & Avolio, 2010b) and transformational leadership (Tims, Bakker, & Xanthopoulou, 2011). Further, disengagement is negatively associated with employee commitment and positively associated with turnover intentions (Hallberg & Schaufeli, 2006; Lee & Ashforth, 1996). Extending these findings, we predict that followers of servant leaders are not likely to psychologically withdraw from their work.
Hypothesis 4. Individual-level servant leadership is negatively related to follower disengagement.
3.3. Store-level servant leadership: inspiring follower helping behavior
Beyond reduction of follower withdrawal, we posit that servant leaders also inspire a cycle of service more broadly at the store-level. Store-level servant leadership is the overall level of servant leadership exhibited in the store by the leader, as perceived across followers and other stakeholders. It is likely construed through the overall store environment rather than through individual relationships and daily leader–follower interactions.
Our model posits that servant leaders will inspire their followers to help others just as they have been helped by their leader. Helping behavior, also termed organizational citizenship behavior (OCB), is “individual behavior that is discretionary, not directly or explicitly recognized by the formal reward system, and that in the aggregate promotes the effective functioning of the organization” (Organ, 1988, p. 4). Specifically, OCB-I refers to interpersonal helping behavior directed toward coworkers. It includes assisting coworkers with work even if not part of an employee's formal job requirements (i.e., task-focused OCB-I), as well as praising coworkers when they do well or lifting coworker spirits when they feel low (i.e., person-focused OCB-I; Settoon & Mossholder, 2002).
In line with social learning theory and research linking servant leadership and helping behavior (Ehrhart, 2004; Hu & Liden, 2011; Liden et al., 2008; Neubert et al., 2008; Walumbwa et al., 2010a), we proposed that followers throughout a store are likely to perform helping behavior toward their coworkers as a mirror of the behaviors they witness their servant leader exhibit. Followers witness their leader displaying strong ethical standards, promotion and empowerment of others, and service for the community. In turn, followers model these values and behaviors by helping others, including peers, customers, and community members (Ehrhart, 2004). This is akin to the falling dominoes effect described by Bass, Waldman, Avolio, and Bebb (1987). Servant leadership is also related to follower motivation to exert extra effort (Barbuto & Wheeler, 2006), which is necessary for extra-role helping behaviors.
Hypothesis 5. Store-level servant leadership is positively related to follower helping behavior (task and person-focused OCB-I).
3.4. The mediating role of service climate
In addition to direct effects of servant leadership, store-level servant leadership may impact follower outcomes through the overall dynamic it creates within the store; in particular, in the creation of a climate for service, which in turn may impact follower behaviors and attitudes. Defined at the group level, service climate refers to “employees' shared perceptions of the policies, practices, and procedures that are rewarded, supported, and expected concerning customer service” (Schneider,
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Salvaggio, & Subirats, 2002, p. 222). Servant leaders foster a climate of service by role modeling other-oriented service behaviors and emphasizing the importance of service values like personal integrity, trust, and interest in others' growth and success. Servant leadership is also associated with perceptions of fair treatment, which may lead to a climate in which employees are likely to help one another and customers in a spirit of high-quality service (Ehrhart, 2004). Work by Smith, Montagno, and Kuzmenko (2004) supports this idea; they suggested that servant leaders foster a culture focused on personal growth of individuals and the organizational system as a whole. In an organization focused on customer service as a core value, we expected this concern for personal and organizational growth, coupled with an emphasis on organizational policies, practices, and procedures that focus on serving customers and the broader community, may naturally lead to a climate for service. Extant research supports a positive effect of servant leadership on service climate (Walumbwa et al., 2010a).
In turn, we expected that service climate would be associated with follower helping behaviors, turnover intentions, and disengagement. Indeed, research shows that service climate is consistently associated with helping behaviors (Schneider, Ehrhart, Mayer, Saltz, & Niles-Jolly, 2005). In line with social learning theory (Bandura, 1977), this is likely because a positive service climate fosters social norms of helpfulness and cooperation among the group of employees and with customers. These norms are likely to strengthen as employees observe such behaviors being rewarded and modeled by leaders and coworkers. Further, social exchange theory suggests that this climate of service may cultivate follower satisfaction with and commitment to the leader and organization, thereby increasing the desire of employees to “pay back” the organization for providing a positive and rewarding environment of service (i.e., by not withdrawing from that environment; Blau, 1964). Walumbwa et al. (2010a) demonstrated that the relationship between servant leadership and helping behavior is partially mediated by service and procedural justice climate, and we extended their work to examine turnover intentions and disengagement as additional outcomes. Namely, we predicted that store-level servant leadership influences follower outcomes through service climate.
Hypothesis 6. Service climate mediates the relationship between store-level servant leadership and follower turnover intentions.
Hypothesis 7. Service climate mediates the relationship between store-level servant leadership and follower disengagement.
Hypothesis 8. Service climate mediates the relationship between store-level servant leadership and follower helping behavior (task and person-focused OCB-I).
3.5. Sales behavior and store sales performance
We also expected that store-level servant leadership would effectively enhance sales performance through service climate. The manner in which servant leaders promote the interests of their followers and the broader community of stakeholders provides a clear example for followers in promoting the interests of their customers. Thus, through both processes of role modeling and social exchange (Bandura, 1977; Blau, 1964), servant leaders promote a customer service orientation in the workplace that is reflected in how followers treat customers (i.e., service climate), which should affect individual and organizational performance in the sales context.
Although scant research has examined this link, Jaramillo, Grisaffe, Chonko, and Roberts (2009b) asserted that “servant leadership may be a particularly effective style of sales leadership to instill in and model for the sales force a genuine motivation to serve customers” (p. 257). Indeed, the climate fostered by a servant leader is likely to focus on personal and organizational development (Smith et al., 2004),which in a sales organization translates to development of customer-oriented behaviors. Servant leadership likely helps develop a strong service climate in which the customer's needs are highly valued and carefully addressed, which leads to stronger unit performance (Ehrhart, Witt, Schneider, & Perry, 2011). In support of this notion, Jaramillo et al. (2009b) found that servant leadership was related to salesperson customer orientation, which in turn increased customer-directed helping behavior and outcome performance (e.g., self-perceptions of exceeding sales objectives and contributing to a good market share). Liden et al. (2008) also demonstrated a relationship between servant leadership and follower in-role performance. Collectively, a service orientation among employees has also been associated with unit-level profitability and consumer sales measures (Lytle & Timmerman, 2006), and servant leadership has been linked to increased return on assets (Peterson et al., 2012). Therefore, we hypothesized that servant leadership enhances follower in-role sales behaviors and overall store sales performance by creating a service climate, as the store leaders are role models of servant behavior that followers translate into serving customers effectively.
Hypothesis 9. Service climate mediates the relationship between store-level servant leadership and follower sales behavior.
Hypothesis 10. Service climate mediates the relationship between store-level servant leadership and store sales performance.
4. Method
4.1. Sample
We collected data from a United States retail organization that includes servant leadership as a core value in its mission and practice. This organization operates over 600 stores offering high-end apparel and personalized customer service. Each store has one store manager and 9 employees, on average. Most employees work in customer-facing sales positions, but 1 or 2 employees
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per store work in non-customer-facing support positions. Regional managers supervise multiple stores across an assigned geographical region, acting as the boss of those store managers.
The organization allowed us to recruit employees from 385 randomly selected stores across the United States. Out of the 385 store managers, 110 responded (29% response rate). At least one follower from 224 of the 385 stores responded (425 followers total; 12% follower response rate,1 average 1.54 employees per store, 7 employees maximum per store). Out of the 224 stores with follower responses, we obtained regional manager ratings for 108 stores. This represented 40 unique regional managers out of 59 invited (i.e., regional managers completed multiple surveys, one survey for each store in their geographic region; 68% response rate). We were able to match 216 of our 425 followers to a store manager respondent (51%), 213 followers to a regional manager respondent (50%), and 116 followers to both a store manager and regional manager respondent (27%).
Because the organization's executives were concerned about protecting the anonymity of the respondents, we did not include typical demographic items in the surveys. However, based on our work with focus groups from the organization and anecdotal data informally shared by the organization's human resource executives, we estimated that the employees are mostly males in their 20s, 30s, and 40s with moderate to high tenure with the organization (the organization placed strong emphasis on low employee turnover and promoting from within). Most store employees were also full-time and consider their work with the organization a professional career, rather than a part-time or short-term job.
To determine if there was a difference between store managers who responded to the survey and those who did not, we compared aggregated follower-rated servant leadership and service climate ratings in stores with a responding store manager to stores without a responding store manager (based on follower ratings from those stores). We found that servant leadership ratings were not significantly different (t=1.21, ns), but service climate ratings were significantly higher for stores with a responding store manager (t=3.15, pb .01). Although this difference raises response bias concerns, the small mean difference (.33) relative to the standard deviation for the scale (.70 in stores with a responding manager, .82 in stores without a responding manager) indicates that the difference is likely of little practical significance.
4.2. Procedure
Executives at the organization randomly selected 385 stores (representing all regions across the United States) from among their 600 stores to participate. Three separate surveys were developed according to the job level of participants. The regional manager survey included a measure of store manager servant leadership and store sales performance. Regional managers were sent a link to their survey via e-mail and asked to complete a separate survey for every store in their region. Store managers (one per store) were sent: (a) a link to the store manager survey via e-mail and (b) a link to the employee survey to distribute to their store employees. The store manager survey included self-ratings of personality and overall ratings of follower helping behavior and sales behavior occurring in the store. The employee survey included a measure of store manager servant leadership, service climate, self-rated turnover intentions and disengagement, and overall follower helping behavior and sales behavior occurring in the store. By nature of the data collection strategy, four of our follower outcome measures were distributed to only a portion of these respondents (out of 425 total followers participating, 245 followers received and completed the task-focused OCB-I and sales behavior measures and 92 followers received and completed the person-focused OCB-I and disengagement measures, with no overlapping respondents).
At the request of the company, all regional and store manager invitation emails were generated and sent by a company executive. To maintain anonymity and increase the comfort level of respondents, unique store codes were created by the researchers (rather than asking participants to provide store identification numbers). Each store's code was emailed to the store manager so he/she could communicate the code to his/her employees. Participants were assured that their responses would not be accessible at any time to representatives of their organization, and they were assured full anonymity in their responses. In addition to collecting no demographics, these measures were enforced to encourage more participation and honesty from the respondents.
4.3. Measures
Table 1 provides a summary of how each construct was measured, including who responded to each measure, who or what was the object of each measure, and at what level each measure was modeled. Responses were given on a scale of 1 (strongly disagree) to 5 (strongly agree) unless otherwise noted.
4.3.1. Personality We used Goldberg et al.'s (2006) 10-item subscales of the International Personality Item Pool to assess leader agreeableness
(α=.80) and extraversion (α=.84). Leaders rated their own personality using items such as “Have a good word for everyone” and “Know how to captivate people” (respectively), in terms of how well each statement describes them on a scale of 1 (very inaccurate) to 5 (very accurate).
1 Follower response rate was calculated by dividing 425 follower participants by total number of followers in the 385 stores invited to participate. Although we did not have complete data on total number of followers, we estimated based on store manager reports of number of employees per store to estimate 3465 total followers invited to participate (385 stores each with 9 average employees).
Table 1 Summary of study measures.
Construct Measure Respondent Referent Level
Agreeableness International Personality Item Pool (Goldberg et al., 2006) Leader Leader Store-level Extraversion International Personality Item Pool (Goldberg et al., 2006) Leader Leader Store-level Servant leadership Servant leadership scale (Ehrhart, 2004) Followers Leader Individual-level and aggregated
to store-level Regional Mgr Leader Store-level
Service climate Global Service Climate Scale (Schneider et al., 1998) Followers Store Aggregated to store-level Turnover intentions Griffeth et al.'s (2000) scale Followers Followers Individual-level Disengagement Oldenburg Burnout Inventory (Halbesleben & Demerouti, 2005) Followers Followers Individual-level Helping behavior Task- and person-focused OCB-I (Settoon & Mossholder, 2002) Followers Store Aggregated to store-level
Leader Store Store-level Sales behavior Created for this study Followers Store Aggregated to store-level
Leader Store Store-level Store sales performance Rating of falling short, meeting or exceeding store sales goals Regional Mgr Store Store-level
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4.3.2. Servant leadership We assessed servant leadership from the follower's perspective with Ehrhart's (2004) 14-item measure. This scale included
seven dimensions averaged together to form one servant leadership score. Example items included “My store manager creates a sense of community among employees,” “My store manager makes the personal development of employees a priority,” and “My store manager holds employees to high ethical standards” (α=.97).
We also measured store-level servant leadership by asking the regional managers to rate each of their store manager's servant leadership behaviors using the same Ehrhart (2004) measure (α=.88). Although this single-source method may be less reliable and valid than aggregation of multiple follower ratings (see James, 1982; Scullen, 1997), it did allow us to test a model without the threat of same-source bias (i.e., independent and dependent variables assessed by the same raters). We suggest that the leader's boss may have a valuable perspective because he/she is focused on evaluating the leader and the store as a whole.
4.3.3. Service climate Store service climate from the follower's perspective was measured with the 7-item Global Service Climate Scale (Schneider,
White, & Paul, 1998). This scale included items such as “How would you rate the recognition and rewards employees receive for the delivery of superior work and service” and “Howwould you rate the overall quality of service provided by your store” on a scale of 1 (poor) to 5 (excellent; α=.91).
4.3.4. Follower turnover intentions Intent to quit was assessed with one item from Griffeth, Hom, and Gaertner's (2000) scale: “I intend to quit working for my
company within the next 12 months.”
4.3.5. Follower disengagement Disengagement was measured with the 8-item subscale from the Oldenburg Burnout Inventory (Halbesleben & Demerouti,
2005). Sample items included “I get more and more engaged in my work” (reverse coded) and “Lately, I tend to think less during my work and just execute it mechanically” (α=.80).
4.3.6. Follower helping behavior Helping behavior was assessed using two subscales of OCB-I (Settoon & Mossholder, 2002), which is a specific form of
organizational citizenship behavior directed toward coworkers. Task-focused OCB-I includes helping coworkers with work-related issues through transactions, which can be described as more instrumental, whereas person-focused OCB-I includes helping coworkers with personal issues through friendship and social support. The 6-item task-focused OCB-I subscale (α=.95) included items such as “Employees in my store go out of the way to help their coworkers with work-related problems,” and the 8-item person-focused OCB-I subscale (α=.95) included items such as “Employees in my store listen to coworkers when they have to get something off of their chest.” We also asked leaders (i.e., store managers) to assess general follower helping behavior in the store using the same two subscales of task-focused OCB-I (α=.90) and person-focused OCB-I (α=.89).
4.3.7. Follower sales behavior We used an extensive qualitative observation and induction process to develop items to assess sales behaviors performed by
employees. First, several members of the research team observed store employees from our sample, acting in an informal secret shopper capacity. Then the same researchers compiled lists of key sales behaviors highlighted in several best-selling sales books (Fox, 2000; Holden, 1999; Schiffman, 2008). As a research team, we then compared independent lists and selected the behaviors most directly related to obtaining and increasing the value of customer purchases, such as up-selling. Out of those, we retained the top five behaviors consistent across all independent researcher lists and wrote items to assess the extent to which followers performed those expected sales behaviors. Items were “Employees at my store suggest products in response to customer
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requests/needs,” “Employees at my store use creative strategies to satisfy customer requests/needs,” “Employees at my store make efforts to encourage customers to buy today,” “Employees at my store encourage customers to return for future purchases,” and “Employees at my store make efforts to up-sell” (α=.82). We also asked the store managers to report on these same items (α=.77).
4.3.8. Store sales performance Performance data were gathered from regional managers using the participating organization's own internal rating system. In
this organization, stores had two sales goals in the form of a “good” and “excellent” goal. Regional managers rated each store under their supervision on a 4-point Likert response scale of (1) fell short of their assigned “good” sales goal, (2) met their “good” sales goal, (3) exceeded their “good” sales goal, or (4) achieved their “excellent” sales goal. Although executives during focus groups would not disclose the precise formula for calculating “good” and “excellent” performance goals, they did confirm that the formula accounted for such external variables as store location, number of store employees, store inventory, and past performance history.
4.4. Analysis strategy
While our model was multilevel on the whole, we chose an appropriate regression analysis for each hypothesis according to the levels involved. For Hypotheses 1, 2, 6 and 7 the predictors (i.e., leader agreeableness and extraversion and store-level servant leadership) were at the store-level and the outcomes (i.e., follower ratings of servant leadership, turnover intentions and disengagement) were at the individual-level. We used multilevel mixed-effects modeling within SAS Proc Mixed to regress servant leadership on grand-mean-centered leader personality traits (Hypotheses 1 and 2) and to regress follower turnover intentions and disengagement on store-level service climate and store-level servant leadership (Hypotheses 6 and 7).
For Hypotheses 3 and 4, the predictor (i.e., servant leadership) and outcomes (i.e., follower turnover intentions and disengagement) were at the individual-level of analysis. Following recommendations by Hofmann and Gavin (1998), we controlled for servant leadership at the store-level of analysis. We employed SAS Proc Mixed to regress turnover intentions on group-mean-centered servant leadership (pure individual-level created by subtracting the store mean from each individual's score) while controlling for group-mean servant leadership (pure store-level created by taking the mean of all employee responses within each store). Hofmann and Gavin demonstrated that this centering strategy provides results similar to grand-mean-centering but also allows a test of separate level effects to appropriately assess the hypotheses.
As the remaining Hypotheses 5, 8, 9 and 10 were entirely at the store-level, Ordinary Least Squares (OLS) regression was most appropriate. Our only available demographic variable, number of employees per store, was significantly related to sales behavior and store sales performance. Therefore, we included number of employees as a control variable in all models that included sales behavior or store sales performance as dependent variables, as suggested by Becker (2005).
Because some analyses included study measures collected by a single method (i.e., follower survey), we tested for the influence of common method variance using procedures described by Podsakoff, MacKenzie, Lee, and Podsakoff (2003) and Williams, Cote, and Buckley (1989). We tested a CFA that included all study measure items loading on their respective constructs as well as an uncorrelated latent variable that represented a method factor. We allowed all items of all scales to load onto the method factor. While model fit improved when the method factor was included in the model, the average variance explained in the items by the method factor was only 12%, which is well below the 25% average method variance that Williams et al. reported across multiple studies. This indicates that common method variance was not a major concern in this study.
To alleviate concerns that many of our stores had only 1 employee report (n=118 stores), we replicated our hypothesis tests using only stores with 2 or more employee reports (n=106 stores). The significance test results did not change; therefore, we report results with the full sample below.
5. Results
The descriptive statistics, intercorrelations, and scale reliabilities of study variables are presented in Table 2.
5.1. Aggregation Analyses
Before testing our hypotheses, we first ran aggregation statistics to ensure appropriate aggregation of our multilevel variables (i.e., follower-rated servant leadership, service climate, helping behavior, and sales behavior). Following recommendations by James, Demaree, and Wolf (1984), we computed rwg(j) using a uniform distribution to assess interrater agreement. For the rwg(j)
calculations, we deleted stores with only one follower response. Strong agreement is indicated by rwg(j) values above .70, while moderate agreement is indicated by values between .51 and .70 (LeBreton & Senter, 2008). Results demonstrated moderate interrater agreement for servant leadership (rwg(j)=.54), service climate (rwg(j)=.56), and task-focused OCB-I (rwg(j)=.57) which provides some support to justify aggregation to the store-level. We found strong interrater agreement for sales behavior (rwg(j)=.72).
The intraclass correlation coefficient (ICC1) can also be used as an empirical test of whether there is sufficient variance at the store-level to justify aggregation. ICC1 is a measure of the proportion of total variance in a variable that is explained by responses at the store-level (Klein & Kozlowski, 2000), computed by dividing store-level variance by total variance (store- and
Table 2 Multilevel descriptive statistics and correlations.
Scale 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15
1. Agreeableness (.80) 2. Extraversion .36** (.84) 3. Servant leadership (follower-rated)
.32** − .19** (.97) .63** − .21** − .32** .47** .43** .40**
4. Servant leadership (regional mgr rated)
− .11 − .25** .13* (.88)
5. Service climate .33** − .18** .86** .08 (.91) − .39** − .60** .62** .64** .61** 6. Follower turnover intentions
− .09 .04 − .54** − .05 − .44** – .72** − .34** − .39** − .37**
7. Follower disengagement − .51** − .27** − .43** .46** − .28** .68** (.80) − .42** 8. Follower task-focused OCB-I (follower-rated)
.45** − .17** .82** − .11 .76** − .31** – (.95) .53**
9. Follower task-focused OCB-I (leader-rated)
.27** .15* .27** .00 .33** − .51** − .32** .22** (.90)
10. Follower person-focused OCB-I (follower-rated)
− .03 − .06 .38** − .05 .42** − .30** − .11 − .61** (.95)
11. Follower person-focused OCB-I (leader-rated)
.44** .18** .34** .06 .41** − .21** − .10 .30** .73** .67** (.89)
12. Follower sales behavior (follower-Rated)
.28** − .13* .49** .07 .71** − .09 – .69** .13* – .33** (.82)
13. Follower sales behavior (leader-rated)
.29** .25** .05 − .00 .17** − .48** − .33** .20** .47** − .02 .37** .34** (.77)
14. Store sales performance .12* .03 .01 .38** .07 .24** .18** .19** .00 − .47** .04 .41** .18** –
15. Number of employees per Store
− .01 − .04 − .12* .22** .00 − .10 .18** − .02 − .22* − .44** − .12* .35** .15* .25** –
Grand mean 4.16 3.88 3.43 3.58 3.71 2.08 2.78 3.66 4.04 3.89 4.20 4.19 4.15 2.35 8.53 Between-persons SD .46 .52 .79 .46 .49 .50 .32 .66 .61 .35 .52 .33 .52 1.09 5.27 Within-person SD .71 .71 1.13 .64 .77 .76 .54 Proportion within variance 45% 68% 84% 80% 80% 83% 73%
Note. OCB-I=organizational citizenship behavior directed toward coworkers. Individual-level correlations are given above the diagonal, and store-level correlations are given below the diagonal. Scale reliabilities are shown in parentheses along the diagonal. Proportion within variance computed by dividing within-person variance by total variance (within- and between-person variance). *pb .05. **pb .01.
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individual-level variance). Our data suggest that ICC1s were sufficiently high for servant leadership (ICC1=.55), service climate (ICC1=.32), task-focused OCB-I (ICC1=.43), and sales behavior (ICC1=.27). We also found that a substantial portion of the total variance for each scale was within store (ranging from 45% to 80%; see Table 2). Thus, because there was both within- and between-person variance to explain, we determined that multilevel modeling was appropriate for these measures.
We chose not to aggregate follower-rated person-focused OCB-I to the store-level because the aggregation statistics did not indicate sufficient variance at the store-level for this measure (rwg(j)=.53; ICC1=− .01; proportion within variance=83%). This likely resulted from our small sample size for this scale (n=88 stores) and the fact that most stores in this subsample had a single follower respondent. Without multiple respondents per store, we did not capture sufficient store-level variance to aggregate follower-rated person-focused OCB-I to the store-level. Hence, we removed this measure from further analyses.
5.2. Hypothesis tests
Hypotheses 1 and 2 predicted that leader extraversion and agreeableness would be related to follower perceptions of servant leadership. In support of these, we found that agreeablenesswas positively (γ=.80, pb .01;Model 1) and extraversionwas negatively (γ=− .60, pb .01; Model 1) related to follower perceptions of servant leadership. We conducted an alternative test of these hypotheses using servant leadership reported by the leader's regional manager and found that extraversion was significantly negatively related to regional manager perceptions of servant leadership (β=− .30, pb .01), but agreeableness was not (β=.00, ns).
Hypotheses 3 and 4 predicted that individual-level servant leadership (as reported by followers) is related to follower turnover intentions and disengagement (see Table 3). We found both individual-level servant leadership (γ=− .33, pb .05; Model 2) and servant leadership aggregated to the store-level (γ=− .36, pb .01; Model 2) were negatively related to follower turnover intentions. Hypothesis 3 was supported. In support of Hypothesis 4, both individual-level servant leadership (γ=− .33, pb .05; Model 4) and servant leadership aggregated to the store-level (γ=− .15, pb .05; Model 4) were negatively related to follower disengagement.
Hypothesis 5 predicted that store-level servant leadership is related to follower helping behavior. For follower-rated helping behavior aggregated to the store-level, store-level servant leadership was positively related to coworker task-focused OCB-I (β= .59, pb .01; Model 6; see Table 4). We could not test this relationship using follower-rated person-focused OCB-I for reasons described above. However, we replicated this hypothesis test using leader ratings of follower task- and person-focused OCB-I. We found that store-level servant leadership was related to person-focused OCB-I as reported by the leader (β=.16, pb .05; Model
Table 3 Multilevel modeling results.
Level and variable Servant leadership (follower-rated) Follower turnover intentions
Follower disengagement
M1 M2 M3 M4 M5
Intercept 3.47⁎⁎ 3.27⁎⁎ 4.05⁎⁎ 3.33⁎⁎ 3.72⁎⁎
Agreeableness .80⁎⁎
Extraversion − .60⁎⁎
Individual-level Servant leadership (follower-rated) − .33⁎ − .33⁎
Store-level Servant leadership (follower-rated) − .36⁎⁎ − .09 − .15⁎ − .03 Service climate − .46⁎⁎ − .22
n (individual-level) 178 290 288 92 92 n (store-level) 103 183 183 76 76 σ2 0.52⁎⁎ 1.33⁎⁎ 1.34⁎⁎ 0.31⁎⁎ 0.39⁎⁎
τ00 0.50⁎⁎ 0.03 0.00 0.06 0.00
Note. Unstandardized regression coefficients are presented. σ2 indicates individual-level residual variance and τ00 indicates variance in the individual-level intercepts across stores. ⁎ pb .05.
⁎⁎ pb .01.
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10), but it was not related to task-focused OCB-I as reported by the leader (β=.13, ns; Model 8). These results demonstrate partial support for Hypothesis 5.
Hypotheses 6, 7, and 8 proposed that service climate mediates the relationship between store-level servant leadership and follower turnover intentions, disengagement and helping behavior. We followed recommendations by Shrout and Bolger (2002) and tested mediation with 3 steps (see Tables 3 and 4). In step 1, we demonstrated that follower-rated servant leadership was related directly to each follower outcome as described for Hypotheses 3, 4, and 5 above. In step 2, we demonstrated that servant leadership was related to the mediator, service climate (β=.68, pb .01; Model 12). Finally in step 3, we assessed the indirect effect of servant leadership on follower outcomes through service climate. The mediator service climate was significantly related to follower turnover intentions (γ=− .46, pb .01; Model 3) and servant leadership became non-significant in support of full mediation. Service climate was also related to follower-rated task-focused OCB-I (β=.47, pb .01; Model 7), but servant leadership remained significant supporting partial mediation. Mediation was not supported for follower disengagement or leader ratings of OCB-I. Thus, Hypothesis 6 was fully supported, Hypothesis 7 was not supported, and Hypothesis 8 was only supported for follower ratings of helping behavior not leader ratings.
Hypothesis 9 predicted that service climate would mediate the relationship between store-level servant leadership and follower sales behavior (see Table 5). In Step 1, store-level follower-rated servant leadership was positively related to aggregated sales behavior as rated by followers (β=.29, pb .01; Model 14). In Step 2, servant leadership was related to the mediator service climate (β=.68, pb .01; Model 12), and in Step 3, service climate was positively related to store sales performance (β=.72, pb .01; Model 15). In this final step servant leadership became non-significant in support of full mediation. We also found support for full mediation when using follower sales behavior rated by the leader, as service climate was positively related to leader-rated follower sales behavior in Step 3 (β=.27, pb .01; Model 17). We replicated these tests using regional manager-rated servant leadership as a predictor of sales behavior (follower and leader rated), and results were similar except that there was no significant direct relationship between regional manager-rated servant leadership and follower-reported sales behavior. In
Table 4 OLS regression results for store-level helping behavior and service climate.
Level and variable Follower task-focused OCB-I (follower-rated)
Follower task-focused
OCB-I (leader-rated)
Follower person-focused
OCB-I (leader-rated)
Service climate
M6 M7 M8 M9 M10 M11 M12 M13
Store-level Servant leadership (follower-rated) .59⁎⁎ .27⁎⁎ .13 .07 .16⁎ .03 .68⁎⁎
Servant leadership (regional mgr rated) .03 Service climate .47⁎⁎ .18 .15
F 142.45⁎⁎ 115.60⁎⁎ 3.31 4.84⁎⁎ 4.85⁎ 2.53 318.04⁎⁎ 0.18 Adjusted R2 .34 .46 .01 .04 .02 .02 .47 − .01
Note. OCB-I=organizational citizenship behavior directed toward coworkers. Standardized regression coefficients are presented. ⁎ pb .05.
⁎⁎ pb .01.
Table 5 OLS regression results for sales behavior and store sales performance.
Level and variable Follower sales behavior
(follower-rated)
Follower sales behavior
(leader-rated)
Store sales performance
M14 M15 M16 M17 M18 M19 M20 M21
Store-level Servant leadership (follower-rated) .29⁎⁎ − .16 .02 − .14 − .12 − .02 Servant leadership (regional mgr rated) .45⁎⁎ .47⁎⁎
Service climate .72⁎⁎ .27⁎⁎ .02 − .02 Number of employees .19⁎ .25⁎⁎ .22⁎⁎ .22⁎⁎ .16 .16 .19⁎ .17 F 8.39⁎⁎ 33.41⁎⁎ 4.64⁎ 5.62⁎⁎ 2.59 .83 21.74⁎⁎ 9.76⁎⁎
Adjusted R2 .09 .40 .04 .07 .03 − .01 .25 .22
Note. Standardized regression coefficients are presented. ⁎ pb .05.
⁎⁎ pb .01.
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summary, Hypothesis 9 was supported using both follower and leader reports of follower sales behavior and using both follower and regional manager reports of servant leadership.
We followed the same mediation procedure to test Hypothesis 10, which posited service climate as a mediator in the relationship between servant leadership and store sales performance (see Table 5). In Step 1, store-level follower-rated servant leadership was not related to store sales performance (β=− .12, ns; Model 18). In Step 2, servant leadership was related to the mediator service climate (β=.68, pb .01; Model 12), but in Step 3, neither servant leadership nor service climate was related to store sales performance (Model 19) and thus mediation was not supported. We also conducted an alternative test of this hypothesis using servant leadership reported by the leader's regional manager (and thus both servant leadership and store sales performance were reported by the regional manager in this analysis). In Step 1, store-level regional-manager-rated servant leadership was directly positively related to store sales performance (β=.45, pb .01; Model 20). However, Step 2 was not supported as regional-manager-rated servant leadership was not related to the mediator service climate (β=.03, ns; Model 13). Neither was Step 3 supported as service climate was not related to store sales performance (β=− .02, ns; Model 21). In summary, Hypothesis 10 was not supported with either follower or regional manager reports of servant leadership.
6. Discussion
The purpose of this study was to expand the notion that servant leaders are effective by inspiring a cycle of service in which followers learn to serve each other, customers, and the broader community. In doing so, we extend recent theoretical explications of servant leadership (e.g., Barbuto & Wheeler, 2006; Parolini et al., 2009; Sendjaya et al., 2008) in a richer theoretical and practical direction by empirically examining personality antecedents of servant leadership as well as follower and organizational outcomes of servant leadership. At the same time, we expand Liden et al.'s (2008) multilevel model of servant leadership to test multilevel outcomes from a multi-stakeholder perspective to assess the impact of servant leadership at the individual and group level.
We found agreeableness positively and extraversion negatively related to servant leadership. In turn, servant leadership was associated with less follower withdrawal in the form of turnover intentions and disengagement. Servant leadership at the store-level was related to follower helping behavior throughout the store. Further, the impact of store-level servant leadership on follower turnover intentions, helping behavior, and sales behavior was mediated by service climate. However, contrary to our predictions, service climate did not mediate the relationship of servant leadership and store sales performance; these were related directly only when regional managers reported on both servant leadership and store performance.
6.1. Theoretical implications
Our study makes a number of potentially important contributions to research on servant leadership. First, our investigation of personality lends insight into the types of individuals who are likely to become servant leaders. Leaders scoring high in agreeableness and low in extraversion were more likely to be perceived as servant leaders by their followers. We suggest that this may be due to underlying motivations and values (communion striving and status striving) that drive servant leader behavior, but future research is needed to test this assertion. Our investigation of extraversion also adds further distinction between transformational leadership (positive relationship; Bono & Judge, 2004) and servant leadership (negative relationship).
Our research also contributes to this area of study by providing insight into the role of service climate. We posited that servant leaders may create a climate for service in the store, through both role modeling and social exchange, which may in turn influence important employee and store outcomes. Indeed, we found support for service climate as a mediator of the effect of servant leadership on follower helping behavior, follower turnover intentions, and follower sales behavior. This provides empirical evidence for at least one mechanism by which servant leadership may have beneficial effects in organizations (i.e., by fostering a favorable climate for service). We encourage future research in sales organizations and other industries to examine a variety of
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mediators, including other forms of climate (e.g., innovation climate, safety climate, or sales climate), to see other ways servant leaders affect their organizations.
Arguably the most important contribution of our study is the empirical evidence it provides about the benefits of servant leadership. Applying role modeling and social exchange theories, we hypothesized and found support for beneficial effects of servant leadership on follower helping behavior, withdrawal, and sales behavior. First, we theorized that servant leaders may influence follower helping behaviors because they role model these behaviors (Bandura, 1977; Brown & Trevino, 2006; Neubert et al., 2008; Walumbwa et al., 2010a). Indeed, employees who perceived their leader exhibiting servant qualities were more likely to assist each other with task-related and interpersonal matters. Second, we theorized that servant leaders may decrease follower withdrawal by instituting positive social exchange, which encourages followers to stay engaged and committed to the organization (Liden et al., 2004; Walumbwa et al., 2010a). In strong support of this, we found negative relationships between servant leadership and two forms of withdrawal—turnover intentions and disengagement. These relationships emerged as both direct and indirect effects through service climate, and at both individual and group levels. Further, we found that sales behaviors that contribute to increased sales, like meeting customer needs and up-selling, were enhanced by servant leadership through the influence of service climate. Again, this finding was supported using multiple source reports of both leadership and follower behavior. In all, these findings provide clear evidence about how and why servant leadership can be beneficial to organizations.
Future research can continue to apply role modeling and social exchange frameworks to explore a wider range of benefits of servant leadership. For instance, it may encourage an expanded range of follower OCB that stimulates organizational improvement through adaptation (Choi, 2007), such as voice behavior that challenges current practices and benefits the organization by promoting improvement (Morrison, 2011). In terms of social exchange, disengagement and turnover intentions are likely early indicators of a turnover process. Future research can shed further light on the influence of servant leadership on the entire turnover process, with particular attention to other early indicators (e.g., burnout), intermediate stages (e.g., search behaviors), and actual turnover (Abelson, 1987).
Finally, we found three differential patterns of results across the different rating sources, which may also contribute to theory on these constructs. First, the relationship between servant leadership and follower-rated task-focused helping behavior was not replicated for leader ratings of follower helping behavior. We suggest that leaders may observe followers in more obvious helping behaviors (e.g., actively praising coworkers) but may have less opportunity to observe followers in showing concern for coworkers, as these conversations may occur in private among followers. Follower reports are likely more relevant, as each individual's perception becomes their own reality and most directly influences their own outcomes (Kumar & Jain, 2003). Second, for store sales performance, only regional manager reports of leaders' servant leadership were directly and positively related to store sales performance. As the leaders' boss, regional managers likely have a different perspective than followers because they spend more time evaluating the leader and the store as a whole and spend less time interacting one-on-one with each leader. Therefore, these results may represent a halo effect or self-confirmation bias, wherein regional managers tended to notice and ascribe servant leadership behaviors to good overall performance of the store. This is in contrast to follower's perceptions, which may more accurately reflect behaviors of that leader. Finally, we found that regional manager ratings of servant leadership were not related to leader agreeableness (in contrast to follower ratings). This again suggests that leader bosses have a different vantage point, probably with less opportunity to observe the informal, day-to-day care and concern leaders extend in their relationships with followers. In sum, these differential findings across rating sources highlight the need for future research including multiple viewpoints whenever possible. However, priority should be given to those individuals most directly affected by and exposed to the outcomes of interest.
6.2. Strengths, limitations, and future research
A major strength of this study is our use of multilevel, multi-source data to assess servant leadership with its personality antecedents and follower outcomes. Leadership research is naturally multilevel and the field's understanding of it benefits from including perceptions of raters both above and below the leader. Extending the work of Liden et al. (2008), we took a multilevel view of servant leadership and found interesting discrepancies in different levels of raters. A potential limitation of our findings was revealed when some of the multi-source analyses were non-significant and, thus, our significant findings may have reflected common source bias. Yet, the findings of significant relationships between variables gathered from the same source or level may be the most theoretically and practically compelling association to test. Also, our common method variance analyses demonstrated that only 12% of the variance in study items was explained by a method factor, which suggests that common method variance was not a major concern in the study overall. Our follower behavior measures were also limited to descriptions of the behaviors occurring in the store overall; future research could expand our model by assessing individual follower helping and sales behaviors in addition to aggregate behavior. We encourage future researchers to continue the exploration of multilevel models of servant leadership with attention to ensuring that measures are both meaningful (e.g., raters have ample opportunity to observe those they rate) and multifaceted (e.g., organizational performance is assessed by goal attainment, customer ratings of satisfaction, customer retention, costs associated with turnover).
Limitations may also lie within our study design. Namely, our data were collected within a single organization and, at the request of the organization, we relied on store managers to invite their employees to participate. We did not control the recruitment process and thus do not have knowledge whether or not store managers distributed survey invitations to all their employees or only a portion of employees, which would introduce sampling bias and obscure our computations of response rates.
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However, we took steps to ensure employees of their anonymity. To avoid any perceived penalty with (non)participation on the part of the employees, we assigned each store a code word so all respondents could provide that instead of their store number, and we reminded them at several different points that participation was entirely voluntary and no one would know whether or not they participated. Furthermore, responses were submitted directly to the research team using online survey software, giving the organization no access to individual responses. Finally, we did not collect any demographic or relational information in efforts to ensure anonymity in the small units we studied (on average nine employees each). We believe that all of these measures may have reduced some concern with the study design. Still, our findings may not generalize beyond the retail or sales setting and our lack of information about demographics and relationships between leaders and followers may limit our conclusions. We call for researchers to investigate servant leadership practices with additional demographic and relationship data in a broad range of industries with companies that place varying emphases on servant leadership values.
Our data were further limited by our cross-sectional study design, which compromises causal inferences and does not allow us to rule out the possibility of reverse relationships within our model. A cross-sectional design also does not allow us to determine the enduring effects of servant leadership; future research is needed to demonstrate its long-term utility.
Another limitation is, although we suggested that leaders' motivations and values are the underlying mechanisms linking personality to follower perceptions of servant leadership, we did not collect data to examine these mechanisms empirically. Other studies have linked agreeableness and extraversion to communion and status striving, respectively (e.g., Batey, Booth, Furnham, & Lipman, 2011; Chen, Huang, Huang, & Liu, 2011), as well as to job performance (Barrick et al., 2002), but we are unaware of any studies that examined these variables in conjunction to servant leadership. Additional research would be valuable in determining if these motivational strivings indeed mediate the relationship between personality and servant leadership.
Finally, many of our stores had only one employee report, which reduces variability in the store-level measures of servant leadership and service climate. However, in our analyses using only stores with two or more employee reports, significance tests were not different. Timmerman (2005) suggested that low participation rates within team-based studies attenuate study relationships, leading to the possibility of Type II error. Therefore, although low response rate per store represents a potential limitation of our study, results were sufficiently similar to permit us to cautiously make conclusions. Results may have been stronger had we sampled more employees per store.
6.3. Practical implications
Our results suggest that servant leadership can have a positive influence on followers, particularly by instilling a climate for service, enhancing follower helping and sales behavior, and reducing follower withdrawal. Servant leadership contributes to a work environment that promotes the virtue of serving others and in which followers want to remain. These follower outcomes are critical to any organization that strives to reduce turnover costs and enhance employee performance, teamwork, and customer service, but perhaps particularly instructive in a retail environment. For example, turnover costs are a significant problem in retail environments where, among other characteristics of this work setting, non-standard work hours contribute to increased levels of turnover (Martin, Sinclair, Lelchook, Wittmer, & Charles, 2012). Retail owners and managers can benefit from recognizing that servant leadership behavior can contribute to lower intentions to turnover.
These results help to validate the adoption of servant leadership values in a large number of companies, including several at the top of Fortune's 100 Best Companies to Work for in America (Ruschman, 2002). Also, because of these positive results, more organizations may consider selecting for and cultivating servant leadership qualities among their managers. Transformational leadership training programs can enhance transformational leadership behaviors (Barling, Weber, & Kelloway, 1996), and we may expect similar results for servant leadership, although such programs need more empirical testing. Organizations may consider creating a broader servant-minded culture throughout the organization to better support and maintain the virtuous behaviors of servant leaders in the long-term (Liden et al., 2008).
Overall, our results also suggest an important role for personality testing in the selection, promotion, and placement of managers. Particularly when organizations have named servant leadership as a strategic priority, agreeableness may be an important trait in potential managers, whereas extraversion may be a detrimental trait. Therefore, organizations who emphasize servant leadership might consider selecting individuals for managerial positions based on their level of care and concern for others (agreeableness) instead of solely on their outgoing nature (extraversion). When managers are low on agreeableness and high on extraversion, upper management might seriously consider coaching or other forms of leader development to improve outward displays of care and concern for others, improving their other-orientation overall.
7. Conclusion
This study provides empirical insight into the burgeoning field of servant leadership. In short, our findings provide initial evidence that servant leadership may indeed be an effective leadership behavior in terms of fostering a favorable service climate, inducing positive follower behaviors (i.e., helping coworkers and selling products) and reducing withdrawal (i.e., turnover intentions and disengagement). As organizations continue to embrace the ideals of servant leadership, we encourage additional study so that managers and scholars alike may better understand why and how servant leadership affects employees and organizations.
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- Servant leaders inspire servant followers: Antecedents and outcomes for employees and the organization
- 1. Introduction
- 2. Servant leadership as a construct
- 3. Servant leadership and the cycle of service
- 3.1. Leader personality and values
- 3.2. Individual-level servant leadership: reducing follower withdrawal
- 3.3. Store-level servant leadership: inspiring follower helping behavior
- 3.4. The mediating role of service climate
- 3.5. Sales behavior and store sales performance
- 4. Method
- 4.1. Sample
- 4.2. Procedure
- 4.3. Measures
- 4.3.1. Personality
- 4.3.2. Servant leadership
- 4.3.3. Service climate
- 4.3.4. Follower turnover intentions
- 4.3.5. Follower disengagement
- 4.3.6. Follower helping behavior
- 4.3.7. Follower sales behavior
- 4.3.8. Store sales performance
- 4.4. Analysis strategy
- 5. Results
- 5.1. Aggregation Analyses
- 5.2. Hypothesis tests
- 6. Discussion
- 6.1. Theoretical implications
- 6.2. Strengths, limitations, and future research
- 6.3. Practical implications
- 7. Conclusion
- References
The Awestruck Effect.pdf
The Leadership Quarterly 26 (2015) 627–641
Contents lists available at ScienceDirect
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j ourna l homepage: www.e lsev ie r .com/ locate / leaqua
The awestruck effect: Followers suppress emotion expression in response to charismatic but not individually considerate leadership
Jochen I. Menges a,⁎, Martin Kilduff b,1, Sarah Kern a,2, Heike Bruch c,3
a WHU — Otto Beisheim School of Management, Erkrather Str. 224a, 40233 Düsseldorf, Germany b University College London, Management Science & Innovation, Gower Street, London WC1E 6BT, UK c University of St. Gallen, Institute for Leadership and HRM, Dufourstrasse 40a, 9000 St. Gallen, Switzerland
a r t i c l e i n f o
⁎ Corresponding author. Tel.: +49 211 44709 335. E-mail addresses: [email protected] (J.I. Men
1 Tel.: +44 20 7679 2585. 2 Tel.: +49 211 44709 336. 3 Tel.: +41 71 224 2370.
http://dx.doi.org/10.1016/j.leaqua.2015.06.002 1048-9843/© 2015 Elsevier Inc. All rights reserved.
a b s t r a c t
Article history: Received 29 April 2014 Received in revised form 8 June 2015 Accepted 9 June 2015 Available online 2 July 2015
Editor: Janaki Gooty followers under the influence of leaders' charisma tend to suppress the expression of emotions
This study examines how followers regulate their outward expression of emotions in the context of two types of leadership that are commonly associated with transformational leadership, namely charismatic leadership and individually considerate leadership. Based on new theorizing and a series of three studies involving experiments and field work, we show that the two types of leadership have different effects on followers' emotional expressiveness. Specifically, we find that
(we call this the “awestruck effect”), but followers express emotions when leaders consider them individually. Awestruck followersmay suffer from expressive inhibition even as charismatic leaders stir their hearts.
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Keywords: Transformational leadership Charisma Individualized consideration Response-focused emotion regulation Emotion suppression
Emotion suppression – the “inhibition of one's own emotional expressive behaviorwhile emotionally aroused” (Gross & Levenson, 1993: 970) – is a common emotion regulation strategy through which people attempt to control their emotions and shape their outward expression of emotions. But this strategy is fraught with problems. When people suppress emotions, they experience decreased well-being, increased levels of strain and decreased job satisfaction (Schaubroeck & Jones, 2000; Côté & Morgan, 2002; John & Gross, 2004). Suppressing emotions negatively affects the exchange of information among people and interferes with the establishment and retention of high-quality relationships (Butler et al., 2003; Gross & John, 2003; Srivastava, Tamir, McGonigal, John, & Gross, 2009). Emotion suppression also increases physiological emotional responses, absorbs mental resources, deteriorates cognitive performance and impairs memory (Gross, 2002; Richards & Gross, 1999, 2000, 2006; Schmeichel, Volokhov, & Demaree, 2008). In light of these perils, an important question for leadership scholars is how leaders affect the extent towhich followers express or suppress their emotions.
Leadership research tells us that transformational leaders, in particular, lift the constraints on people's emotional expressiveness that are common in the workplace (Mann, 1999; Martin, Knopoff, & Beckman, 1998; Riggio & Reichard, 2008). Such leaders stir en- thusiasm and excitement, and “followers are likely to express these positive feelings in a particularly open and pronouncedmanner”
ges), [email protected] (M. Kilduff), [email protected] (S. Kern), [email protected] (H. Bruch).
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(Walter & Bruch, 2008: 247). But, burgeoning research in the area of status suggests that status differences entail the suppression of emotional expressiveness on the part of lower status people (i.e., followers) who defer to higher status people (i.e., transformational leaders) (Keltner, Gruenfeld, & Anderson, 2003). According to this view, transformational leaders, because they are admired by followers, inhibit the extent to which followers express emotions.
Through new theorizing and a series of three experimental and field studies, we reconcile these conflicting ideas about how trans- formational leaders affect followers' emotionally expressive behavior. Specifically, we resolve the conundrum concerning followers' emotional expressiveness in the context of transformational leadership by disaggregating transformational leadership into two major components — charisma and individualized consideration (Bass, 1985).4 We hypothesize that when leaders are charismatic, followers feel “exceptionally strong admiration” toward the leader (Waldman & Yammarino, 1999: 268) and are likely to constrain the expression of their emotions. But when leaders approach followers individually, followers are encouraged to articulate their needs; thus they are likely to overcome the status-induced inhibition and openly express their emotions. Thus our research advances the idea that both charisma and individualized consideration affect followers' emotional expressiveness, but in quite different ways.
By disaggregating the construct of transformational leadership into two components and by examining how each component affects followers' regulation of emotional expressiveness, we advance a more fine-grained understanding of the workings of specific types of leadership. We respond to calls to consider the effects of distinct components of transformational leadership (cf. Van Knippenberg & Sitkin, 2013) — in our case, charisma and individualized consideration. Despite high empirical correlations between charisma and individualized consideration on leadership measures (e.g., Bass, 1999), many charismatic leaders exhibit the absence of individually considerate behavior and many individually considerate leaders are not charismatic (Goffee & Jones, 2000). Our research contributes to transformational leadership by treating charismatic leadership and individually considerate leadership as two separate leadership styles, each with a distinct effect on followers' emotional expressiveness.
We advance a better understanding of followers' emotion regulation in the context of such leadership. A well-established frame- work (Gross, 1998, 2013) suggests that emotion regulation – whether intrapersonal or interpersonal – occurs at two stages in the emotion process. At the antecedent-focused stage, emotion regulation pertains to generating, amplifying, reducing or changing emo- tional experience. At the response-focused stage, emotion regulation deals with the modulation of emotion expression once emotions are experienced; this stage often entails the suppression of emotion expressions. The antecedent-focused stage of emotion regulation has been well examined in the context of charismatic leadership. Charismatic leaders enhance (i.e., up-regulate) followers' emotions, for example, with visionary speeches from the podiumorwith symbolic acts involving courageous behaviors (cf. Bass, 1985; Conger & Kanungo, 1987). Through shifting attention, reframing and reappraisal, charismatic leaders change theway followers feel (Dvir, Kass, & Shamir, 2004; Wasielewski, 1985), often communicating positive emotions to followers (e.g., Bono & Ilies, 2006; Erez, Johnson, Misangyi, LePine, & Halverson, 2008). Thus charismatic leaders effectively regulate their followers' emotional experiences. But the response-focused stage of emotion regulation in the context of leadership has been neglected. This study shifts attention from the well-examined antecedent-focused stage of the emotion regulation process (i.e., how leaders influence followers' emotional experi- ence) to the neglected response-focused stage (i.e., how leaders influence followers' emotional expression). This study concerns followers' emotional expressiveness in general, not specifically the expression or suppression of those emotions that the leader evoked or of any other specific discrete emotions, and we assume that the emotionally constraining effect of charisma and the liber- ating effect of individualized consideration apply to both positive and negative emotions. Organizational contexts bear a great variety of emotions (Weiss & Cropanzano, 1996), and people are likely to suppress not just negative, but also positive emotions in work settings (Clark, 1990; Erber, Wegner & Therriault, 1996; Mann, 1999; Shields, 2005).
Charismatic leadership and followers' expressive suppression of emotion
Extant research on emotional expressiveness in the context of leadership has focused mostly on leaders rather than on followers (Rajah, Song, & Arvey, 2011), emphasizing that leaders who vividly express emotions are likely to be seen as charismatic (Damen, Van Knippenberg, & Van Knippenberg, 2008; Friedman, Prince, Riggio, & DiMatteo, 1980; Groves, 2006; Johnson, 2008). Charismatic leaders use excitement and enthusiasm in their persuasive appeals to followers (Erez et al., 2008;Weber, 1978). Indeed, leaders' emo- tional expressions tend to be more important than verbal messages in convincing followers (Newcombe & Ashkanasy, 2002). The emotional expressiveness of leaders is thus a key component of successful leadership (Riggio & Reichard, 2008) and an inherent part of charismatic leadership.
In contrast to this relatively comprehensive picture of how leaders' charisma and leaders' emotional expressiveness relate to each other, our understanding of how followers regulate their emotional expressiveness in response to charismatic leaders remains spec- ulative. That charismatic leaders express their emotions openly has been taken to imply that followers, under the influence of char- ismatic leadership, feel relatively unconstrained in their emotional expression (e.g., Walter & Bruch, 2008). Several studies suggest that leaders transfer their emotions to followers through a mimicry process that involves followers displaying the same emotion as the leader (e.g., Bono & Ilies, 2006; Erez et al., 2008; Johnson, 2008; Sy, Côté, & Saavedra, 2005). A neglected possibility, however, is that emotion contagion occurs by other ways such as emotional comparisons, vicarious affective experiences, or intentional affective influence (Bartel & Saavedra, 2000; Elfenbein, 2014; Gooty, Connelly, Griffith, & Gupta, 2010; Kelly & Barsade, 2001; Niedenthal & Brauer, 2012). For example, a study of audio-taped speeches showed that speech imagery induces positive affect and triggers
4 The third component of transformational leadership is intellectual stimulation (Avolio & Bass, 1991). Whereas intellectual stimulation is primarily a cognitively driven process, charisma and individualized consideration are likely to involve emotions and are thus the two focal components of transformational leadership in this research.
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perceptions of leader charisma, without mimicry of leaders' expressions (Naidoo & Lord, 2008). A study involving students rating video clips of two US presidents (Cherulnik, Donley, Wiewel, &Miller, 2001: Study 2) showed that student raters smiledmore during the non-charismatic sections of one US president's responses but also smiled more during the charismatic sections of the other US president's responses. Such inconsistency indicates that the processes by which charismatic leaders affect followers' mimicry are more complex than previously thought.
We suggest that status differences between charismatic leaders and those they influence inhibit followers' expression of emotions in the context of charismatic leadership. Charismatic leaders offer followers compelling and emotionally appealing visions of the future that differ from the status quo and emphasize the need for change (Awamleh & Gardner, 1999). These leaders portray them- selves as risk takers who show unconventional behaviors and demonstrate courage (Conger & Kanungo, 1987). They express positive emotions (Bono & Ilies, 2006; Erez et al., 2008) that signal confidence and optimism to followers even in face of adversity (Conger & Kanungo, 1998). The range of behaviors exhibited by charismatic leaders is characteristic of people possessing high status and power (Keltner et al., 2003).
And, indeed, leadership scholars describe charismatic leaders in terms of high status given that status can be understood as “the extent to which an individual or group is respected or admired by others” (Magee & Galinsky, 2008: 359). For example, charis- matic leaders are reported to be “admired” (Bass, Avolio, Jung, & Berson, 2003: 208) and to possess “a specialmagnetic quality thatfills followerswith awe and adoration” (Lipman-Blumen, 1996: 30). For charismatic leaderswhooften lack formal power, thedifference in status between themselves and their followers, provides leaders with informal power and facilitates leaders' exercise of authority (Howell & Shamir, 2005; Weber, 1978).
When followers assign a high status to a charismatic leader, they are likely to adopt lower status behaviors for themselves (Howell & Shamir, 2005). Thus followers are likely to experience automatic inhibition-related processes entailing tendencies to abide by social constraints and to refrain from emotional expression (cf. Keltner et al., 2003). Studies show that, relative to high-status and high- power individuals, low-status and low-power individuals suppress emotional display, refrain from showing true emotion, and restrict body movement (Ellyson & Dovidio, 1985; Keltner, Young, Heerey, Oemig, & Monarch, 1998; Tiedens & Fragale, 2003). Similarly, we suggest that followers, in response to being exposed to charismatic leadership, engage in the suppression of emotion expression.
The suppression of emotional expressions is likely to be an important ingredient in the non-bureaucratic status-granting process by which followers confirm thehigh status of charismatic leaders (cf. Beyer, 1999; Clark, 1990; Sweetman, Spears, Livingstone, &Manstead, 2013). Because leaders are able to exert charisma only as long as “the sentiments of the followers toward the leader are characterized by awe” (Spencer, 1973: 347; see alsoWillner, 1968), charismatic leaders and their followers are engaged in a continuous reaffirmation of the status differences between them. Statuses are established and affirmedwhen dominant, assertive behavior by one party is matched by submissive behavior by the other party (Grant, Gino, &Hofmann, 2011; Kiesler, 1983). Accordingly, followers are likely to reciprocate the strong emotion expression that is characteristic of charismatic leaders (Friedman et al., 1980; Willner, 1968) by suppressing their own expressiveness.
Indeed, interactions between people of lower andhigher status are characterized not by lower statusmimicry of higher status non- verbal behavior, but by complementarity (Tiedens & Fragale, 2003). Mimicry of nonverbal behavior, including charismatic behavior and emotional expressiveness, is more likely to occur in egalitarian relationships than in leader/follower relationships. People mimic each other's moods and emotions in leaderless groups (Barsade, 2002) and students mimic their peers' charismatic smiles and attentiveness in the absence of any defined leader/follower relationship (Cherulnik et al., 2001: Study 1). But in cases where charismatic leadership behavior establishes a hierarchical relationship, the leader's dominant behavior is likely to invite submissive responses from followers (cf. Locke & Sadler, 2007). Rather than mimicking in their nonverbal behaviors the emotional expression of charismatic leaders, followers are likely to subdue such expression.
The expression of emotions can only be suppressed if emotions are actually experienced (Gross & Levenson, 1993). And, as pre- vious research demonstrates, people have difficulty completely disguising how they feel (Kennedy-Moore & Watson, 2001a). Those suppressing emotional expressions often show signs of “leakage” in the form of subtle facial expressions or body movements indicating emotional arousal (Ekman & Friesen, 1969: 88). Thus people under the influence of charismatic leaders may show leaked expressions that may give hints about the intensity of their felt emotions (Gross & Levenson, 1993).
In conclusion, when followers look up to leaders and attribute charisma to them, they are likely to feel inhibited in their emotional expressiveness. Deference in the presence of charisma is common in organizations (Conger, Kanungo, & Menon, 2000). The early social psychologist McDougall (1919: 95) pointed out: “in the case of a person whom we intensely admire, we become shy, like a child in the presence of an adult stranger; we have the impulse to shrink together, to be still, and to avoid attracting his attention” (see also Keltner&Haidt, 2003; Schindler, Zink,Windrich, &Menninghaus, 2012). Thus, charismatic leadersmake followers “awestruck” (Shamir, Arthur, & House, 1994: 31) — full of bottled-up emotion that followers are unable to openly express.
Hypothesis 1. Followers' perceptions of charismatic leadership are positively related to followers' suppression of emotion expression.
Individually considerate leadership and followers' expressive suppression of emotion
When leaders offer individualized consideration, followers are likely to open up and express their emotions. Individualized con- sideration involves both developmental and supportive leadership (Rafferty & Griffin, 2006). Individually considerate leaders foster followers' development by delegating assignments to followers as opportunities for growths, and by helping followers through these assignments to warrant learning and success (Bass, 1999). Individually considerate leaders thus act as coaches and mentors,
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reflecting with their followers on the challenges inherent in assignments as a way to prepare followers for increasingly demanding tasks (Bass, 2008: 622). Individually considerate leaders also provide personal support for their followers, helping followers to cope with stress and deal with emotional problems in the workplace (House, 1981; Toegel, Kilduff, & Anand, 2013). By offering sympathy and by taking followers' individual concerns andworries into accountwhenmaking decisions, individually considerate leaders ensure the well-being of their followers and enable followers to work effectively (Avolio & Bass, 1995).
Key leadership behaviors in providing individualized consideration are attending to and acknowledging followers' needs (Bass, 1985; Rafferty & Griffin, 2006). Psychological research suggests that needs are often articulated through the expression of emotions (Kennedy-Moore & Watson, 2001b). For example, in a work context, the expression of boredom may signal a need for stimulation, the expression of fear may reveal a need for reassurance, the expression of anger may show a need for justice, and the expression of excitement may indicate a need for support to seize an opportunity (cf. Frijda, Kuipers, & ter Schure, 1989). If “emotion expression communicates unique information about needs” (Monin, Martire, Schulz, & Clark, 2009: 102), and if individualized consideration is about paying “special attention to each individual follower's needs”, then leadersmust allow and encourage followers to express emo- tions in order to effectively provide individualized consideration.
Indeed, individual consideration is closely linked with interpersonal communication — not the inspirational, motivational kind that charismatic leaders propel, but the caring, attentive two-way communication by which leaders explain their actions and followers get a chance to ask questions and share their concerns.When offering individualized consideration, it is essential for leaders to “listen effectively” to their followers in order to understand followers' needs and perspectives (Bass & Riggio, 2006: 7). In this pro- cess ofmutual sharing of thoughts, ideas, opinions and feedback, it is likely that followerswill mention their feelings and disclose their emotions.
Emotion expression, both nonverbal and verbal, is an important ingredient in building and maintaining the personalized re- lationships that individually considerate leaders foster with their followers. It is through these close relationships with fol- lowers – relationships that stand in contrast to the exchange-oriented relationships typically seen in workplaces – that individually considerate leaders distinguish themselves (Bass, 1985). The sense of familiarity and communality that prevails in these relationships both promotes and gets reinforced through the expression of emotions (Clark & Finkel, 2005; Clark & Taraban, 1991). Indeed, people are more likely to express and share their emotions with those they trust (Kennedy-Moore & Watson, 2001b). And trust is enhanced in leader–follower relationships in which leaders provide individualized consideration (Zhu, Newman, Miao, & Hooke, 2013). When followers express emotions, including negative ones, the personalized relationship with the leader gets strengthened (cf. Rimé, 2007).
To the extent that leaders provide individualized consideration, status and power differences in the leader–follower relationship are likely to get reduced or move to the background, hence inhibition tendencies are likely to diminish and followers are likely to feel relatively free to express their emotions. By developing and supporting their followers, individually considerate leaders help followers reach “successively higher levels of development” (cf. Bass, 1985; Rafferty & Griffin, 2006). Thus the statuses of followers are likely to progress to higher levels. And in their personalized interactions with followers, individually considerate leaders are likely to deemphasize the hierarchical status- and power-related differences between leader and follower in order to facilitate amore egalitar- ian, closer relationship.
Followers' inhibition tendencies are unlikely to vanish completely in the context of individualized consideration. But within the given constraints, we suggest that individually considerate leaders foster emotion expression. Thus a followerwho perceives the leader as someone who cares about the follower's feelings will feel relatively free to show emotions.
Hypothesis 2. Followers' perceptions of individually considerate leadership are negatively related to followers' suppression of emotion expression.
We examined the two hypotheses across three studies that involve experiments and a field survey. In the first study, we focused exclusively on the awestruck effect — the inhibition of followers' emotion expression in response to charismatic leadership, as de- scribed in Hypothesis 1. Given that charismatic leaders are distinguished in part by their strong appeals to the emotions of followers, it was important to test whether charismatic leadership has a suppressive effect on followers' emotion expression. In the remaining two studies, we tested again for the suppressive effect on emotional expressiveness of charismatic leadership (Hypothesis 1), but also for the emotionally permissive effect of individualized consideration (Hypothesis 2). We anticipated no difference in expressive sup- pression for positive or negative emotions, given that our reasoningwas independent of the valence of the emotions. But because pos- itive and negative emotions differ fundamentally (Schwarz, 1990), it was imperative to establish that the anticipated effects held for both positive and negative emotions. Thus, thedesigns of ourfirst two studies feature conditionswith different emotional valence that allow us to test whether the hypotheses are supported for both positive and negative emotion.
Study 1: priming experiment
Webegin our empirical workwith a priming study inwhichwe asked participants to recall andwrite about either a charismatic or a general leader. We then exposed participants to either a positive or negative emotion-inducing video clip. We expected that partic- ipants primed with charismatic leadership would be less emotionally expressive while watching the video clip than those who were primed with leadership in general. We chose the priming procedure to account for the inherently subjective attribution process by which people ascribe charisma to leaders (Avolio & Yammarino, 1990; Brands, Menges, & Kilduff, in press).
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Methods
Participants Werecruited 129 participants (meanage=24; 40men, 89women) from institutions of higher education inGermany to participate
in a research study for compensation. The participants averaged four years of work experience, mainly in part-time service jobs.
Procedure and measures We devised a laboratory priming experiment with a 2 × 2 between-subjects design, crossing two priming conditions (char-
ismatic leadership priming vs. leadership control priming) and two emotional valence conditions (positive vs. negative). Partic- ipants were seated in front of a computer and after providing some demographic information were assigned to one of the four experimental conditions. The effects of charismatic leadership were induced by priming participants to think of a leader they had previously worked with, who was a role model for them (i.e., displayed idealized influence; Bass, 1999) and who they per- ceived as inspiring (i.e., provided inspirational motivation; Bass, 1999). Participants in the charismatic leadership priming condi- tion noted leader demographic information (age, area, working relationship) and wrote about the charismatic leader for ten minutes describing the leader and explaining why they admired the leader. This procedure was designed to activate the specific mental content, or stereotype, of a charismatic leader. In the leadership priming control condition, participants were asked to think of a leader they had previously worked with, provide demographic information, and write about that leader for ten mi- nutes explaining how they perceived his or her leadership style. This procedure primed the concept of a leader, but did not spe- cifically invoke charismatic leadership.
The next step consisted of the exposure of the participants to a positive or negativemovie clip of identical length (90 seconds) that was taken from a pretested set of emotion-inducing movie clips (Hewig et al., 2005). The positive movie clip showed a cou- ple happily reuniting, whereas the negative clip showed a couple losing a beloved friend. To check the emotion-induction ma- nipulation, we asked participants before and after the movie how they felt at this moment on a continuous 10 cm line ranging from “negative” to “positive.”
While participants watched themovie clip, a video camera recorded their facial expressions. Toward the end of the session, partic- ipants responded to a brief questionnaire about their work experience. Finally, we captured on video an emotional baseline by asking each participant to display a neutral, happy, and sad facial expression. Participants were debriefed and received compensation.
Expressive suppression was assessed based on the 129 video recordings of the participants. These videos were edited so that each startedwith participants' baseline expressions and continuedwith emotional expressions recorded during exposure to themovie clip. Videos were rated by three independent coders (2women, 1man;mean age= 37) blind to the purpose of the studywho, in pretests, scored above 75% on the Diagnostic Analysis of Nonverbal Accuracy 2 (DANVA; Nowicki, 2000). Following procedures established in prior work (e.g., Gross & Levenson, 1993, 1997), coders rated each recording for the expression of negative and positive emotions on scales that ranged from 1 (not shown at all) to 7 (strongly shown). For each recording, we calculated expressive suppression by averaging the scores and thenmultiplying the resulting score by−1 and adding 7: the higher the score, themore expressive suppres- sion. Agreement among coders was satisfactory, as indicated by values below the defined threshold of the average deviation index: ADmean = .77, ADmedian = .77 (Burke & Dunlap, 2002; Burke, Finkelstein, & Dusig, 1999).
Results
We first checked whether our emotion induction procedure was successful. After watching the positive movie clip, participants were significantly happier (M = 6.80, SD = 1.87) than before (M = 6.31, SD = 1.81), t(66) = 2.31, p b .05, and after watching the negative movie clip, they were significantly sadder (M = 4.46, SD = 1.84) than before (M = 6.26, SD = 1.95), t(57) = 5.80, p b .001. There were no significant differences in emotional experience between the charismatic leadership condition and the control conditions before the movie clip t(125) = .75, ns, or after the movie clip, t(123) = − .67, ns, thus the priming had no effect on participants' feelings.
Next, we inspected the effects of the manipulations on the dependent variable. To examine whether charismatic leadership was associated with expressive suppression, as suggested by Hypothesis 1, we conducted an ANOVA with the priming conditions and emotional valence conditions as fixed factors. We found a significant main effect for charisma, F(1,125) = 8.31, p b .01, η2 = .06. As Table 1 shows, participants who brought charismatic leaders to mind tended to suppress the expression of emotions (M = 4.06, SD= .78) compared to participants who reflected on leaders in general (M= 3.74, SD= .46), t(127) =−2.86, p b .01. The valence
Table 1 Study 1: means and standard deviations for key variables by condition.
Positive emotion condition Negative emotion condition
Charisma condition Control condition Charisma condition Control condition
Emotion before the video 6.25 (2.14) 6.37 (1.43) 6.09 (2.00) 6.48 (1.86) Emotion after the video 6.64 (2.23) 6.94 (1.45) 5.00 (1.64) 3.92 (1.92) Emotion suppression during video 3.97 (.90) 3.68 (.50) 4.16 (.61) 3.80 (.40) n 33 34 30 30
Values are means, with standard deviations in parentheses. Values in the last row count the number of participants in each condition.
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of the emotion had no significant effect on suppression, F(1,125) = 1.82, ns, even though there was a mild trend for participants watching the negative movie clip to exhibit more expressive suppression (M = 3.98, SD = .54) than those watching the positive clip (M = 3.83, SD= .74), t(127) = −1.29, ns. The valence of the movie clip also did not affect the relationship between charisma and expressive suppression: there was no interaction between the priming conditions and the emotional valence conditions, F(1,125) = .11, ns. Consistent with Hypothesis 1, these results suggest that charismatic leadership was associated with expressive suppression.
Discussion
The first study focused specifically on the idea that charismatic leadership induces a tendency to suppress emotions in followers. The findings suggest that when people bring tomind a charismatic leader, they indeed tend to be inhibited in their emotional expres- siveness. This inhibition affected both participants experiencing positive emotions and those experiencing negative emotions. Thus this study provided initial support for our theorizing.
The experimental setting featured people recalling their experiences with leaders. This setup was akin to people's experiences in organizations, in which people are prompted by in-house stories, messages, and photographs to think about their leaders. But the ex- perimental priming procedure we used provided little control over the particular type of leaders recalled. Some of the leaders that participants recalledmay have been both charismatic and individually considerate. In Study 2wemanipulated charismatic leadership and individualized consideration independently of one another. Also, the manipulation checks for the emotion induction showed rel- atively small differences. Thus, in the next study we chose an emotion induction that was more closely linked to the leadership context.
Study 2: scenario experiment
In the second study, we experimentally tested the effects of both charismatic leadership and individualized consideration on followers' suppression of positive and negative emotions. We devised a 2 × 2 × 2 vignette-design experiment. The vignettes described a typical business scenario that differed in leader charisma (high vs. low), leader individualized consideration (high vs. low), and emo- tional valence of the situation (positive vs. negative).We presented participants with one of eight versions of the vignette and expected participants to be more likely to suppress emotions when leader charisma was high, and individualized consideration was low.
Methods
Participants The study was conducted as part of an undergraduate organizational behavior course at a Swiss university. Out of 278 students
attending the course, 260 (159 men, 96 women, 5 gender information missing) turned in valid questionnaires. Their mean age was 23, and they averaged two years of work experience, mainly internships and part-time jobs.
Procedure and measures Participants were asked to read and respond to one of eight randomly chosen versions of a workplace vignette. The person in the
vignette (referred to as “you”) had graduated from university and had been employed for six months. In the charisma-high condition, the vignette continued: “In his working style your supervisor is a truly inspiring role model. You can learn a lot from him, you admire your supervisor and one day you want to do your work like him,” following Bass's (1985, 2008) descriptions of the characteristics of charismatic leaders. In contrast, in the charisma-low condition, the vignette continued: “In his working style your supervisor is an ordinary supervisor. You think that he is doing his work like an average supervisor, you do not feel any special admiration for him and your collaboration is normal.” In the individualized-consideration-high condition the vignette continued, “Personally, you have a good, friendly relationship with your supervisor,” following Bass' description that individually considerate leaders “personalize rela- tions” (Bass, 2008: 622) and seek communal relationship with their followers that stand in contrast to type of “the formal, distant re- lationship” usually seen in workplaces (Bass, 1985: 37). In the individualized-consideration-low condition the vignette continued, “Personally, you have a polite, distant relationship with your supervisor.”
Note thatwe deliberately avoided using the terms charisma and individualized consideration or describing these constructs too ob- viously in order to avoid demand effects. However, to check whether our descriptions triggered the intended constructs, we followed up on the leadership manipulation with six items from the Transformational Leadership Behavior Inventory (Podsakoff, MacKenzie, Moorman, & Fetter, 1990) tomeasure (on five-point Likert scales) participants' perceptions of the frequency (1= never; 5= always) with which they expected the supervisor to exhibit charisma (three items; α = .86) and individualized consideration (three items; α = .82). A sample item for charisma was: “My supervisor provides a good model to follow;” whereas the items for individualized consideration included: “My supervisor behaves in a manner that is thoughtful of my personal needs.” These items were used to confirm the intended manipulation. These items, like all items derived from English-language sources in Studies 2 and 3, were trans- lated into German by a professional translation service and then subjected to a double-blind, back-translation procedure (Schaffer & Riordan, 2003).
All versions of the vignette continuedwith details concerning how theparticipant had responsibility for a new, highly-desired pro- ject inwhich the participant invested a great amount of effort. Aftermonths of hardwork, followedby a presentation of themain ideas to seniormanagement, the participantwas called into the supervisor's office. In the positive-emotion condition the vignette continued,
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“The project is so interesting to the seniormanagement that you have been invited to aworkshop nextweek to discuss the realization of your ideas;” whereas in the negative-emotion condition the vignette continued, “The project will not receive any further support from the senior management. It is clear that the resources for it will not be forthcoming in the future and that the realization within the next five years is not possible.”
After participants experienced project success or failure, we used six items from the Positive andNegativeAffect Schedule (PANAS; Watson, Clark, & Tellegen, 1988) tomeasure (on five-point Likert scales) how strongly (1=not at all; 5= very strongly) participants experienced positive emotion (three items including “excited”; α = .87) and negative emotion (three items including “distressed”; α = .86).
Then we asked participants to complete four adapted items (α = .91) of the suppression dimension of the Emotion Regulation Questionnaire (ERQ; Gross & John, 2003) to measure the extent to which the participant agreed with statements concerning their willingness to show emotions to the supervisor. Statements included “I keep my emotions to myself.” The seven-point Likert scale ranged from 1 (do not agree at all) to 7 (completely agree). The suppression items of the ERQwere developed based on the definition of emotion suppression that we adopted for this paper (Gross & Levenson, 1993).
After participants had completed reading the vignette, the study concluded with demographic questions.
Results
The means and standard deviations of the focal variables are listed for each condition in Table 2. We began by examining the effectiveness of our experimental manipulations. The leadership manipulations were successful: participants in the charisma condition perceived supervisors to be more charismatic (M = 3.94, SD = .67) than did participants in the regular supervisor condition (M = 2.66, SD = .63; t[258] = 16.04, p b .001), whereas participants in the individualized consideration condition perceived supervisors as more often supporting them personally (M = 3.62, SD = .74) than did participants in the distant supervisor condition (M = 2.76, SD= .63; t[258] = 10.05, p b .001). The emotion manipulation was also successful. In the positive emotion condition, participants reported stronger positive emotions (M= 4.31, SD= .57) than did participants in the negative emo- tion condition (M= 2.12, SD= .63; t[258]=−29.27, p b .001). Vice versa, in the negative emotion condition, participants reported stronger negative emotions (M = 3.23, SD = .77) than did participants in the positive emotion condition (M = 1.20, SD = .52; t[258] = 25.05, p b .001).
Then,we conducted anANOVAwith the charismatic leadership conditions, the individually considerate leadership conditions, and emotional valence conditions as fixed factors to examine the effects of themanipulations on the dependent variable: expressive sup- pression. First, we checked whether charismatic leadership was positively associated with expressive suppression, as suggested by Hypothesis 1. We found weak support for this hypothesis with the main effect for charisma, significant at p b .10 (F(1,252) = 3.29, p= .071, η2 = .013). Participants who worked with the charismatic leader tended to report the suppression of emotion expressive- ness (M= 3.94, SD= 1.38) compared to participants whoworkedwith the regular leader (M= 3.62, SD= 1.35); t(258)=−1.92, p = .056. Second, we examined the association of individually considerate leadership with expressive suppression to test Hypothesis 2. There was a significant main effect for individualized consideration, F(1,252) = 25.81, p b .001, η2 = .09. In line with expectations, participants whose leader offered them individualized consideration were less likely to report holding back their emo- tions (M = 3.40, SD = 1.30) than participants who had a personally inattentive leader (M = 4.23, SD = 1.32); t(258) = 5.10, p b .001. Hypothesis 2 was supported. The main effect for emotional valence was significant at p b .10 (F(1,252) = 3.64, p = .057, η2= .014). Thus, therewasweak support for the idea that negative-event participants tended to suppress the expression of emotions more (M= 3.93, SD= 1.40) than the positive-event participants (M= 3.63, SD= 1.33); t(258) =−1.75, p= .082. There were no two-way or three-way interactions between the charismatic leadership conditions, the individually considerate leadership conditions, and emotional valence conditions.
Table 2 Study 2: means and standard deviations for key variables by condition.
Positive emotion Negative emotion
Charisma high Charisma low Charisma high Charisma low
Individualized consideration high
Individualized consideration low
Individualized consideration high
Individualized consideration low
Individualized consideration high
Individualized consideration low
Individualized consideration high
Individualized consideration low
Perceptions of charisma 4.08 (0.69) 3.78 (0.68) 2.67 (0.70) 2.53 (0.49) 4.15 (0.59) 3.74 (0.64) 2.84 (0.71) 2.56 (0.49) Perceptions of individualized consideration
3.70 (0.80) 2.78 (0.60) 3.45 (0.74) 2.61 (0.62) 3.54 (0.61) 2.87 (0.67) 3.78 (0.79) 2.77 (0.63)
Positive emotion 4.29 (0.67) 4.22 (0.60) 4.36 (0.54) 4.34 (0.47) 2.22 (0.65) 1.93 (0.54) 2.08 (0.61) 2.26 (0.68) Negative emotion 1.22 (0.56) 1.24 (0.60) 1.22 (0.49) 1.13 (0.44) 3.00 (0.78) 3.23 (0.77) 3.26 (0.84) 3.46 (0.59) Emotion suppression 3.51 (1.32) 4.07 (1.23) 3.01 (1.26) 4.06 (1.26) 3.66 (1.30) 4.61 (1.33) 3.43 (1.28) 4.18 (1.48) n 35 32 36 31 32 30 37 27
Values are means, with standard deviations in parentheses. Values in the last row count the number of participants in each condition.
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Discussion
Corroborating the results of thefirst study, we showed that followers of a charismatic leader tended to suppress emotional expres- sion. And the suppression of emotional expression lifted to the extent that leaders were perceived to attend to followers' needs. The results thus suggested that the effects of charismatic leadership and individually considerate leadership on followers' emotional expressiveness are in different directions, in line with our hypotheses. Study 2, like Study 1, used the experimental method that permitted inferences concerning causality. But both Study1 and Study 2 are limited in their external validity, thus calling into question whether the findings observed in controlled experimental settings replicate in real organizational settings. We conducted a further study in order to test our hypotheses in the field.
Study 3: field study
We examined the external validity of our theory through a field study in an organization.We asked employees of a large company to evaluate their team leaders on a standard measure of transformational leadership, and we also asked employees whether they tended to express or suppress their emotions at work on a standard measure of expressive suppression. In our analyses we sought to differentiate between charisma and individualized consideration as components of transformational leadership to see how each component related to followers' expressive suppression of emotions.
Methods
Participants and procedures In conjunction with the human resources department of a German-based multinational automotive component company, we
selected 94 teams across a range of white-collar jobs. The vice president of human resource development sent an e-mail to the 94 team leaders, asking them to forward a link to an online survey to all teammembers. The surveywas available in English and German language versions. Each team had a unique identification code, enabling us tomatch the teammembers' responses with team leaders. Complete surveys were provided by 186 teammembers (150men, 36women,mean age= 42,mean tenure= 8 years) representing 53 teams (56% team-level response rate), of which 43 were located in Europe and 11 were located on other continents (eight in America, one in Asia, one in Africa).5 The majority of respondents responded in English (68%). For 10 teams, a single team member answered. In the remaining 44 teams, two to eight team members provided answers, for an average of four responses per team. We were unable to calculate the within-team response rate, as we had no access to data confirming the total number of team members per team.
Measures To assess the charisma and individualized consideration of team leaders,we asked each teammember to respondon 5-point scales
(1= not at all; 5 = frequently, if not always) to items from the Multifactor Leadership Questionnaire (MLQ 5X short; Bass & Avolio, 1995). We measured each individual's perception of team leader charisma by combining 12 items (α = .93) concerning idealized influence and inspirational motivation into a single charisma score; andwemeasured individuals' perceptions of team leader individ- ualized consideration by combining four items (α= .74) (for details see Avolio, Bass, & Jung, 1999).We checkedwhether teammem- bers within the same team converged in their ratings of the team leader, and whether there was variance in team leader ratings between different teams. ICC(1) values of .18 for charisma and .17 for individualized consideration suggested that this was the case. ICC(2) values were .45 for charisma and .43 for individualized consideration. There were significant mean differences among team leaders for charisma (F = 1.80, df = 53, 145, p b .01) and for individualized consideration (F = 1.74, df = 53, 145, p b .01). Furthermore, median rwg values using a normal distribution were .88 for charisma and .83 for individualized consideration (James, Demaree, & Wolf, 1984) indicating strong within-team agreement (LeBreton & Senter, 2008). To account for the non-independence of teammembers' ratings, we aggregated the ratings to the team level and assigned a team-level score for charisma and individualized consideration to each team leader.
Emotion suppressionwas assessedwith four items (α= .81) that constitute the suppression dimension of the Emotion Regulation Questionnaire (ERQ; Gross & John, 2003). Team members rated the extent to which they suppressed emotions at work on a 5-point scale from 1 (strongly disagree) to 5 (strongly agree). A sample item read: “I keep my emotions to myself.”
As control variables at the team-member level, we included gender (0 = male, 1 = female) and language (0= English, 1 = German). At the work-team level, we included location (0 = Europe, 1 = elsewhere).
Analysis
To account for the non-independence of team members' ratings due to leader effects, we analyzed the data using hierarchical linear modeling (HLM, version 6.08, Raudenbush, Bryk, & Congdon, 2009). To find out whether the team leader at level 2 affected the expressive suppression of each teammemberwithin the leader's teamat level 1,we looked for cross-levelmain effects of charisma
5 In an additional robustness analysis we excluded the teams from Asia and Africa to control for cross-cultural comparison problems. The results remained unchanged.
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and individualized consideration on emotion suppression (Hofmann, 1997). An important consideration in HLM is the standardiza- tion of variables. In line with other research on cross-level effects of leaders on followers (e.g., Kirkman, Chen, Farh, Chen, & Lowe, 2009), we ran the hierarchical linear modeling with raw score variables, without centering, to examine the unique effects at level 1 and level 2 (Hofmann & Gavin, 1998). The pattern of results did not change if group-mean or grand-mean centering was employed.
Results
Means, standard deviations, and bivariate correlations for the study variables are presented in Table 3. There were no significant correlations between expressive suppression and the two leadership variables (charismatic influence and individualized consider- ation). But the two leadership variableswere themselves strongly positively correlated (r= .82, p b .001), in linewithmuch prior re- search using the MLQ (Van Knippenberg & Sitkin, 2013). We conducted a confirmatory factor analysis to examine the discriminant validity of the measures. The latent factors charisma and individualized consideration were strongly positively correlated (r = .95, p b .001). We computed the average variances extracted (AVE) for each factor, which should be greater than .50 to provide evidence for convergent validity, and the shared variance (SV), which should be smaller than the AVE values to provide evidence for discrim- inatory validity, followingmethodological recommendations (Farrell, 2010; Fornell & Larcker, 1981). The AVE valueswere .50 for cha- risma and .43 for individualized consideration, and the SV valuewas .90.We then compared the two-factor solutionwith a one-factor solution. There was weak support at the p b .10 level (Δχ2 = 3.30, p= .069) for the anticipated better fit of the two-factor solution (χ2 = 280.93, df = 103, CFI = .88, TLI = .84, RMSEA = .097) relative to the one-factor solution (χ2 = 284.23, df = 104, CFI = .88, TLI = .84, RMSEA = .097).
Due to the lack of distinctiveness of the measures, the study hypotheses could not be tested. The results of exploratory analyses involving hierarchical linear modeling are presented in Table 4. As shown in Step 1, whether the team members were men or women andwhether they used English or Germanmade no difference to their expressive suppression level: therewere no significant associations between teammember expressive suppression and the control variables. Step 2 shows cross-level main effects of team leader charisma (γ= .51, p b .01) and team leader individualized consideration (γ=− .47, p b .01) on teammember expressive sup- pression. The findings could be affected by the lack of discriminant validity of themeasures and bymulticollinearity, due to the strong correlation between charisma and individualized consideration. To assess the risk of multicollinearity, we calculated the variance in- flation factor (VIF) for charisma and individualized consideration based on the correlation provided in Table 3. TheVIFwas 3.03,which is lower than common recommended thresholds of 5 or 10 (Cohen, Cohen, West, & Aiken, 2003). A VIF of 3.03 implies that the stan- dard errors of the estimates are 1.74 times higher than theywould be if charisma and individualized considerationwere uncorrelated. The standard errors of charisma and individualized consideration were not particularly high, and the results remained unchanged when robust standard errors were used.
In additional exploratory analyses we excluded the teams with single respondents. The results remained unchanged for estima- tionswith robust standard errors.We also ran analyseswithout the control variables (Becker, 2005). Again the resultswere not affect- ed. Finally, as part of the MLQ, we also measured with four items the third component of transformational leadership, that is intellectual stimulation (α = .77). There was no evidence for discriminatory validity for the measure of intellectual stimulation. If we include intellectual stimulation as an additional predictor of emotion suppression, the coefficients for charisma and individualized consideration remained significant and in the same direction, whereas the coefficient for intellectual stimulation was not significant.
Discussion
With Study 3 we endeavored to extend the results of the experimental studies to a field setting to grant some external validity to our research. In the context of work teams in a multinational company, wemeasured team leaders' charisma and individualized con- sideration with theMLQ to examine the effects of each leadership type on followers' emotion suppression. The results indicate issues with the discriminant validity between charisma and individualized consideration. Future field work would benefit from developing and applyingmeasures of leadership that better distinguish between charisma and individualized consideration as separate variables than theMLQ. Furthermore, untying themeasurement of leadership styles from themeasurement of emotion suppression can counter
Table 3 Study 3: descriptive statistics and bivariate correlations.
Correlations
M SD 1 2 3 4 5
1. Emotion suppression 2.87 .75 (.81) 2. Charisma 3.81 .69 .03 (.94) 3. Individualized consideration 3.55 .78 − .07 .82⁎⁎⁎ (.76) 4. Gender .19 .40 − .08 .04 .07 5. Language .32 .38 − .03 − .06 .14 .04 6. Country .18 .47 − .09 .14 .07 .09 − .32⁎⁎⁎
The scores for charisma and individualized considerationwere calculated as team-level means, assigned back to individuals. Internal consistency reliabilities are shown in brackets. Gender is coded with 0 = male, 1 = female; language with 0 = English, 1 = German; and team's country location with 0 = Europe and 1 = for elsewhere. ⁎⁎⁎ p b .001 (two-tailed test).
Table 4 Study 3: results of hierarchical linear modeling for cross-level main effects of charisma and individualized consideration on emotion suppression.
Step 1 Step 2
Estimate s.e. Estimate s.e.
Level-1 variables Gender − .14 .14 − .13 .14 Language − .08 .16 .01 .16
Level-2 variables Country − .19 .16 − .20 .15 Charisma .51⁎⁎ .17 Individualized consideration − .47⁎⁎ .17
The estimates are standardized regression weights. Robust standard errors (s.e.) are shown. ⁎⁎ p b .01 (two-tailed).
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concerns of common method bias. Although the aggregation of individual responses to the group level attenuates such bias to some degree, the current study design does not preclude the possibility that results might have been affected by common method bias. In future research, such bias could be reduced or avoided, for example, by randomly splitting teams in two sub-groups, with one sub- group reporting on team leaders' behaviors and qualities, and the other sub-group reporting on teammembers' emotion suppression. In addition, although emotion suppression is an inherently intrapersonal process that is hidden fromothers and should thus be difficult to assess for others, peer-ratings of how emotionally expressive a team member is in the presence versus the absence of the team leader could be a useful supplement to self-ratings of emotion suppression.
General discussion
We examined how two types of leadership commonly associated with transformational leadership – namely, charismatic leader- ship and individually considerate leadership – affect followers' emotional expressiveness. Leadership scholars generally advance the notion that transformational leadership liberates followers' emotional expressiveness. But research in the domain of status suggests that such leadership inhibits followers' emotional expressiveness. Through new theorizing and a series of three studies involving experiments as well as field research, we help resolve this controversy.We showed that the two different components of transforma- tional leadership affect followers differently. Specifically, charismatic leaders, presumably because they are held in awe by followers, inhibit the extent to which followers express emotions. But leaders who exhibit individualized consideration tend to free followers to express their emotions. When leaders listen to followers, attend to their individual needs, operate on a one-to-one basis, and forge friendly relationships, then the emotions of followers are released.
Both charismatic leadership and individualized consideration belong to the repertoire of transformational leaders. These two lead- ership components are empirically strongly correlated though conceptually distinct (Bass, 2008). Prior work has tended to assume that both types of leadership have similar, indeed additive, effects on followers (Van Knippenberg & Sitkin, 2013). In contrast, we have hypothesized that charismatic leadership and individually considerate leadership can be understood as two very different sets of behaviors that yield distinct effects. On the one hand is the charismatic appeal of leaders who are admired for their exemplary, determined, visionary, often unconventional and courageous behavior.When leaders exert charisma, they take the center stage, leaving followers awestruck and inhibited in their expression of emotions. On the other hand is the provision of close, friendly and caring supervision by a leader who listens to what followers say, strives to provide individually-tailored learning experiences, and develops nurturing relationships. Here, followers open up and feel free to express emotions. Although separating charismatic leadership and individualized consideration empirically proved difficult in the field study, experimentally we were able to distinguish between the two components of transformational leadership and we found evidence for distinct effects of each component.
Theoretical contributions
This research contributes to our understanding of how leaders influence followers' emotion regulation, responding to calls for “research concerning specific cognitive and behavioral strategies leaders use to effectively regulate […] followers' emotions” (Gooty et al., 2010: 998). Extant work has emphasized that leaders are likely to affect followers' emotion regulation processes (Bono, Foldes, Vinson, & Muros, 2007), but most research has been concerned with the antecedent-focused stage of emotion regula- tion and thus questions of how leaders evoke and shape emotional experiences in followers (e.g., Dasborough, 2006;McColl-Kennedy & Anderson, 2002; Shamir et al., 1994). There has been limited attention to the response-focused stage of emotion regulation and issues such as how leaders influence followers' emotional expressiveness once followers experience emotions (Glasø & Einarsen, 2008). Our research remedies this neglect showing theoretically and empirically the distinct effects of leaders' charismatic influence and individualized consideration on followers' response-focused emotion regulation.
The disaggregation of the effects of different transformational leadership behaviors on followers' emotion processes represents another contribution of this study. In previous research, the differences between charisma and individualized consideration have been downplayed despite their conceptual distinctness. Indeed, charismatic and transformational leadership theories have often been treated as synonymous (e.g., Behling & McFillen, 1996; Hunt, 1999; Walter & Bruch, 2009). Our study shows that when it
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comes to understanding the emotional processes underpinning transformational leadership, a more precise understanding of the func- tioning of each component of transformational leadership is helpful.
Particularly important is in our view that charismatic leadership facilitates expressive suppression. Our study builds on the rich body of research showing that charismatic leaders instill positive emotions in those who look up to them for guidance and inspiration (e.g., Bono & Ilies, 2006; Erez et al., 2008; McColl-Kennedy & Anderson, 2002). But our study questioned whether followers of char- ismatic leaders can freely express emotions. In concordance with status research showing that the behaviors of low and high status people in hierarchical relationships tend to complement each other rather than resemble each other (e.g., Keltner et al., 2003; Tiedens & Fragale, 2003), we found that followers in response to charismatic leadership subdue the expression of emotions. By exten- sion, this researchmay suggest that charismatic leaders do not just cheer up their followers and imbue themwith positive emotions, but rather that charismatic leadership also involves a status dynamic that impels followers to elevate the leader's standing above their own and that thus affects the extent to which followers feel free to express their emotions. Charismatic leaders stir the hearts of their followers and entice them with mesmerizing messages, and so followers hail their leader. But followers, in their admiration of the leader, are also likely to become awestruck – overwhelmed with emotion that they are too intimidated to express. We suggest that charismatic leadership works in part through this awestruck effect – the tendency of followers to suppress emotion expression as a result of conferring high status onto the leader.
The implications of the finding that charismatic leadership facilitates expressive suppression are particularly important in light of the consequences of emotion suppression that we outlined at the beginning of the introduction of this paper. Extant research shows that people's emotional experience and physiological responses are amplified to the extent that they inhibit emotional expressive- ness. Although most evidence in support of this effect was gathered in experiments inducing negative emotions (e.g., Gross & Levenson, 1993, 1997), there is recent research documenting the amplification effect also for positive emotions (Korb, Grandjean, Samson, Delplanque, & Scherer, 2012). By extension, therefore, followers' inhibition of emotional expressions in the context of char- ismatic leadership may enhance the intensity of the emotions engendered by the charismatic leader. Perhaps, it is in part due to the response-focused emotion regulatory process facilitated by charisma that followers experience such strong feelings in reaction to the inspiration of the leader. Whether these suppression-induced elevated levels of emotional intensity may also over time lead to emo- tional exhaustion among followers of charismatic leaders is a research questionworth pursuing in light of previous evidence about an expressive suppression–emotional exhaustion linkage (cf. Côté & Morgan, 2002; John & Gross, 2004; Schaubroeck & Jones, 2000). Early research on charismatic leadership suggested that thosewhoworkedwith charismatic leaderswere at risk of emotional exhaustion and estranged relationships at work (e.g., Bass, 1985).
The expressive suppression of emotions consumes mental resources and impairs cognitive processes (Richards & Gross, 1999, 2000, 2006; Schmeichel et al., 2008). These cognitive impairment effectsmight underlie the powerful influence of charismatic leaders on followers. If followers deploy mental resources to inhibit emotional outbursts and maintain composure while charismatic leaders stir their hearts, followers may have less cognitive processing capacity available to evaluate the messages of charismatic leaders. Followers may, therefore, be more likely to endorse such leaders with little scrutiny. This might explain why followers under the in- fluence of charismatic leaders appear to “suspend their ability tomake critical judgments” (Bass, 2008: 591). If followers, as a result of emotion suppression in the context of charismatic leadership, suffer a decrement in their cognitive functioning, then charismatic lead- ership may carry costs for followers that have thus far been overlooked. Charismatic leadership may have a dark-side for followers irrespective of whether leaders' goals are moral or immoral (Conger, 1990; Hogan, Raskin, & Fazzini, 1990; Howell & Avolio, 1992).
Limitations and future research
This research has disentangled the effects of charismatic leadership and individually considerate leadership, arguing that each type of leadership is distinct in itsmanifestation in interactionswith followers from the other. But, even thoughmany leadersmay be either charismatic or individually considerate, some may be both. Indeed, our own Study 3 and much of the existing transformational lead- ership research reports strong correlations between leaders' charismatic influence and individual consideration, indicating that those types of leadership could be displayed by the same leader. Therefore, in cases in which charisma and individualized consideration are behaviors that characterize a single individual leader, the question arises: how andwhen does such a leader switch between inspiring awe, and encouraging emotion expression, between occupying high status in the eyes of followers, and operating as an egalitarian mentor and coach? And, how do followers, in turn, dynamically adjust and respond to such changes in behavior and style? Do they suppress emotions, when the leader exerts charisma, but open up and express emotions, when the leader considers them individu- ally? Further work is necessary to examine how leaders combine or fail to combine charismatic appeal with individualized consider- ation of followers. For such endeavors, it is of paramount importance to develop measures that capture each distinct leadership behavior with appropriate discriminant validity.
Future research should also explore in greater depth why charismatic leadership and individually considerate leadership activate the expression and suppression tendencies of followers. In this study, we highlighted status differences in our theorizing, but we did not test for those differences in our empirical work. This limitation could be overcome in future work that examines how charismatic leadership and individually considerate leadership affect status differences between leaders and followers, and how these status dif- ferences in turn affect followers' emotion regulation. In this context, it would be interesting to examine whether followers' societal status (Côté, 2011) shapes the extent to which charisma and individualized consideration affect expressive suppression. Our theory suggests that charisma affects followers because followers assign high status to leaders while willingly accepting low status for them- selves. Although this dynamic is plausible in any interaction (Clark, 1990), it is probablymore likely for those who hold lower societal
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status than the leader. Indeed, Bass noted that people who are “high in status are likely to resist charismatic leaders” (Bass, 1985: 39). Accordingly, the societal status of the followers might moderate the relationships we detected.
Future research should also consider both differences among followers and outcomes for followers. For example, it is well- established that there are individual differences in expressive behavior between people (Friedman et al., 1980). In our studies we did not assess or control for these individual differences in expressive behavior, even though such differencesmaywell affect people's emotional responses to charismatic and individually considerate leaders. Furthermore, this research is limited in its considerations of the outcomes of emotion expression and suppression in the context of leadership. Although we elaborated in the discussion on potential outcomes, we did not empirically assess these outcomes andwere thus unable to test how followers' suppression or expres- sion of emotions in the context of leadership affects outcomes. We see this as an area of great potential for future research.
Finally, it would be interesting to examine the extent towhich followers allow charismatic leaders not only to be spokespeople for the groups, but also to determine and control the emotions that groups may and may not feel (Menges & Kilduff, 2015). Future re- search should also investigate how charismatic leaders command followers' emotional eruptions and effusive displays, for example, during charismatic speeches. During those speeches followers are likely to inhibit emotional outbursts out of respect for high status leaders, even as these leaders ardently appeal to the emotions of followers. But when charismatic leaders invite emotional responses from the audience, then followers have permission to freely emote. Thus, perhaps the familiar experience of crowds responding to invitations by charismatic leaders to chant their responses and in other ways express themselves can be understood as the high- status charismatic leader granting permission for followers' emotional expression under the leader's control? Maybe the leader “defines those situations appropriate for the expression of emotions” (Weierter, 1997: 176) to provide followers a relief from the suppression of emotional expressions? Or leaders do so to energize themselves and check that their audiences are properlymotivated (cf. Gooty et al., 2010; Riggio & Reichard, 2008)? Future research needs to explore the mostly implicit choreography of charismatic speeches in which leaders and followers engage in alternations of emotional expression and suppression.
Practical implications and conclusion
What does this researchmean for leaders and followers in organizations?We derive three practical implications. First, charismatic leaders should be aware of their emotionally suppressive effect on followers. Although putting followers in awe may reinforce the leaders' standing in the group, awestruck followers are unlikely to benefit the group in the long-term. Given the perilous conse- quences of emotion suppression, charismatic leaders need to findways to release followers' emotions, perhaps by temporarily reduc- ing their own status at times or by offering individualized consideration.
Second, individually considerate leaders should recognize that they have an encouraging effect on followers' emotion expression. Although they may circumvent the negative effects of emotion suppression, excessive levels of emotion expression from followers might also be detrimental, because uninhibited emotion expression violates social norms and can cause conflict (Butler, Gross, Philippot, & Feldman, 2004). In the workplace, rampant emotion expression might impair efficient coordination among employees (Ashkanasy & Daus, 2002). Thus, if leaders find themselves amidst emotionally expressive followers, they may be able to calm situa- tions by asserting status differences between themselves and their followers.
Third, for followers, the practical recommendation of this work is to beware the emotionally suppressive effects of charismatic leaders. Followers can potentially defend themselves against the inhibition of emotional expressiveness and its consequences bymen- tally reducing the status of charismatic leaders. It is not uncommon for people to remind themselves that a leader they admire is only human.
In conclusion, charismatic leadership, which involves inspiring followers toward a desired future, represents a distinctly different form of leadership than the mentoring and coaching that individually considerate leaders offer. Whereas charismatic leaders subdue the expression of followers' emotion, individually considerate leaders encourage such expression. Awestruck followers may suffer from expressive inhibition even as charismatic leaders stir their hearts.
Acknowledgments
We thank Janaki Gooty and three reviewers for a constructive reviewprocess and insightful comments. Prior versions of this article benefitted greatly from the feedback we received during presentations at the Organizational Behaviour reading group at the Univer- sity of Cambridge; the junior OB conference at Wharton;the young academics workshop of the Work, Organizational, and Business Psychology Section of the German Psychological Society at the University of Mainz; the Academy of Management meeting; the Na- tional University of Ireland Galway; and the University of Bonn.
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- The awestruck effect: Followers suppress emotion expression �in response to charismatic but not individually �considerate l...
- Charismatic leadership and followers' expressive suppression of emotion
- Individually considerate leadership and followers' expressive suppression of emotion
- Study 1: priming experiment
- Methods
- Participants
- Procedure and measures
- Results
- Discussion
- Study 2: scenario experiment
- Methods
- Participants
- Procedure and measures
- Results
- Discussion
- Study 3: field study
- Methods
- Participants and procedures
- Measures
- Analysis
- Results
- Discussion
- General discussion
- Theoretical contributions
- Limitations and future research
- Practical implications and conclusion
- Acknowledgments
- References
The Servant as Leader.pdf
The Servant as Leader
by Robert K. Greenleaf
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The Servant as Leader
SERVANT AND LEADER — can these two roles be fused in one real person, in all levels of status or calling? If so, can that person live and be productive in the real world of the present? My sense of the present leads me to say yes to both questions. This paper is an attempt to explain why and to suggest how.
The idea of The Servant as Leader came out of reading Hermann Hesse’s Journey to the East. In this story we see a band of men on a mythical journey, probably also Hesse’s own journey. The central figure of the story is Leo who accompanies the party as the servant who does their menial chores, but who also sustains them with his spirit and his song. He is a person of extraordinary presence. All goes well until Leo disappears. Then the group falls into disarray and the journey is abandoned. They cannot make it without the servant Leo. The narrator, one of the party, after some years of wandering finds Leo and is taken into the Order that had sponsored the journey. There he discovers that Leo, whom he had known first as servant, was in fact the titular head of the Order, its guiding spirit, a great and noble leader.
One can muse on what Hesse was trying to say when he wrote this story. We know that most of his fiction was autobiographical, that he led a tortured life, and that Journey to the East suggests a turn toward the serenity he achieved in his old age. There has been much speculation by critics on Hesse’s life and work, some of it centering on this story which they find the most puzzling. But to me, this story clearly says that the great leader is seen as servant first, and that simple fact is the key to his greatness. Leo was actually the leader all of the time, but he was servant first because that was what he was, deep down inside.
Leadership was bestowed upon a man who was by nature a servant. It was something given, or assumed, that could be taken away. His servant nature was the real man, not bestowed, not assumed, and not to be taken away. He was servant first. I mention Hesse and Journey to the East for two reasons. First, I want to acknowledge the source of the idea of The Servant as Leader. Then I want to use this reference as an introduction to a brief discussion of prophecy. Fifteen years ago when I first read about Leo, if I had been listening to contemporary prophecy as intently as I do now, the first draft of this piece might have been written then. As it was, the idea lay dormant for eleven years until, four years ago, I concluded that we in this country were in a leadership crisis and that I should do what I could about it. I became painfully aware of how dull my sense of contemporary prophecy had been. And I have reflected much on why we do not hear and heed the prophetic voices in our midst (not a new question in our times, nor more critical than heretofore) .
I now embrace the theory of prophecy which holds that prophetic voices of great clarity, and with a quality of insight equal to that of any age, are speaking cogently all of the time. Men and women of a stature equal to the greatest of the past are with us now addressing the problems of the day and pointing to a better way and to a personeity better able to live fully and serenely in these times.
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The variable that marks some periods as barren and some as rich in prophetic vision is in the interest, the level of seeking, the responsiveness of the hearers. The variable is not in the presence or absence or the relative quality and force of the prophetic voices. Prophets grow in stature as people respond to their message. If their early attempts are ignored or spurned, their talent may wither away.
It is seekers, then, who make prophets, and the initiative of anyone of us in searching for and responding to the voice of contemporary prophets may mark the turning point in their growth and service. But since we are the product of our own history, we see current prophecy within the context of past wisdom. We listen to as wide a range of contemporary thought as we can attend to. Then we choose those we elect to heed as prophets — both old and new — and meld their advice with our own leadings. This we test in real-Iife experiences to establish our own position.
Some who have difficulty with this theory assert that their faith rests on one or more of the prophets of old having given the “word” for all time and that the contemporary ones do not speak to their condition as the older ones do. But if one really believes that the “word” has been given for all time, how can one be a seeker? How can one hear the contemporary voice when one has decided not to live in the present and has turned that voice off?
Neither this hypothesis nor its opposite can be proved. But I submit that the one given here is the more hopeful choice, one that offers a significant role in prophecy to every individual. One cannot interact with and build strength in a dead prophet, but one can do it with a living one. “Faith,” Dean Inge has said, “is the choice of the nobler hypothesis”.
One does not, of course, ignore the great voices of the past. One does not awaken each morning with the compulsion to reinvent the wheel. But if one is servant, either leader or follower, one is always searching, listening, expecting that a better wheel for these times is in the making. It may emerge any day. Anyone of us may find it out from personal experience. I am hopeful.
I am hopeful for these times, despite the tension and conflict, because more natural servants are trying to see clearly the world as it is and are listening carefully to prophetic voices that are speaking now. They are challenging the pervasive injustice with greater force and they are taking sharper issue with the wide disparity between the quality of society they know is reasonable and possible with available resources, and, on the other hand, the actual performance of the whole range of institutions that exist to serve society.
A fresh critical look is being taken at the issues of power and authority, and people are beginning to learn, however haltingly, to relate to one another in less coercive and more creatively supporting ways. A new moral principle is emerging which holds that the only authority deserving one’s allegiance is that which is freely and knowingly granted by the led to the leader in response to, and in proportion to, the clearly evident servant stature of the leader. Those who choose to follow this principle will not casually accept the authority of existing institutions. Rather, they will freely respond only to individuals who are chosen as leaders because they are proven and trusted as servants. To the extent that this principle prevails in the future, the only truly viable institutions will be those that are predominantly servant-led.
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I am mindful of the long road ahead before these trends, which I see so clearly, become a major society-shaping force. We are not there yet. But I see encouraging movement on the horizon.
What direction will the movement take? Much depends on whether those who stir the ferment will come to grips with the age-old problem of how to live in a human society. I say this because so many, having made their awesome decision for autonomy and independence from tradition, and having taken their firm stand against injustice and hypocrisy, find it hard to convert themselves into affirmative builders of a better society. How many of them will seek their personal fulfillment by making the hard choices, and by undertaking the rigorous preparation that building a better society requires? It all depends on what kind of leaders emerge and how they — we — respond to them.
My thesis, that more servants should emerge as leaders, or should follow only servant- leaders, is not a popular one. It is much more comfortable to go with a less demanding point view about what is expected of one now. There are several undemanding, plausibly- argued alternatives to choose. One, since society seems corrupt, is to seek to avoid the center of it by retreating to an idyllic existence that minimizes involvement with the “system” (with the “system” that makes such withdrawal possible). Then there is the assumption that since the effort to reform existing institutions has not brought instant perfection, the remedy is to destroy them completely so that fresh new perfect ones can grow. Not much thought seems to be given to the problem of where the new seed will come from or who the gardener to tend them will be. The concept of the servant-leader stands in sharp contrast to this kind of thinking.
Yet it is understandable that the easier alternatives would be chosen, especially by young people. By extending education for so many so far into the adult years, the normal participation in society is effectively denied when young people are ready for it. With education that is preponderantly abstract and analytical it is no wonder that there is a preoccupation with criticism and that not much thought is given to “What can I do about it?”
Criticism has its place, but as a total preoccupation it is sterile. In a time of crisis, like the leadership crisis we are now in, if too many potential builders are taken in by a complete absorption with dissecting the wrong and by a zeal for instant perfection, then the movement so many of us want to see will be set back. The danger, perhaps, is to hear the analyst too much and the artist too little.
Albert Camus stands apart from other great artists of his time, in my view, and deserves the title of prophet, because of his unrelenting demand that each of us confront the exacting terms of our own existence, and, like Sisyphus, accept our rock and find our happiness in dealing with it. Camus sums up the relevance of his position to our concern for the servant as leader in the last paragraph of his last published lecture, entitled Create Dangerously:
One may long, as I do, for a gentler flame, a respite, a pause for musing. But perhaps there is no other peace for the artist than what he finds in the heat of combat. ‘Every wall is a door’, Emerson correctly said. Let us not look for the door, and the way out, anywhere but in the wall against which we are living. Instead, let us seek the respite where it is — in the very thick of battle. For in my opinion, and this is where I shall close,
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it is there. Great ideas, it has been said, come into the world as gently as doves. Perhaps, then, if we listen attentively, we shall hear, amid the uproar of empires and nations, a faint flutter of wings, the gentle stirring of life and hope. Some will say that this hope lies in a nation, others, in a man. I believe rather that it is awakened, revived, nourished by millions of solitary individuals whose deeds and works every day negate frontiers and the crudest implications of history. As a result, there shines forth fleetingly the ever- threatened truth that each and every man, on the foundations of his own sufferings and joys, builds for them all.
One is asked, then, to accept the human condition, its sufferings and its joys, and to work with its imperfections as the foundation upon which the individual will build wholeness through adventurous creative achievement. For the person with creative potential there is no wholeness except in using it. And, as Camus explained, the going is rough and the respite is brief. It is significant that he would title his last university lecture Create Dangerously. And, as I ponder the fusing of servant and leader, it seems a dangerous creation: dangerous for the natural servant to become a leader, dangerous for the leader to be servant first, and dangerous for a follower to insist on being led by a servant. There are safer and easier alternatives available to all three. But why take them?
As I respond to the challenge of dealing with this question in the ensuing discourse I am faced with two problems.
First, I did not get the notion of the servant as leader from conscious logic. Rather it came to me as an intuitive insight as I contemplated Leo. And I do not see what is relevant from my own searching and experience in terms of a logical progression from premise to conclusion. Rather I see it as fragments of data to be fed into my internal computer from which intuitive insights come. Serving and leading are still mostly intuition-based concepts in my thinking.
The second problem, and related to the first, is that, just as there may be a real contradiction in the servant as leader, so my perceptual world is full of contradictions. Some examples: I believe in order, and I want creation out of chaos. My good society will have strong individualism amidst community. It will have elitism along with populism. I listen to the old and to the young and find myself baffled and heartened by both. Reason and intuition, each in its own way, both comfort and dismay me. There are many more. Yet, with all of this, I believe that I live with as much serenity as do my contemporaries who venture into controversy as freely as I do but whose natural bent is to tie up the essentials of life in neat bundles of logic and consistency. But I am deeply grateful to the people who are logical and consistent because some of them, out of their natures, render invaluable services for which I am not capable.
My resolution of these two problems is to offer the relevant gleanings of my experience in the form of a series of unconnected little essays, some developed more fully than others, with the suggestion that they be read and pondered on separately within the context of this opening section.
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Who Is the Servant-leader?
The servant-leader is servant first — as Leo was portrayed. It begins with the natural feeling that one wants to serve, to serve first. Then conscious choice brings one to aspire to lead. That person is sharply different from one who is leader first, perhaps because of the need to assuage an unusual power drive or to acquire material possessions. For such it will be a later choice to serve — after leadership is established. The leader-first and the servant- first are two extreme types. Between them there are shadings and blends that are part of the infinite variety of human nature.
The difference manifests itself in the care taken by the servant-first to make sure that other people’s highest priority needs are being served. The best test, and difficult to administer, is: Do those served grow as persons? Do they, while being served, become healthier, wiser, freer, more autonomous, more likely themselves to become servants? And, what is the effect on the least privileged in society; will they benefit, or, at least, not be further deprived?
As one sets out to serve, how can one know that this will be the result? This is part of the human dilemma; one cannot know for sure. One must, after some study and experience, hypothesize — but leave the hypothesis under a shadow of doubt. Then one acts on the hypothesis and examines the result. One continues to study and learn and periodically one re-examines the hypothesis itself.
Finally, one chooses again. Perhaps one chooses the same hypothesis again and again. But it is always a fresh open choice. And it is always an hypothesis under a shadow of doubt. “Faith is the choice of the nobler hypothesis.” Not the noblest; one never knows what that is. But the nobler, the best one can see when the choice is made. Since the test of results of one’s actions is usually long delayed, the faith that sustains the choice of the nobler hypothesis is psychological self-insight. This is the most dependable part of the true servant.
The natural servant, the person who is servant first, is more likely to persevere and refine a particular hypothesis on what serves another’s highest priority needs than is the person who is leader first and who later serves out of promptings of conscience or in conformity with normative expectations.
My hope for the future rests in part on my belief that among the legions of deprived and unsophisticated people are many true servants who will lead, and that most of them can learn to discriminate among those who presume to serve them and identify the true servants whom they will follow.
Everything Begins with the Initiative of an Individual
The forces for good and evil in the world are propelled by the thoughts, attitudes, and actions of individual beings. What happens to our values, and therefore to the quality of our civilization in the future, will be shaped by the conceptions of individuals that are born of inspiration. Perhaps only a few will receive this inspiration (insight) and the rest will learn from them. The very essence of leadership, going out ahead to show the way, derives
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from more than usual openness to inspiration. Why would anybody accept the leadership of another except that the other sees more clearly where it is best to go? Perhaps this is the current problem: too many who presume to lead do not see more clearly and, in defense of their inadequacy, they all the more strongly argue that the “system” must be preserved — a fatal error in this day of candor .
But the leader needs more than inspiration. A leader ventures to say: “I will go; come with me!” A leader initiates, provides the ideas and the structure, and takes the risk of failure along with the chance of success. A leader says: “I will go; follow me!” while knowing that the path is uncertain, even dangerous. One then trusts those who go with one’s leadership.
Paul Goodman, speaking through a character in Making Do, has said, “If there is no community for you, young man, young man, make it yourself.”
What Are You Trying to Do?
“What are you trying to do?” is one of the easiest to ask and most difficult to answer of questions.
A mark of leaders, an attribute that puts them in a position to show the way for others, is that they are better than most at pointing the direction. As long as one is leading, one always has a goal. It may be a goal arrived at by group consensus, or the leader, acting on inspiration, may simply have said, “Let’s go this way.” But the leader always knows what it is and can articulate it for any who are unsure. By clearly stating and restating the goal the leader gives certainty and purpose to others who may have difficulty in achieving it for themselves.
The word goal is used here in the special sense of the overarching purpose, the big dream, the visionary concept, the ultimate consummation which one approaches but never really achieves. It is something presently out of reach; it is something to strive for, to move toward, or become. It is so stated that it excites the imagination and challenges people to work for something they do not yet know how to do, something they can be proud of as they move toward it.
Every achievement starts with a goal — but not just any goal and not just anybody stating it. The one who states the goal must elicit trust, especially if it is a high risk or visionary goal, because those who follow are asked to accept the risk along with the leader. Leaders do not elicit trust unless one has confidence in their values and competence (including judgment) and unless they have a sustaining spirit (entheos) that will support the tenacious pursuit of a goal.
Not much happens without a dream. And for something great to happen, there must be a great dream. Behind every great achievement is a dreamer of great dreams. Much more than a dreamer is required to bring it to reality; but the dream must be there first.
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Listening and Understanding
One of our very able leaders recently was made the head of a large, important, and difficult-to-administer public institution. After a short time he realized that he was not happy with the way things were going. His approach to the problem was a bit unusual. For three months he stopped reading newspapers and listening to news broadcasts; and for this period he relied wholly on those he met in the course of his work to tell him what was going on. In three months his administrative problems were resolved. No miracles were wrought; but out of a sustained intentness of listening that was produced by this unusual decision, this able man learned and received the insights needed to set the right course. And he strengthened his team by so doing.
Why is there so little listening? What makes this example so exceptional? Part of it, I believe, with those who lead, is that the usual leader in the face of a difficulty tends to react by trying to find someone else on whom to pin the problem, rather than by automatically responding: “I have a problem. What is it? What can I do about my problem?” The sensible person who takes the latter course will probably react by listening, and somebody in the situation is likely to say what the problem is and what should be done about it. Or enough will be heard that there will be an intuitive insight that resolves it.
I have a bias about this which suggests that only a true natural servant automatically responds to any problem by listening first. When one is a leader, this disposition causes one to be seen as servant first. This suggests that a non-servant who wants to be a servant might become a natural servant through a long arduous discipline of learning to listen, a discipline sufficiently sustained that the automatic response to any problem is to listen first. I have seen enough remarkable transformations in people who have been trained to listen to have some confidence in this approach. It is because true listening builds strength in other people.
Most of us at one time or another, some of us a good deal of the time, would really like to communicate, really get through to a significant level of meaning in the hearer’s experience. It can be terribly important. The best test of whether we are communicating at this depth is to ask ourselves first: Are we really listening? Are we listening to the one we want to communicate to? Is our basic attitude, as we approach the confrontation, one of wanting to understand? Remember that great line from the prayer of St. Francis, “Lord, grant that I may not seek so much to be understood as to understand.”
One must not be afraid of a little silence. Some find silence awkward or oppressive, but a relaxed approach to dialogue will include the welcoming of some silence. It is often a devastating question to ask oneself — but it is sometimes important to ask it — “In saying what I have in mind will I really improve on the silence?”
Language and Imagination
Alfred North Whitehead once said, “No language can be anything but elliptical, requiring a leap of imagination to understand its meaning in its relevance to immediate
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experience.” Nothing is meaningful until it is related to the hearer’s own experience. One may hear the words, one may even remember them and repeat them, as a computer does in the retrieval process. But meaning, a growth in experience as a result of receiving the communication, requires that the hearer supply the imaginative link from the hearer’s fund of experience to the abstract language symbols the speaker has used. As a leader (including teacher, coach, administrator) one must have facility in tempting the hearer into that leap of imagination that connects the verbal concept to the hearer’s own experience. The limitation on language, to the communicator, is that the hearer must make that leap of imagination. One of the arts of communicating is to say just enough to facilitate that leap. Many attempts to communicate are nullified by saying too much.
The physicist and philosopher Percy Bridgman takes another view of it when he says, “No linguistic structure is capable of reproducing the full complexity of experience. ...The only feasible way of dealing with this is to push a particular verbal line of attack as far as it can go, and then switch to another verbal level which we might abandon when we have to ... Many people ... insist on a single self-consistent verbal scheme into which they try to force all experience. In doing this they create a purely verbal world in which they can live a pretty autonomous existence, fortified by the ability of many of their fellows to live in the same verbal world.” This, of course, is what makes a cult — a group of people who thus isolate themselves from the evolving mainstream. By staying within their own closed verbal world they forfeit the opportunity to lead others. One of the great tragedies is when a proven able leader becomes trapped in one of these closed verbal worlds and loses the ability to lead.
A commentator once observed: “If you have something important to communicate, if you can possibly manage it — put your hand over your mouth and point.” Someday we will learn what a great handicap language is.
Withdrawal — Finding One’s Optimum
People who go for leadership (whether they are servants or non-servants) may be viewed as one of two extreme types. There are those who are so constituted physically and emotionally that they like pressure — seek it out — and they perform best when they are totally intense. And there are those who do not like pressure, do not thrive under it, but who want to lead and are willing to endure the pressure in order to have the opportunity. The former welcome a happy exhaustion and the latter are constantly in defense against that state. For both the art of withdrawal is useful. To the former it is a change of pace; to the latter it is a defense against an unpleasant state. The former may be more the natural leader; the latter needs a tactic to survive. The art of withdrawal serves them both.
The ability to withdraw and reorient oneself, if only for a moment, presumes that one has learned the art of systematic neglect, to sort out the more important from the less important — and the important from the urgent — and attend to the more important, even though there may be penalties and censure for the neglect of something else. One may govern one’s life by the law of the optimum (optimum being that pace and set of choices that give one the best performance over a lifespan) — bearing in mind that there are always emergencies and the optimum includes carrying an unused reserve of energy in
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all periods of normal demand so that one has the resilience to cope with the emergency.
Pacing oneself by appropriate withdrawal is one of the best approaches to making optimal use of one’s resources. The servant-as-leader must constantly ask: How can I use myself to serve best?
Acceptance and Empathy
These are two interesting words, acceptance and empathy. If we can take one dictionary’s definition, acceptance is receiving what is offered, with approbation, satisfaction, or acquiescence, and empathy is the imaginative projection of one’s own consciousness into another being. The opposite of both, the word reject, is to refuse to hear or receive — to throw out.
The servant always accepts and empathizes, never rejects. The servant as leader always empathizes, always accepts the person but sometimes refuses to accept some of the person’s effort or performance as good enough.
A college president once said, “An educator may be rejected by students and must not object to this. But one may never, under any circumstances, regardless of what they do, reject a single student.”
We have known this a long time in the family. For a family to be a family, no one can ever be rejected. Robert Frost in his poem “The Death of the Hired Man” states the problem in a conversation on the farmhouse porch between the farmer and his wife about the shiftless hired man, Silas, who has come back to their place to die. The farmer is irritated about this because Silas was lured away from his farm in the middle of the last haying season. The wife says that theirs is the only home he has. They are then drawn into a discussion of what a home is. The husband gives his view:
“Home is the place where, when you have to go there, they have to take you in.”
The wife sees it differently. What is a home? She says, “I should have called it something you somehow haven’t to deserve.”
Because of the vagaries of human nature, the halt, the lame, half-made creatures that we all are, the great leader (whether it is the mother in her home or the head of a vast organization) would say what the wife said about home in Robert Frost’s poem. The interest in and affection for one’s followers which a leader has — and it is a mark of true greatness when it is genuine — is clearly something the followers “haven’t to deserve.” Great leaders, including “little” people, may have gruff, demanding, uncompromising exteriors. But deep down inside the great ones have empathy and an unqualified acceptance of the persons of those who go with their leadership.
Acceptance of the person, though, requires a tolerance of imperfection. Anybody could lead perfect people — if there were any. But there aren’t any perfect people. And the parents who try to raise perfect children are certain to raise neurotics.
It is part of the enigma of human nature that the “typical” person — immature, stumbling, inept, lazy — is capable of great dedication and heroism if wisely led. Many
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otherwise able people are disqualified to lead because they cannot work with and through the half-people who are all there are. The secret of institution building is to be able to weld a team of such people by lifting them up to grow taller than they would otherwise be.
People grow taller when those who lead them empathize and when they are accepted for what they are, even though their performance may be judged critically in terms of what they are capable of doing. Leaders who empathize and who fully accept those who go with them on this basis are more likely to be trusted.
Know the Unknowable — Beyond Conscious Rationality
The requirements of leadership impose some intellectual demands that are not measured by academic intelligence ratings. They are not mutually exclusive but they are different things. The leader needs two intellectual abilities that are usually not formally assessed in an academic way: he needs to have a sense for the unknowable and be able to foresee the unforeseeable. Leaders know some things and foresee some things which those they are presuming to lead do not know or foresee as clearly. This is partly what gives leaders their “lead,” what puts them out ahead and qualifies them to show the way.
Until quite recently many would attribute these qualities of knowing the unknowable and foreseeing the unforeseeable to mystical or supernatural gifts — and some still do. Now it is possible at least to speculate about them within a framework of natural law. The electrical body-field theory suggests the possibility of an interconnection between fields and could explain telepathy. Some are willing to explore the possibility of memory traces being physical entities, thus providing a basis for explaining clairvoyance. In far-out theorizing, every mind, at the unconscious level, has access to every “bit” of information that is or ever was. Those among us who seem to have unusual access to these “data banks” are called “sensitives”. What we now call intuitive insight may be the survivor of an earlier and greater sensitivity. Much of this is highly speculative but it is inside the bounds of what some scientific minds are willing to ponder within the framework of what is known about natural phenomena. Information recall under hypnosis is suggestive of what is potentially available from the unconscious.
What is the relevance of this somewhat fanciful theory to the issue at hand, the thought process of a leader? One contemporary student of decision making put it this way: “ If, on a practical decision in the world of affairs, you are waiting for all of the information for a good decision, it never comes.” There always is more information, sometimes a great deal more, that one might have if one waited longer or worked harder to get it — but the delay and the cost are not warranted. On an important decision one rarely has one hundred percent of the information needed for a good decision no matter how much one spends or how long one waits. And if one waits too long, one has a different problem and has to start all over. This is a terrible dilemma of the hesitant decision maker.
As a practical matter, on most important decisions there is an information gap. There usually is an information gap between the solid information in hand and what is needed. The art of leadership rests, in part, on the ability to bridge that gap by intuition, that is, a
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judgment from the unconscious process. The person who is better at this than most is likely to emerge the leader because of the ability to contribute something of great value. Others will depend on such persons to go out ahead and show the way because their judgment will be better than most. Leaders, therefore, must be more creative than most; and creativity is largely discovery, a push into the uncharted and the unknown. Every once in a while a leader needs to think like a scientist, an artist, or a poet. And a leader’s thought processes may be just as fanciful as theirs — and as fallible.
Intuition is a feel for patterns, the ability to generalize based on what has happened previously. Wise leaders know when to bet on these intuitive leads, but they always know that they are betting on percentages. Their hunches are not seen as eternal truths.
Two separate “anxiety” processes may be involved in a leader’s intuitive decision, an important aspect of which is timing, the decision to decide. One is the anxiety of holding the decision until as much information as possible is in. The other is the anxiety of making the decision when there really isn’t enough information — which, on critical decisions, is usually the case. All of this is complicated by pressures building up from those who “want an answer.” Again, trust is at the root of it. Has the leader a really good information base (both hard data and sensitivity to feelings and needs of people) and a reputation for consistently good decisions that people respect? Can the leader defuse the anxiety of other people who want more certainty than exists in the situation?
Intuition in a leader is more valued, and therefore more trusted, at the conceptual level. An intuitive answer to an immediate situation can be a gimmick and conceptually defective. Overarching conceptual insight that gives a sounder framework for decisions (so important, for instance, in foreign policy) is the greater gift.
Foresight —The Central Ethic of Leadership
The common assumption about the word “now” is that it is this instant moment of clock time — now. In usage, we qualify this a little by saying right now, meaning this instant, or about now, allowing a little leeway. Sometimes we say, “I’m going to do it now,” meaning “I’m going to start soon and do it in the near future,” or “I have just now done it,” meaning that I did it in the recent past. The dictionary admits all of these variations of usage.
Let us liken “now” to the spread of light from a narrowly focused beam. There is a bright intense center, this moment of clock time, and a diminishing intensity, theoretically out to infinity, on either side. As viewed here, now includes all of this — all of history and all of the future. As one approaches the central focus, the light intensifies as this moment of clock time is approached. All of it is now but some parts are more now than others, and the central focus which marks this instant of clock time moves along as the clock ticks. This is not the way it is! It is simply an analogy to suggest a way of looking at now for those who wish better to see the unforeseeable — a mark of a leader.
Prescience, or foresight, is a better than average guess about what is going to happen when in the future. It begins with a state of mind about now, something like that suggested by the light analogy. What we note in the present moment of clock time is merely the
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intense focus that is connected with what has gone on in the past and what will happen in the future. The prescient man has a sort of “moving average” mentality (to borrow a statistician’s term) in which past, present, and future are one, bracketed together and moving along as the clock ticks. The process is continuous.
Machiavelli, writing three hundred years ago about how to be a prince, put it this way. “Thus it happens in matters of state; for knowing afar off (which it is only given a prudent man to do) the evils that are brewing, they are easily cured. But when, for want of such knowledge, they are allowed to grow so that everyone can recognize them, there is no longer any remedy to be found.” The shape of some future events can be calculated from trend data. But, as with a practical decision mentioned earlier, there is usually an information gap that has to be bridged, and one must cultivate the conditions that favor intuition. This is what Machiavelli meant when he said “knowing afar off (which it is only given a prudent man to do).” The prudent man is one who constantly thinks of “now” as the moving concept in which past, present moment, and future, are one organic unity. And this requires living by a sort of rhythm that encourages a high level of intuitive insight about the whole gamut of events from the indefinite past, through the present moment, to the indefinite future. One is at once, in every moment of time, historian, contemporary analyst, and prophet — not three separate roles. This is what the practicing leader is, every day of his life.
Living this way is partly a matter of faith. Stress is a condition of most of modern life, and if one is a servant-leader and carrying the burdens of other people — going out ahead to show the way, one takes the rough and tumble (and it really is rough and tumble in some leader roles) — one takes this in the belief that, if one enters a situation prepared with the necessary experience and knowledge at the conscious level, in the situation the intuitive insight necessary for one’s optimal performance will be forthcoming. Is there any other way, in the turbulent world of affairs (including the typical home), for one to maintain serenity in the face of uncertainty? One follows the steps of the creative process which require that one stay with conscious analysis as far as it will carry one, and then withdraw, release the analytical pressure, if only for a moment, in full confidence that a resolving insight will come. The concern with the past and future is gradually attenuated as this span of concern goes forward or backward from the instant moment. The ability to do this is the essential structural dynamic of leadership.
Foresight is seen as a wholly rational process, the product of a constantly running internal computer that deals with intersecting series and random inputs and is vastly more complicated than anything technology has yet produced. Foresight means regarding the events of the instant moment and constantly comparing them with a series of projections made in the past and at the same time projecting future events — with diminishing certainty as projected time runs out into the indefinite future.
The failure (or refusal) of a leader to foresee may be viewed as an ethical failure, because a serious ethical compromise today (when the usual judgment on ethical inadequacy is made) is sometimes the result of a failure to make the effort at an earlier date to foresee today’s events and take the right actions when there was freedom for initiative to act. The action which society labels “unethical” in the present moment is often really one of no choice. By this standard a lot of guilty people are walking around with an air of
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innocence that they would not have if society were able always to pin the label “unethical” on the failure to foresee and the consequent failure to act constructively when there was freedom to act.
Foresight is the “lead” that the leader has. Once leaders lose this lead and events start to force their hand, they are leaders in name only. They are not leading, but are reacting to immediate events, and they probably will not long be leaders. There are abundant current examples of loss of leadership which stem from a failure to foresee what reasonably could have been foreseen, and from failure to act on that knowledge while the leader had freedom to act.
There is a wealth of experience available on how to achieve this perspective of foresight, but only one aspect is mentioned here. Required is that one live a sort of schizoid life. One is always at two levels of consciousness. One is in the real world — concerned, responsible, effective, value oriented. One is also detached, riding above it, seeing today’s events, and seeing oneself deeply involved in today’s events, in the perspective of a long sweep of history and projected into the indefinite future. Such a split enables one better to foresee the unforeseeable. Also, from one level of consciousness, each of us acts resolutely from moment to moment on a set of assumptions that then govern one’s life. Simultaneously, from another level, the adequacy of these assumptions is examined, in action, with the aim of future revision and improvement. Such a view gives one the perspective that makes it possible for one to live and act in the real world with a clearer conscience.
Awareness and Perception
Framing all of this is awareness, opening wide the doors of perception so as to enable one to get more of what is available of sensory experience and other signals from the environment than people usually take in. Awareness has its risks, but it makes life more interesting; certainly it strengthens one’s effectiveness as a leader. When one is aware, there is more than the usual alertness, more intense contact with the immediate situation, and more is stored away in the unconscious computer to produce intuitive in- sights in the future when needed.
William Blake has said, “If the doors of perception were cleansed, everything will appear to man as it is, infinite.” Those who have gotten their doors of perception open wide enough often enough know that this statement of Blake’s is not mere poetic exaggeration. Most of us move about with very narrow perception — sight, sound, smell, tactile — and we miss most of the grandeur that is in the minutest thing, the smallest experience. We also miss leadership opportunities. There is danger, however. Some people cannot take what they see when the doors of perception are open too wide, and they had better test their tolerance for awareness gradually. A qualification for leadership is that one can tolerate a sustained wide span of awareness so that one better “sees it as it is”.
The opening of awareness stocks both the conscious and unconscious minds with a richness of resources for future need. But it does more than that: it is value building and value clarifying and it armors one to meet the stress of life by helping build serenity in the
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face of stress and uncertainty. The cultivation of awareness gives one the basis for detachment, the ability to stand aside and see oneself in perspective in the context of one’s own experience, amidst the ever present dangers, threats, and alarms. Then one sees one’s own peculiar assortment of obligations and responsibilities in a way that permits one to sort out the urgent from the important and perhaps deal with the important. Awareness is not a giver of solace — it is just the opposite. It is a disturber and an awakener. Able leaders are usually sharply awake and reasonably disturbed. They are not seekers after solace. They have their own inner serenity.
Leaders must have more of an armor of confidence in facing the unknown — more than those who accept their leadership. This is partly anticipation and preparation, but it is also a very firm belief that in the stress of real life situations one can compose oneself in a way that permits the creative process to operate.
This is told dramatically in one of the great stories of the human spirit — the story of Jesus when confronted with the woman taken in adultery. In this story Jesus is seen as a man, like all of us, with extraordinary prophetic insight of the kind we all have to some degree. He is a leader; he has a goal — to bring more compassion into the lives of people.
In this scene the woman is cast down before him by the mob that is challenging Jesus’ leadership. They cry, “The law says she shall be stoned. What do you say?” Jesus must make a decision; he must give the right answer, right in the situation, and one that sustains his leadership toward his goal. The situation is deliberately stressed by his challengers. What does he do?
He sits there writing in the sand — a withdrawal device. In the pressure of the moment, having assessed the situation rationally, he assumes the attitude of withdrawal that will allow creative insight to function.
He could have taken another course; he could have regaled the mob with rational arguments about the superiority of compassion over torture. A good logical argument can be made for it. What would the result have been had he taken that course?
He did not choose to do that. He chose instead to withdraw and cut the stress — right in the event itself — in order to open his awareness to creative insight. And a great one came, one that has kept the story of the incident alive for two thousand years: “Let him that is without sin among you cast the first stone.”
Persuasion-Sometimes One Man at a Time
Leaders work in wondrous ways. Some assume great institutional burdens, others quietly deal with one person at a time. Such a man was John Woolman, an American Quaker, who lived through the middle years of the eighteenth century. He is known to the world of scholarship for his journal, a literary classic. But in the area of our interest, leadership, he is the man who almost singlehandedly rid the Society of Friends (Quakers) of slaves.
It is difficult now to imagine the Quakers as slaveholders, as indeed it is difficult now to imagine anyone being a slaveholder . One wonders how the society of two hundred
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years hence will view “what man has made of man.” in our generation. It is a disturbing thought.
But many of the eighteenth-century American Quakers were affluent, conservative slaveholders, and John Woolman, as a young man, set his goal to rid his beloved Society of this terrible practice. Thirty of his adult years (he lived to age fifty-two) were largely devoted to this. By 1770, nearly one hundred years before the Civil War, no Quakers held slaves.
His method was unique. He didn’t raise a big storm about it or start a protest movement. His method was one of gentle but clear and persistent persuasion.
Although John Woolman was not a strong man physically, he accomplished his mission by journeys up and down the East Coast by foot or horseback visiting slaveholders — over a period of many years. The approach was not to censure the slaveholders in a way that drew their animosity. Rather the burden of his approach was to raise questions: What does the owning of slaves do to you as a moral person? What kind of an institution are you binding over to your children? Man by man, inch by inch, by persistently returning and revisiting and pressing his gentle arguments over a period of thirty years, the scourge of slavery was eliminated from this Society, the first religious group in America formally to denounce and forbid slavery among its members.
One wonders what would have been the result if there had been fifty John Woolmans, or even five, traveling the length and breadth of the Colonies in the eighteenth century persuading people one by one with gentle non-judgmental argument that a wrong should be righted by individual voluntary action. Perhaps we would not have had the war with six hundred thousand casualties and the impoverishment of the South, and with the resultant vexing social problem that is at fever heat one hundred years later with no end in sight. We know now, in the perspective of history, that just a slight alleviation of the tension in the 1850’s might have avoided the war. A few John Woolmans, just a few, might have made the difference. Leadership by persuasion has the virtue of change by convincement rather than coercion. Its advantages are obvious.
John Woolman exerted his leadership in an age that must have looked as dark to him as ours does to us today. We may easily write off his effort as a suggestion for today on the assumption that the Quakers were ethically conditioned for this approach. All persons are so conditioned, to some extent — enough to gamble on.
One Action at a Time — The Way Some Great Things Get Done
Two things about Thomas Jefferson are of special interest here. First, as a young man he had the good fortune to find a mentor, George Wythe, a Williamsburg lawyer whose original house still stands in the restored village. George Wythe was a substantial man of his times, a signer of the Declaration of Independence and a member of the Constitutional Convention. But his chief claim to fame is as Thomas Jefferson’s mentor. It was probably the influence of mentor on understudy, as Jefferson studied law in Wythe’s office, that moved Jefferson toward his place in history and somewhat away from his natural disposition to settle down at Monticello as an eccentric Virginia scholar (which he
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remained, partly, despite Wythe’s influence). The point of mentioning George Wythe is that old people may have a part to play in helping the potential servant-as-leader to emerge at his optimal best.
Perhaps the most significant aspect of Jefferson, more important in history than the Declaration of Independence or his later term as President, was what he did during the war. With the publication of the Declaration the war was on and Jefferson was importuned to take important roles in the war. But he turned them all down. He knew who he was and he resolved to be his own man. He chose his own role. He went back to Virginia and didn’t leave the state for the duration of the war.
Jefferson believed that the war would be won by the Colonies, that there would be a new nation, and that that nation would need a new system of law to set it on the course that he had dreamed for it in the Declaration of Independence. So he went back to Monticello, got himself elected to the Virginia legislature, and proceeded to write new statutes embodying the new principles of law for the new nation. He set out, against the determined opposition of his conservative colleagues, to get these enacted into Virginia law. It was an uphill fight. He would go to Williamsburg and wrestle with his colleagues until he was slowed to a halt. Then he would get on his horse and ride back to Monticello to rekindle his spirit and write some more statutes. Armed with these he would return to Williamsburg and take another run at it. He wrote one hundred and fifty statutes in that period and got fifty of them enacted into law, the most notable being separation of church and state. For many years Virginia legislators were digging into the remaining one hundred as new urgent problems made their consideration advisable.
When the Constitution was drafted some years later Jefferson wasn’t even around; he was in France as our Ambassador. He didn’t have to be around. He had done his work and made his contribution in the statutes already operating in Virginia. Such are the wondrous ways in which leaders do their work — when they know who they are and resolve to be their own men and will accept making their way to their goal by one action at a time, with a lot of frustration along the way.
Conceptualizing — The Prime Leadership Talent
Nikolai Frederik Severin Grundtvig, whose adult life was the first three-quarters of the nineteenth century, is known as the Father of the Danish Folk High Schools. To understand the significance of the Folk High School one needs to know a little of the unique history of Denmark. Since it is a tiny country, not many outside it know this history, and consequently Grundtvig and his seminal contribution are little known. A great church dedicated to his memory in Copenhagen attests the Danish awareness of what he did for them.
At the beginning of the nineteenth century Denmark was a feudal and absolute monarchy. It was predominantly agricultural, with a large peasant population of serfs who were attached to manors. Early in the century reforms began which gave the land to the peasants as individual holdings. Later the first steps toward representative government were taken.
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A chronicler of those times reports: “The Danish peasantry at the beginning of the nineteenth century was an underclass. In sullen resignation it spent its life in dependence on estate owners and government officials. It was without culture and technical skill, and it was seldom able to rise above the level of bare existence. The agricultural reforms of that time were carried through without the support of the peasants, who did not even understand the meaning of them. ... All the reforms were made for the sake of the peasant, but not by him. In the course of the century this underclass has been changed into a well- to-do middle class which, politically and socially, now takes the lead among the Danish people.”
Freedom — to own land and to vote — was not enough to bring about these changes. A new form of education was designed by Grundtvig explicitly to achieve this transformation. Grundtvig was a theologian, poet, and student of history. Although he himself was a scholar, he believed in the active practical life and he conceptualized a school, the Folk High School, as a short intensive residence course for young adults dealing with the history, mythology, and poetry of the Danish people. He addressed himself to the masses rather than to the cultured. The “cultured” at the time thought him to be a confused visionary and contemptuously turned their backs on him. But the peasants heard him, and their natural leaders responded to his call to start the Folk High Schools — with their own resources.
“The spirit (not knowledge) is power.” “The living word in the mother tongue.” “Real life is the final test,” as contrasted with the German and Danish tendency to theorize. These were some of the maxims that guided the new schools of the people. For fifty years of his long life Grundtvig vigorously and passionately advocated these new schools as the means whereby the peasants could raise themselves into the Danish national culture. And, stimulated by the Folk High School experience, the peasant youth began to attend agricultural schools and to build cooperatives on the model borrowed from England.
Two events provided the challenge that matured the new peasant movement and brought it into political and social dominance by the end of the century. There was a disastrous war with Prussia in 1864, which resulted in a substantial loss of territory and a crushing blow to national aspiration. And then, a little later, there was the loss of world markets for corn, their major exportable crop, as a result of the agricultural abundance of the New World.
Peasant initiative, growing out of the spiritual dynamic generated by the Folk High Schools, recovered the nation from both of these shocks by transforming its exportable surplus from corn to “butter and bacon,” by rebuilding the national spirit, and by nourishing the Danish tradition in the territory lost to Germany during the long years until it was returned after World War I.
All of this, a truly remarkable social, political, and economic transformation, stemmed from one man’s conceptual leadership. Grundtvig himself did not found or operate a Folk High School, although he lectured widely in them. What he gave was his love for the peasants, his clear vision of what they must do for themselves, his long articulate dedication — some of it through very barren years — and his passionately communicated faith in the worth of these people and their strength to raise themselves — if only their spirit
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could be aroused. It is a great story of the supremacy of the spirit.
And Now!
These three examples from previous centuries illustrate very different types of leadership for the common good. They are not suggested as general models for today, although some useful hints may be found in them. What these examples tell us is that the leadership of trailblazers like Woolman, Jefferson, and Grundtvig is so “situational” that it rarely draws on known models. Rather it seems to be a fresh creative response to here- and-now opportunities. Too much concern with how others did it may be inhibitive. One wonders, in these kaleidoscopic times, what kind of contemporary leadership effort will be seen as seminal one hundred years from now, as we can now see the three I have described. Let me speculate.
The signs of the times suggest that, to future historians, the next thirty years will be marked as the period when the dark skinned and the deprived and the alienated of the world effectively asserted their claims to stature, and that they were not led by a privileged elite (like Woolman, Jefferson, and Grundtvig) but by exceptional people from their own kind.
It may be that the best that some of today’s privileged can do is to stand aside and serve by helping when asked and as instructed. Even the conceptualizing may be done better, not by an elite as Grundtvig did it in his times, but by leaders from among the dark skinned, the alienated, and the deprived of the world. A possible role for those who are now favored by the old rules may be, as Miguel Serrano has said, that of diving under this big wave and taking with them the accumulated wisdom as they see it, in the hope of coming up on the other side prepared to make it available when the turbulence of these times has passed and the dark skinned and the deprived and the alienated have found their way and can freely choose that which they find useful from what the now-privileged have stored away. Not many of today’s privileged may elect this course. But those among them who see themselves as servants first may want to consider it as a possible best course for them.
I do not have the prescience to know what will come of all of this. And I am not predicting a golden age, not soon. But I do believe that some of those of today’s privileged who will live into the twenty-first century will find it interesting if they can abandon their present notions of how they can best serve their less favored neighbor and wait and listen until the less favored find their own enlightenment, then define their needs in their own way and, finally, state clearly how they want to be served. The now-privileged who are natural servants may in this process get a fresh perspective on the priority of others’ needs and thus they may again be able to serve by leading. In the meantime, Paulo Freire has offered the Pedagogy of the Oppressed to ponder while they heed John Milton’s advice, “They also serve who only stand and wait.”
For those of today’s privileged who feel more like joining the fray and serving and leading actively as best they can during what promises to be a long period of unusual turbulence, Woolman, Jefferson, and Grundtvig are suggested as models to be studied
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closely. Study them not to copy the details of their methods but as examples of highly creative men, each of whom invented a role that was uniquely appropriate for him as an individual, that drew heavily on his strengths and demanded little that was unnatural for him, and that was very right for the time and place he happened to be.
Healing and Serving
Twelve ministers and theologians of all faiths and twelve psychiatrists of all faiths had convened for a two-day off-the-record seminar on the one-word theme of healing. The chairman, a psychiatrist, opened the seminar with this question: “We are all healers, whether we are ministers or doctors. Why are we in this business? What is our motivation?” There followed only ten minutes of intense discussion and they were all agreed, doctors and ministers, Catholics, Jews, and Protestants. “For our own healing,” they said.
This is an interesting word, healing, with its meaning, “to make whole.” The example above suggests that one really never makes it. It is always something sought. Perhaps, as with the minister and the doctor, the servant-leader might also acknowledge that his own healing is his motivation. There is something subtle communicated to one who is being served and led if, implicit in the compact between servant-leader and led, is the understanding that the search for wholeness is something they share.
Alcoholics Anonymous is regarded by some who know as recovering more alcoholics from this dreadful illness than all other approaches combined. Legend has it that the founding meeting to incorporate the organization was held in the office of a noted philanthropist, a very wealthy man. In the course of the discussion of the principles that would guide the new organization, the philanthropist made a statement something like this: “From my experience I think I know about the things that can be done with money and the things that cannot be done with money. What you in AA want to do cannot be done with money. You must be poor. You must not use money to do your work.”
There was more conversation but this advice profoundly influenced the course of AA. The principles that have guided the work of AA over the years were born at that meeting: they will be poor; no one but an alcoholic can contribute money to AA’s modest budget; AA will own no real property; the essential work of AA, one recovered (or partly recovered) alcoholic helping another toward recovery, will not be done for money.
Here are two quite different perspectives on healing and serving. Whether professional or amateur, the motive for the healing is the same: for one’s own healing.
Community — The Lost Knowledge of These Times
Men and women once lived in communities, and, in the developing world, many still do. Human society can be much better than it is (or was) in primitive communities. But if community itself is lost in the process of development, will what is put in its place survive? At the moment there seems to be some question. What is our experience?
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Within my memory, we once cared for orphaned children in institutions. We have largely abandoned these institutions as not good for children. Children need the love of a real home — in a family, a community.
Now we realize that penal institutions, other than focusing the retributive vengeance of society and restraining anti-social actions for a period, do very little to rehabilitate. In fact they dehabilitate and return more difficult offenders to society. What should we do with these people? It is now suggested that most of them should be kept in homes, in community.
There is now the beginning of questioning of the extensive building of hospitals. We need some hospitals for extreme cases. But much of the recent expansion has been done for the convenience of doctors and families, not for the good of patients — or even for the good of families. Only community can give the healing love that is essential for health. Besides, the skyrocketing cost of such extensive hospital care is putting an intolerable burden on health-care systems.
The school, on which we pinned so much of our hopes for a better society, has become too much a social-upgrading mechanism that destroys community. Now we have the beginnings of questioning of the school as we know it, as a specialized, separate-from- community institution. And much of the alienation and purposelessness of our times is laid at the door, not of education, but of the school.
We are in the process of moving away from institutional care for the mentally retarded and toward small community-like homes. Recent experience suggests that, whereas the former provides mostly custodial care, the small community can actually lift them up, help them grow.
Now the care of old people is a special concern, because there are so many more of them and they live so much longer. But the current trend is to put them in retirement homes that segregate the old from normal community. Already there is the suggestion that these are not the happy places that were hoped for . Will retirement homes shortly be abandoned as orphan homes were?
As a generalization, I suggest that human service that requires love cannot be satisfactorily dispensed by specialized institutions that exist apart from community, that take the problem out of sight of the community. Both those being cared for and the community suffer.
Love is an undefinable term, and its manifestations are both subtle and infinite. But it begins, I believe, with one absolute condition: unlimited liability! As soon as one’s liability for another is qualified to any degree, love is diminished by that much.
Institutions, as we know them, are designed to limit liability for those who serve through them. In the British tradition, corporations are not “INC” as we know them, but “LTD” — Limited. Most of the goods and services we now depend on will probably continue to be furnished by such limited liability institutions. But any human service where the one who is served should be loved in the process requires community, a face-to-face group in which the liability of each for the other and all for one is unlimited, or as close to it as it is possible to get. Trust and respect are highest in this circumstance and an accepted ethic that gives strength to all is reinforced. Where there is not community, trust, respect,
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and ethical behavior are difficult for the young to learn and for the old to maintain. Living in community as one’s basic involvement will generate an exportable surplus of love which the individual may carry into his many involvements with institutions which are usually not communities: businesses, churches, governments, schools.
Out of the distress of our seeming community-less society, hopeful new forms of community are emerging: young people’s communes, Israeli kibbutzes, and therapeutic communities like Synanon. Seen through the bias of conventional morality, the communes are sometimes disturbing to the older generation. But among them is a genuine striving for community, and they represent a significant new social movement which may foretell the future.
The opportunities are tremendous for rediscovering vital lost knowledge about how to live in community while retaining as much as we can of the value in our present urban, institution-bound society.
All that is needed to rebuild community as a viable life form for large numbers of people is for enough servant-Ieaders to show the way, not by mass movements, but by each servant-Ieader demonstrating his own unlimited liability for a quite specific community-related group.
Institutions
We differ from the primitives in that it is our task to rediscover the elementary knowledge of community while we refine and radically improve much of the vast non- community institutional structure on which we depend and without which we could not survive. A hopeful sign of the times, in the sector of society where it seems least expected — highly competitive business — is that people-building institutions are holding their own while they struggle successfully in the market place. It is not a great revolutionary movement but it is there as a solid fact of these times. And it is a very simple approach. The first order of business is to build a group of people who, under the influence of the institution, grow taller and become healthier, stronger, more autonomous.
Some institutions achieve distinction for a short time by the intelligent use of people, but it is not a happy achievement, and eminence, so derived, does not last long. Others aspire to distinction (or the reduction of problems) by embracing “gimmicks”: profit sharing, work enlargement, information, participation, suggestion plans, paternalism, motivational management. There is nothing wrong with these in a people-building institution. But in a people-using institution they are like aspirin — sometimes stimulating and pain relieving, and they may produce an immediate measurable improvement of sorts. But these are not the means whereby an institution moves from people-using to people- building. In fact, an overdose of these nostrums may seal an institution’s fate as a people- user for a very long time.
An institution starts on a course toward people-building with leadership that has a firmly established context of people first. With that, the right actions fall naturally into place. And none of the conventional gimmicks may ever be used. (For a fuller discussion of institutions, see another paper, “The Institution as Servant.”)
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Trustees
Institutions need two kinds of leaders: those who are inside and carry the active day- to-day roles, and those who stand outside but are intimately concerned, and who, with the benefit of some detachment, oversee the active leaders. These are the trustees.
Trustees are what their title implies, persons in whom ultimate trust is placed. Because institutions inevitably harbor conflict, trustees are the court of last resort if an issue arises that cannot be resolved by the active parties. If tangible assets are involved, trustees legally hold them and are responsible to all interested parties for their good use. They have a prime concern for goals and for progress toward goals. They make their influence felt more by knowing and asking questions than by authority, although they usually have authority and can use it if need be. If, as is usual, there are several trustees, their chairman has a special obligation to see that the trustees as a group sustain a common purpose and are influential in helping the institution maintain consistent high-Ievel performance toward its goals. The chairman is not simply the presider over meetings, but also must serve and lead the trustees as a group and act as their major contact with the active inside leadership. Although trustees usually leave the “making of news” to active persons in the enterprise, theirs is an important leadership opportunity.
So conceived, the role of trustees provides a great opportunity for those who would serve and lead. And no one step will more quickly raise the quality of the total society than a radical reconstruction of trustee bodies so that they are predominantly manned by able, dedicated servant-leaders. Two disturbing questions: Is there now enough discerning toughness strategically placed to see that this change takes place, in the event that able, dedicated servant-leaders become available in sufficient numbers to do it? And are enough able people now preparing themselves for these roles so that this change can be made in the event that it is possible to make it? (For a fuller discussion of the trustee role, see the two papers, “The Institution as Servant” and “Trustees as Servants.”)
Power and Authority — The Strength and the Weakness
In a complex institution-centered society, which ours is likely to be into the indefinite future, there will be large and small concentrations of power. Sometimes it will be a servant’s power of persuasion and example. Sometimes it will be coercive power used to dominate and manipulate people. The difference is that, in the former, power is used to create opportunity and alternatives so that individuals may choose and build autonomy. In the latter, individuals are coerced into a predetermined path. Even if it is “good” for them, if they experience nothing; else, ultimately their autonomy will be diminished.
Some coercive power is overt and brutal. Some is covert and subtly manipulative. The former is open and acknowledged, the latter is insidious and hard to detect. Most of us are more coerced than we know. We need to be more alert in order to know, and we also need to acknowledge that, in an imperfect world, authority backed up by power is still necessary because we just don’t know a better way. We may one day find one. It is worth
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searching for. Part of our dilemma is that all leadership is, to some extent, manipulative. Those who follow must be strong!
The trouble with coercive power is that it only strengthens resistance. And, if successful, its controlling effect lasts only as long as the force is strong. It is not organic. Only persuasion and the consequent voluntary acceptance are organic.
Since both kinds of power have been around for a long time, an individual will be better off by at some point being close enough to raw coercion to know what it is. One must be close to both the bitterness and goodness of life to be fully human.
Servants, by definition, are fully human. Servant-leaders are functionally superior because they are closer to the ground — they hear things, see things, know things, and their intuitive insight is exceptional. Because of this they are dependable and trusted, they know the meaning of that line from Shakespeare’s sonnet: “They that have power to hurt and will do none. ...”
How Does One Know the Servant?
For those who follow — and this is everyone, including those who lead — the really critical question is: Who is this moral individual we would see as leader? Who is the servant? How does one tell a truly giving, enriching servant from the neutral person or the one whose net influence is to take away from or diminish other people? Rabbi Heschel had just concluded a lecture on the Old Testament prophets in which he had spoken of true prophets and false prophets. A questioner asked him how one tells the difference between the true and the false prophets. The rabbi’s answer was succinct and to the point. “There is no way!” he said. Then he elaborated, “If there were a way, if one had a gauge to slip over the head of the prophet and establish without question that he is or he isn’t a true prophet, there would be no human dilemma and life would have no meaning.’.
So it is with the servant issue. If there were a dependable way that would tell us, “These people enrich by their presence, they are neutral, or they take away,” life would be without challenge. Yet it is terribly important that one know, both about oneself and about others, whether the net effect of one’s influence on others enriches, is neutral, or diminishes and depletes.
Since there is no certain way to know this, one must turn to the artists for illumination. Such an illumination is in Hermann Hesse’s idealized portrayal of the servant Leo whose servanthood comes through in his leadership. In stark modern terms it can also be found in the brutal reality of the mental hospital where Ken Kesey (in One Flew Over the Cuckoo’s Nest) gives us Big Nurse — strong, able, dedicated, dominating, authority-ridden, manipulative, exploitative — the net effect of whose influence diminished other people, literally destroyed them. In the story she is pitted in a contest with tough, gutter-bred Mac Murphy, a patient, the net effect of whose influence is to build up people and make both patients and the doctor in charge of the ward grow larger as persons, stronger, healthier — an effort that ultimately costs Mac Murphy his life. If one will study the two characters, Leo and Mac Murphy, one will get a measure of the range of possibilities in the role of servant as leader.
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In Here, Not Out There
A King once asked Confucius’ advice on what to do about the large number of thieves. Confucius answered, “If you, sir, were not covetous, although you should reward them to do it, they would not steal.” This advice places an enormous burden on those who are favored by the rules, and it establishes how old is the notion that the servant views any problem in the world as in here, inside oneself, not out there. And if a flaw in the world is to be remedied, to the servant the process of change starts in here, in the servant, not out there. This is a difficult concept for that busybody, modern man.
So it is with joy. Joy is inward, it is generated inside. It is not found outside and brought in. It is for those who accept the world as it is, part good, part bad, and who identify with the good by adding a little island of serenity to it.
Hermann Hesse dramatized it in the powerful leadership exerted by Leo who ostensibly served only in menial ways but who, by the quality of his inner life that was manifest in his presence, lifted men up and made the journey possible. Camus, in his final testament quoted earlier, leaves us with: “Each and every man, on the foundations of his own sufferings and joys, builds for them all.”
Who Is the Enemy?
Who is the enemy? Who is holding back more rapid movement to the better society that is reasonable and possible with available resources? Who is responsible for the mediocre performance of so many of our institutions? Who is standing in the way of a larger consensus on the definition of the better society and paths to reaching it?
Not evil people. Not stupid people. Not apathetic people. Not the “system.” Not the protesters, the disrupters, the revolutionaries, the reactionaries.
Granting that fewer evil, stupid, or apathetic people or a better “system” might make the job easier, their removal would not change matters, not for long. The better society will come, if it comes, with plenty of evil, stupid, apathetic people around and with an imperfect, ponderous, inertia-charged “system” as the vehicle for change. Liquidate the offending people, radically alter or destroy the system, and in less than a generation they will all be back. It is not in the nature of things that a society can be cleaned up once and for all according to an ideal plan. And even if it were possible, who would want to live in an aseptic world? Evil, stupidity, apathy, the “system” are not the enemy even though society building forces will be contending with them all the time. The healthy society, like the healthy body, is not the one that has taken the most medicine. It is the one in which the internal health building forces are in the best shape.
The real enemy is fuzzy thinking on the part of good, intelligent, vital people, and their failure to lead, and to follow servants as leaders. Too many settle for being critics and experts. There is too much intellectual wheel spinning, too much retreating into “research,” too little preparation for and willingness to undertake the hard and high risk
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tasks of building better institutions in an imperfect world, too little disposition to see “the problem” as residing in here and not out there.
In short, the enemy is strong natural servants who have the potential to lead but do not lead, or who choose to follow a non servant. They suffer. Society suffers. And so it may be in the future.
Implications
The future society may be just as mediocre as this one. It may be worse. And no amount of restructuring or changing the system or tearing it down in the hope that something better will grow will change this. There may be a better system than the one we now have. It is hard to know. But, whatever it is, if the people to lead it well are not there, a better system will not produce a better society.
Many people, finding their wholeness through many and varied contributions make a good society. Here we are concerned with but one facet: able servants with potential to lead will lead, and, where appropriate, they will follow only servant-leaders. Not much else counts if this does not happen.
This brings us to that critical aspect of realism that confronts the servant-leader, that of order. There must be some order because we know for certain that the great majority of people will choose some kind of order over chaos even if it is delivered by a brutal non- servant and even if, in the process, they lose much of their freedom. Therefore the servant- leader will beware of pursuing an idealistic path regardless of its impact on order. The big question is: What kind of order? This is the great challenge to the emerging generation of leaders: Can they build better order?
Older people who grew up in a period when values were more settled and the future seemed more secure will be disturbed by much they find today. But one firm note of hope comes through — loud and clear; we are at a turn of history in which people are growing up faster and some extraordinarily able, mature, servant-disposed men and women are emerging in their early and middle twenties. The percentage may be small, and, again, it may be larger than we think. Moreover, it is not an elite; it is all sorts of exceptional people. Most of them could be ready for some large society-shaping responsibility by the time they are thirty if they are encouraged to prepare for leadership as soon as their potential as builders is identified, which is possible for many of them by age eighteen or twenty. Preparation to lead need not be at the complete expense of vocational or scholarly preparation, but it must be the first priority. And it may take some difficult bending of resources and some unusual initiatives to accomplish all that should be accomplished in these critical years and give leadership preparation first priority. But whatever it takes, it must be done. For a while at least, until a better-led society is assured, some other important goals should take a subordinate place.
All of this rests on the assumption that the only way to change a society (or just make it go) is to produce people, enough people, who will change it (or make it go). The urgent problems of our day — the disposition to venture into immoral and senseless wars, destruction of the environment, poverty, alienation, discrimination, overpopulation — are
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here because of human failures, individual failures, one person at a time, one action at a time failures.
If we make it out of all of this (and this is written in the belief that we will make it), the “system” will be whatever works best. The builders will find the useful pieces wherever they are, and invent new ones when needed, all without reference to ideological coloration. “How do we get the right things done?” will be the watchword of the day, every day. And the context of those who bring it off will be: all men and women who are touched by the effort grow taller, and become healthier, stronger, more autonomous, and more disposed to serve.
Leo the servant, and the exemplar of the servant-leader, has one further portent for us. If we may assume that Hermann Hesse is the narrator in Journey to the East (not a difficult assumption to make), at the end of the story he establishes his identity. His final confrontation at the close of his initiation into the Order is with a small transparent sculpture two figures joined together. One is Leo, the other is the narrator. The narrator notes that a movement of substance is taking place within the transparent sculpture.
I perceived that my image was in the process of adding to and flowing into Leo’s, nourishing and strengthening it. It seemed that, in time ... only one would remain: Leo. He must grow, I must disappear.
As I stood there and looked and tried to understand what I saw, I recalled a short conversation that I had once had with Leo during the festive days at Bremgarten. We had talked about the creations of poetry being more vivid and real than the poets themselves.
What Hesse may be telling us here is that Leo is the symbolic personification of Hesse’s aspiration to serve through his literary creations, creations that are greater than Hesse himself; and that his work, for which he was but the channel, will carry on and serve and lead in a way that he, a twisted and tormented man, could not — except as he created.
Does not Hesse dramatize, in extreme form, the dilemma of us all? Except as we venture to create, we cannot project ourselves beyond ourselves to serve and lead.
To which Camus would add: Create dangerously!
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Who was Robert K. Greenleaf ? ROBERT K. GREENLEAF was an American original, an essayist in the tradition of Emerson. Back in 1970, he wrote a small essay called The Servant As Leader, which introduced the term “servant-leadership.” That and other writings have influenced an entire generation of management experts and institutional leaders.
Bob Greenleaf (1904-1990) spent his first career in management research, development and education at AT&T. After retirement, he began a second career teaching and consulting at institutions ranging from Harvard Business School to the Ford Foundation to scores of churches and not-for-profit institutions. During the tumultuous 1960s,
Greenleaf tried to understand why so many young people were in rebellion against America’s institutions, especially universities. He concluded that the fault lay with the institutions: they weren’t doing a good job of serving, therefore, they were doing a poor job of leading.
In 1970, Greenleaf wrote The Servant as Leader, a powerful little essay that continues to gain influence today. In it, Greenleaf described some of the characteristics and activities of servant-leaders, providing examples which show that individual efforts, inspired by vision and a servant ethic, can make a substantial difference in the quality of society. Greenleaf said true leaders are chosen by their followers. He discussed the skills necessary to be a servant-leader; the importance of awareness, foresight and listening; and the contrasts between coercive, manipulative, and persuasive power.
A few years later, (1972) Greenleaf published a second essay, The Institution As Servant, which was based on the idea that institutions could also be servants. Greenleaf said that much of the caring for persons in today’s society is mediated by large, complex institutions. The Institution As Servant challenges conventional wisdom about hierarchical organization and the use of power in our major institutions. Trustees and leaders in churches, businesses, and universities will think about organizational structure in a fresh way after reading this essay.
As he continued to reflect on the way organizations operate, Greenleaf realized that institutions were controlled by trustees. This reflection prompted a third essay in 1974, Trustees As Servants. It’s a must-read for any trustees or directors who would venture to become powerful forces in regenerating trust. This essay seeks to address the needs of senior executives for sustained, caring (but demanding) assistance from able trustees. Drawing on a lifetime of experience in institutions, Greenleaf addressed the ambiguity of the trustee role and offered ideas on how each trustee group can claim its rightful functions.
Until his death in 1990, Robert Greenleaf kept writing on the themes of management, servanthood, organizations, power and spirituality.
for more information — The Robert K. Greenleaf Center for Servant-Leadership 921 East 86th Street, Suite 200 ~ Indianapolis, IN 46240 U.S.A. www.greenleaf.org
Servant Leadership — A Journey into the Nature of Legitimate Power and Greatness by Robert K. Greenleaf (338pg, published by Paulist Press 1977) ISBN 0-8091-2527-7
Transformational Leadership - An Evolving Concept.pdf
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Canadian Journal of Educational Administration and Policy, Issue #54, June 26, 2006. © 2006 by CJEAP and the author(s).
Transformational Leadership: An Evolving Concept Examined through the Works of Burns, Bass, Avolio, and Leithwood
Jan Stewart, University of Winnipeg
Introduction
Where do we come from? What are we? Where are we going? Although these three simple questions originally posed by Paul Gauguin in the late 1800s were intended to provide meaning to human existence, they do offer a simple analogy to delve into the mysteries and ambiguities of leadership. The following discussion of leadership involves an examination of emerging themes, evolving models and empirical research from some of the most wellknown leadership scholars. So as not to develop a myopic view of leadership, theorists from outside of the field of educational administration are discussed and numerous similarities are drawn. The paper will examine some of the conflicting opinions and diverging perspectives of leadership and discuss the overriding debate concerning the most suitable educational leadership model. Who are educational leaders? Are they celebrity CEOs who focus on soliciting public support instead of increasing profits? Are they altruistic individuals committed to the overall organization and the betterment of our children? In what direction are schools going? How will educational leaders navigate others within a culture that fully embraces systemic change?
Robert Wright (2004), author of bestselling book, A Short History of Progress, asserts that we have progressed so rapidly as a society that the skills and customs we learned as children are outdated by the time we are thirty. In a sense, we struggle to keep up with our own culture. In huntergatherer societies the social structure was, for the most part, egalitarian. “Leadership was diffuse, a matter of consensus, or something earned by merit or example” (Wright, p. 48). When the hunter was successful he shared his meat and thus gained power and prestige from his followers. Leadership is a universal phenomenon. The roles of both leaders and followers have become more complex and elaborate and multiple perspectives exist on how leadership is conceptualized.
Leithwood and Duke (1999) conducted a review of the concepts of leadership in educational literature from 1988 to 1995. In this review they found a total of 121 articles on leadership, out of a total number of 716 articles. Based on a review of ten years of leadership research, by top scholars in educational administration, Heck and Hallinger (1999) concluded that there was a clear trend toward the accumulation of knowledge regarding school leadership and its effects. Leadership has been, and will continue to be, a major focus in the era of school accountability and school restructuring. They also suggest that the study of school leadership will become increasingly more eclectic, both philosophically and methodologically. In addition, leading and managing effective schools to respond to the increasingly complex demands of society will require the knowledge and technical skills of committed and competent leaders. With the plethora of research on the topic of leadership, we continue to see ambiguous and illdefined concepts and theories on the topic of leadership. The all encompassing topic of “leadership” has subsumed such a diversity of perspectives and topics, that hardly anyone can determine what leadership actually is, nor how it should be defined. Furthermore, as the demographics shift, there is considerable debate on how to best prepare the next generation of leaders. The eclecticism reflected in the study of educational leadership has rendered the field unfocused and without a guiding purpose. Moreover, this has left scholars and practitioners searching to make sense of the field within a rapidly changing and diverse world.
There is no doubt that there will continue to be a focus on leadership throughout the succeeding decades. Michael Fullan (2001) claims that effective leadership is in short supply. He further adds that we should expect to see “leadership development initiatives dominating the scene over the next decade” (p. xii). What is the image of leadership that will take us through this period of organizational change and school reform? Moreover, what kind of leadership is needed at all levels of the school system to effectively lead us through change and advance us even further than we ever thought possible?
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The media inundate us with stories of top leaders in business, government, and education. Harvard Business Review and Educational Administration Quarterly, two of the most scholarly journals representing their respective fields, devote considerable space to the study of leadership. Bestselling national book lists include books that examine all facets of leadership by wellknown business writers such as: Jim Collins, Jack Welsh, and Peter Drucker. Our society has a growing desire to look more critically at our leaders as we search for more effective and efficient ways to run our organizations. Foster and Young (2004) note, “When goals are not met, people lose confidence in, and tend to blame those people believed to be responsible for leadership” (p. 29). School systems have become a source of blame for the many ills that affect our current society. The trend, as Young and Foster outline, is to “blame those people believed to be responsible for leadership when solutions are not readily forthcoming” (p. 29). Rarely does a day pass without newspapers reporting stories about both effective and ineffective leadership. Society celebrates and often immortalizes outstanding leaders. Some people spend their lives trying to emulate and master the behaviours of these wellknown leaders. The media regales in delight to share with us the demise of someone we thought was an infallible leader. Sometimes we hear of stories about ordinary people in a community who possess outstanding leadership qualities that mobilize others to work collaboratively towards achieving a common goal. Articles and books centre around helping people become more effective leaders: to be more innovative; to connect with their staff; and to develop and focus on a shared vision. Collectively, this abundance of literature attempts to explore the multidimensional and complex meaning of the term “leadership.”
Despite the copious amount of literature on leadership, an agreed upon definition of leadership does not exist. It is difficult to engage in conversation without a clear definition of what you are talking about; similarly, it is difficult to follow a concise definition of a concept that is so subjective. In addition to the ambiguity surrounding the definition of leadership, researchers have found relatively limited correlations between student learning and leadership practices. Leithwood and Riehl (2003) stated, “Although leadership explains only about three to five percent of the variation in student learning across schools, this effect is actually nearly onequarter of the total effect of all school factors” (p. 3). Despite the seemingly limited correlation, the effect of leadership when compared to all of the other school factors proves to be substantial and therefore warrants consideration. Having said this, the discourse on leadership might best be understood through the careful examination of the series of phases in which it has evolved.
The Progression of Transformational Leadership: Where do we come from?
Instructional leadership and transformational leadership have emerged as two of the most frequently studied models of school leadership (Heck & Hallinger, 1999). What distinguishes these models from others is the focus on how administrators and teachers improve teaching and learning. Instructional leaders focus on school goals, the curriculum, instruction, and the school environment. Transformational leaders focus on restructuring the school by improving school conditions. Huber and West (2002) delineate the following stages of leadership into four broadly defined phases. The first phase is the personality or trait theory of leadership, whereby successful leaders are seen as possessing particular qualities and characteristics typical of good leaders. The personality theory focuses on great men and women leaders in history, for example: Gandhi, Mandela, Churchill, and Thatcher. Leaders are expected to study the lives of these leaders and then attempt to emulate their behaviours and attitudes. Many of these great leaders vary tremendously and copying their behaviours is an almost impossible task. The second phase includes examining what good leaders actually do. In this phase, certain traits are believed to relate to successful leadership; however, empirical studies have not established a definite link between particular traits, or groups of traits, and effective leadership.
Following these two phases is a situational approach to leadership. Researchers turn their attention to the context in which leadership is exercised. Taskrelated and peoplecentred behaviours are interpreted differently by groups in different contexts. Researchers attempt to isolate specific properties of leadership situations that relate to the leader’s behaviour and performance. The fourth phase that includes linking the culture of the organization to the leader is encompassed in the transformational model of leadership. Instructional leadership and transformational leadership have been a topic of conversation and debate among scholars for the past decade. The current focus is linking leader behaviour with the organizational culture (Murphy, 2002).
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Instructional Leadership
The Instructional leadership model emerged in the early 1980s in the research on effective schools. In contrast to the earlier models, this model focused on the manner in which leadership improved educational outcomes. Essentially, the principal’s role was to focus on the teachers as the teachers focused on helping students learn. The leadership of the school principal is instrumental in providing an explanation for school effectiveness. School leaders are intended to focus on the behaviours of teachers as they help teachers engage their students in learning activities. Hallinger’s (2003) most frequently used conceptualization of instructional leadership proposes three dimensions: defining the school’s mission, managing the instructional program, and promoting a positive schoollearning climate. Hallinger further outlines ten functions of an instructional leader.
Dimmock (1995) asserts that instructional leadership is too prescriptive and relies on a top down process of management. This type of structure supports the notion that when principals execute essential tasks, teaching and learning improve. He suggests that schools are characterized by “loose coupling and autonomy” and a better strategy would be a bottomup approach. The proposed “backward mapping” would begin with student outcomes and then progress up through the following: learning styles and processes; teaching strategies; school organization and structure; and leadership, management, resources and culture/climate. Dimmock suggests that this framework and strategy would help schools and communities address the challenge of providing leadership and management for quality teaching and learning. Essentially, the student is the centre of these quality schools and principals and teachers must focus on improving student learning and performance. Leadership within this paradigm is based primarily on a strong technical knowledge of teaching and learning and secondly, on curriculum design, development and evaluation. Dimmock states, “The traditional top down linear conceptions of leadership and management and their influence on teaching and learning have become inappropriate” (p. 295). He also suggests that research findings indicate that only a minority of principals would find instructional leadership a reality.
The problem with instructional leadership is that in many schools the principal is not the educational expert. Moreover, there are some principals who perceive their role to be administrative and, as such, they purposely distance themselves from the classroom environment. Hallinger (2003) suggests that in many instances principals have less expertise than the teachers they supervise. This notion is further complicated by the fact that the principal’s authority is severely limited as he/she occupies a middle management position. In many school systems, the ultimate authority exists with the senior administrators in the district or divisional office. The reality of current school systems is that principals are politically wedged between the expectations of classroom teachers, parents, the senior management team, and the members of the community. A challenge for many principals is to work with the various educational stakeholders to maintain some sense of balance between the competing and often conflicting demands from various interest groups.
Devolution and decentralization also divert the principal’s attention from the technical core of the school. Many school principals are so engrossed in the managerial and administrative tasks of daily school life, that they rarely have time to lead others in the areas of teaching and learning.
Elaborated and more contemporary versions of instructional leadership have been developed in order to respond to the numerous dimensions and everchanging study of leadership. Heck and Hallinger’s (1999) conceptualization of instructional leadership focuses on the principal’s effort to define the school’s mission and goals, manage the instructional program, and promote a safe school environment. These dimensions are elaborated further to include ten functions of an instructional leader. Marks and Printy (2003) reconceptualized the term “instructional leadership” to replace the hierarchical and procedural notion with the concept of “shared” instructional leadership. In this model, the principal is the “leader of instructional leaders” not the person who is independently responsible for leadership initiatives within the school.
Transformational Leadership
Starting around the mid1980s the public became increasingly more demanding on the school system to raise standards and improve students’ academic performance. Along with this emerged the critical observation of school leadership and the link
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between leadership and school effectiveness. Adams and Kirst (1999) stated, “The ‘excellence movement’ was launched, and in its wake followed an evolution in the notion of educational accountability commensurate with the movement’s challenge to obtain better student performance” (p. 463). Leithwood, Jantzi, & Steinbach (2002) refer to these initiatives as largescale school reform. Several other initiatives were implemented as a means of providing more accountability. Adams and Kirst state, “Policy makers, educational leaders, practitioners, and parents also continued to seek better student performance and accountability through management practices, professional standards, teacher commitment, democratic processes, and parent choice” (p. 466). School reform and accountability movements pressure school principals to improve student achievement, yet little information is provided on best practices for achieving this. Numerous accountability schemes are exclusively based on highstakes standardized testing, which is typically incongruent with what most educators recognize as effective ways of measuring quality teaching and learning. Educational accountability schemes are complex and they are often accompanied by both internal and external turbulence that must be mediated by the school principal. The new focus for schools has created a cohort of “old school” principals who must now embrace a conceptually new form of leadership.
Along with this movement toward greater accountability was the increasing number of research studies attempting to measure the impact of school leadership. New terms began to emerge in literature such as: shared leadership, teacher leadership, distributed leadership and transformational leadership. “The emergence of these models indicated a broader dissatisfaction with the instructional leadership model, which many believed focused too much on the principal as the centre of expertise, power, and authority” (Hallinger, 2003, p. 330).
Leithwood, Begley and Cousins (1994), in their book Developing Expert Leadership, discuss several questions related to the impact and influences on the practices of current school leaders. In their discussion they review studies conducted from 1974 to 1988 and attempt to find out what the studies contributed to knowledge about the impact of school leaders. They state the following: “First, we must acknowledge significant limitations in the researchbased knowledge about the nature of current schoolleaders’ impact. But, based on the number of studies alone, one can reasonably conclude that current schoolleaders are capable of having a significant influence on the basic skills’ achievement of students” (p.14). They further state that evidence concerning other types of impact was extremely thin.
Hallinger (2003) stated that by 1990, researchers shifted their attention to leadership models that were “more consistent with evolving trends in educational reform such as empowerment, shared leadership, and organizational learning. This evolution of the educational leadership role has been labelled as reflecting ‘second order’ changes (Leithwood et al., 1994) as it is aimed primarily at changing the organization’s normative structure” (p. 330). Transformational leadership is the primary model reflecting the aforementioned characteristics (e.g., Avolio 1999; Bass 1997, 1998; Bass & Avolio, 1994; Leithwood & Jantzi 2000; Silins & Mulford, 2002). To fully conceptualize the notion of transformational leadership, a reflective examination of its inception and development is prudent. In addition, a thorough investigation into the research and literature provided by leading scholars of this model is imperative to our understanding of the term. The scholars most closely associated with transformational leadership are: James MacGregor Burns, Bernard M. Bass, Bruce J. Avolio, and Kenneth Leithwood. The contributions that each of these scholars made, to the concept of transformational leadership, will be discussed in the following section.
James MacGregor Burns
Burns (1978) notes that although leadership is in rich abundance in literature, no central concept of leadership has emerged, because scholars are working in separate disciplines to answer specific questions unique to their specialty. Because of the work conducted in the field of humanistic psychology, Burns states that it made it possible to make generalizations about leadership across cultures and time. In his groundbreaking book “Leadership,” Burns sets the stage for the evolution of the concept of transformational leadership.
According to Burns (1978), leadership must be aligned with a collective purpose and effective leaders must be judged by their ability to make social changes. He suggests that the role of the leader and follower be united conceptually and that the process of leadership is the interplay of conflict and power. Burns delineates two basic types of leadership: transactional and
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transformational. Transactional leaders approach followers with the intent to exchange one thing for another, for example, the leaders may reward the hardworking teacher with an increase in budget allowance. On the other hand,“The Transforming leader looks for potential motives in followers, seeks to satisfy higher needs, and engages the full person of the follower” (p. 4). The result of this leadership is a mutual relationship that converts followers to leaders and leaders into moral agents. The concept of moral leadership is proposed as a means for leaders to take responsibility for their leadership and to aspire to satisfy the needs of the followers. Burns’ position is that leaders are neither born nor made; instead, leaders evolve from a structure of motivation, values, and goals.
Burns argues that we have relied on a faulty and overemphasized role of power. As such, we have paid the price for our preoccupation with power and we must now see power and leadership not as things but as relationships. “It lies in seeing that most powerful influences consist of deeply human relationships in which two or more persons engage with one another. It lies in a more realistic, a more sophisticated understanding of power, and of the often far more consequential exercise of mutual persuasion, exchange, elevation, and transformation – in short, of leadership” (p. 11). Burns defines 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 – ofboth leaders and followers” (Burns, 1978, p.19). Transactional leadership occurs when one person takes the initiative in making contact with other for the purpose of an exchange of valued things. Both parties acknowledge the power relationships of the other and together they continue to pursue their respective purposes. The people are not bound together by a mutually similar purpose. In contrast, transforming leadership occurs when one or more persons engage with one another and they increase their levels of motivation and morality. The power base, in this instance, mutually supports a common purpose. This latter form of leadership seeks to “raise the level of human conduct and ethical aspiration of both the leader and led, and thus it has a transforming effect on both” (Burns, 1978, p.20). Transformational leadership encompasses a change to benefit both the relationship and the resources of those involved. The result is a change in the level of commitment and the increased capacity for achieving the mutual purposes.
Burns’ earlier work was instrumental in defining two solid conceptualizations of the terms “transactional leadership” and “transformational leadership.” The work of Avolio & Bass, 2002, and Avolio, 1999; Bass, 1997, 1998; Bass & Avolio, 1993) was a response to some of the limitations and omissions evident in Burns’ work, in particular, the lack of empirical evidence to support Burns’ theory.
Burns’ latest book entitled Transforming Leadership: A New Pursuit of Happiness (2003) offers an expansion of his earlier book. While illuminating the work of world leaders, he suggests ways that transactional leaders can learn to become transformational. Burns examines people whom he considers to be breakthroughs in leadership, for example: Gandhi, Gorbachev, Eleanor Roosevelt, Washington, and Jefferson. Burns further suggests that what was lacking in his original work was a focus on psychology. He believes that to understand leadership and change, we must examine human needs and social change. His exploration also includes looking at leadership as a form of power based on “the possession of resources by those that hold power, as well as the interplay of the wants and needs, motives, values, and capacities of both wouldbe leaders and their potential followers” (p. 16). Burns contends that leadership is a moral undertaking and a response to human wants as they are expressed in human values. He believes that the biggest and boldest task of global leadership should be to respond to world poverty. Burns suggests that, “transforming leadership begins on people’s terms, driven by their wants and needs, and must culminate in expanding opportunities for happiness” (p. 230). While examining worldrenowned great leaders, Burns focuses on ways that leaders emerge from being ordinary “deal makers” to become dynamic agents of major social change.
Similar to Burns’ (2003) investigation into worldrenowned leaders, Jim Collins (2001a), a wellknown author and management researcher, shared a similar orientation when he attempted to uncover what transformed a company from good to great. His research revealed that great companies had what he defined as a Level 5 Leader. His argument is based on a fiveyear study he and a group of 22 research associates conducted with 1,435 Fortune 500 companies. Through both qualitative and quantitative analysis they set out to answer two research questions: Can a good company become a great company, and, if so, how? Collins’ concludes that only 11 companies met the criteria of a “great company” and at the helm of these companies was a unique person with specific characteristics.
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Collins (2001b) developed a hierarchical diagram that outlines the progression of a Level 5 Leader and the subsequent increase in personal power. Level 5 Leaders are humble and unpretentious; they often credit “luck” or others for their accomplishments. They are mildmannered and shy, and they do not want to receive any public acknowledgement for their greatness. These leaders push themselves to do whatever it takes to produce great results and they pursue successors that will continue on in their success. When a Level 5 Leader recognizes adversity or when the company struggles, they blame themselves and maintain their faith that they will prevail with commitment and perseverance. Despite feelings of inadequacy, these great leaders focus on the company, and make decisions for the benefit and longevity of the organization, as opposed to their personal wealth or benefit.
Burns and Collins both revert to looking at the great leaders of all time in an effort to isolate what makes these people so extraordinary. Both conclude that these exceptional leaders possess something unique. Burns suggests that transforming leaders “define public values that embrace the supreme and enduring principles of a people” (p. 29). Collins (2001b) states that Level 5 leaders “build enduring greatness through a paradoxical blend of personal humility and professional will” (p. 20). Despite the differences in the above statements, Level 5 leaders and transforming leaders both focus on the collective organization, or group of people. Moreover, these exceptional and committed leaders possess unique personal values that empower others to transform the organization.
Bernard M. Bass & Bruce J. Avolio
Bass (1998) concentrated his research on military, business, and educational organizations. He delved into, what was considered at the time, the new paradigm of transformational leadership. Most of his research stems from the inadequacies and deficiencies that were documented from Burns’ earlier work. He has found evidence that transformational leadership was particularly powerful and had the foundation to move followers beyond what was expected. He believes that transformational leaders did more than set up exchanges and agreements. Bass believes that leaders behave in certain ways in order to raise the level of commitment from followers. Transformational leadership is classified as the Full Range of Leadership (FRL) and this permits further exploration into the effects of its application to specific conditions (Bass, 1998). The identification and training of potential leaders is also investigated more systematically.
Previous research relied heavily on the use of survey instruments and many studies tested the same hypotheses. This has resulted in a paucity of theory and a lack of practical application of these limited findings (Bass 1998). Bass’ intent is to develop new ways to identify successful and effective leaders. His work uses an empirically confirmed and logically supported factor analytic framework of transformational and transactional leadership.
Development of the Multifactor Leadership Questionnaire (MLQ)
Bass and his colleagues identify components of transformational leadership which are further measured with the Multifactor Leadership Questionnaire (MLQ). A total of 141 statements were classified by trained judges as either transformational or transactional leadership. The questionnaire was then administered to U.S. Army officers and they were told to rate their superior officers on a scale from 0 (not observed) to 4 (behaviour observed frequently). Numerous other studies have been completed following this original research to analyze frequencies of behaviours observed by subordinates in business, agencies, and the military. The following four components of transformational leadership were developed:
1. Charismatic Leadership, or Idealized Influence. Transformational leaders are role models; they are respected and admired by their followers. Followers identify with leaders and they want to emulate them. Leaders have a clear vision and sense of purpose and they are willing to take risks.
2. Inspirational Motivation. Transformational leaders behave in ways that motivate others, generate enthusiasm and challenge people. These leaders clearly communicate expectations and they demonstrate a commitment to goals and a shared vision.
3. Intellectual Stimulation. Transformational leaders actively solicit new ideas and new ways of doing things. They stimulate others to be creative and they never publicly correct or criticize others.
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others to be creative and they never publicly correct or criticize others. 4. Individualized Consideration. Transformational leaders pay attention to the needs and the potential for developing others. These leaders establish a supportive climate where individual differences are respected. Interactions with followers are encouraged and the leaders are aware of individual concerns (Bass, 1998).
Bass’ model of leadership also includes three dimensions of transactional leadership: contingent reward, managementby exception, and laissezfaire, or nonleadership behaviour. Contingent reward relates back to earlier work conducted by Burns (1978) where the leader assigns work and then rewards the follower for carrying out the assignment. Managementby exception (MBE) is when the leader monitors the follower, and then corrects him/her if necessary. MBE can be either passive (MBEP) or active (MBEA). MBEP includes waiting passively for errors to occur and then taking corrective action. MBEA may be necessary when safety is an issue. For example, a leader may need to supervise a group of workers. Laissezfaire leadership is virtually an avoidance of leadership behaviours. Leadership behaviours are ignored and no transactions are carried out.
Bass believes that every leader displays each of the aforementioned styles to some extent; he calls this the “Full Range of Leadership Model” (Bass, 1998, p. 7). An optimal leader would practice the transformational components more frequently and the transactional components less frequently. Bass and Avolio (1988) embrace this “twofactor theory” of leadership and believe that the two build on one another. The transactional components deal with the basic needs of the organization, whereas the transformational practices encourage commitment and foster change. Although Bass believes that transformational and transactional leadership are at opposite ends of the leadership continuum (Leithwood & Jantzi, 2000), he maintains that the two can be complementary. The delineation of transactional and transformation components makes this a logical point of departure in this discussion, to provide a clear distinction between the role of a manager and a leader.
Managers and Leaders
Abraham Zaleznik (1992) wrote an article for Harvard Business Review entitled, “Managers and leaders: Are they different?” He argues that managers and leaders are different kinds of people. He states, “a crucial difference between managers and leaders lies in the conceptions they hold, deep in their psyches, of chaos and order” (p. 74). Zaleznik likens the role of a leader to that of an artist, scientist, and creative thinker as opposed to a manager. He further argues that both managers and leaders are needed in organizations if they are to be successful, but developing them both requires fostering an environment that cultivates creativity and imagination.
Very similar arguments are made by Zaleznik (1992) and Bass & Avolio (1992, 1998). Zaleznik suggests that managers view goals impersonally, as opposed to leaders who develop goals that reflect a deeper meaning based on beliefs (Inspirational Motivation). According to Zaleznik, “the manager’s conception of work involves a combination of people and ideas interacting to establish strategies and make decisions” (p. 76). Managers plan, negotiate, reward and coerce. Leaders, on the other hand, try to excite, inspire and support (Intellectual Stimulation). Concerning relations with other, Zaleznik states that managers maintain a low level of emotional involvement with others. Leaders relate to people intuitively and emotionally and as a result generate stronger feelings in their followers – both negative and positive (Individualized Consideration). Zaleznik also considers the sense of self as a defining difference between leaders and managers. He states, “managers see themselves as conservators and regulators of an existing order of affairs with which they personally identify and from which they gain rewards.” Conversely, “leaders are separate from their environment” and “[they] work in organizations, but never belong to them” (p. 79). He suggests that this is why leaders seek opportunities for change. Although not as clearly aligned as the other three components of transformational leadership, Zaleznik states that leaders seek to profoundly alter human, economic, and political relationships. Leaders need to be admired by followers, serve as role models to others, and possess a certain amount of personal appeal (charisma) to generate and implement significant change.
The distinction between transactional leadership and transformational leadership is very close to the distinction made between management and leadership. One might argue that the “transactional leader” might be better termed the “transactional manager.” Moreover, do the terms “leader” and “manager” need to be dichotomous, or could we adopt a more comprehensive and eclectic model that embraces what is contextually and personally appropriate for a given situation in a particular
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organization? Leadership is an all encompassing, dynamic and eclectic notion and school leaders who adopt this perspective might be more prepared to deal with the current realities of current school systems.
This first section of this paper has attempted to outline how leadership as a field of study has evolved through several phases. The influential work of Burns, Bass and Avolio have provided the foundation on which to examine current conceptualizations of educational leadership. Transformational leadership, emerging from the fields of management and the military, is now a widely accepted approach for educational leadership. Although the shift from instructional leadership to transformational leadership was evident in the literature, it remains questionable as to whether these changes are evident in the practices of administrators. How many leaders are truly transformational? Moreover, when there remains such ambiguity as to what leadership means, and what effects it has, do educational leaders actually know, or even desire to know about, what kind of leader they are? Considering the systemic realities of modern day schools, many educational leaders are just doing their best to make it through any given day by managing the diverse needs of the school community and society at large. Knowing about the evolution of the term leadership and understanding how the concept developed through the contributions of key scholars, now forces us to question what makes an educational leader and what effects these individuals have on the teaching and learning that occurs in schools.
Educational Leaders: What are we?
Kenneth Leithwood
Leithwood and his colleagues have been instrumental in bridging the work of Burns and Bass into the field of educational administration. Leithwood’s conceptual model has yielded extensive empirical studies and investigation over the past decade. The knowledge base for school leadership has risen exponentially and has contributed significantly to our understanding of how leadership affects the school environment.
Leithwood, Begley and Cousins (1994) define transformational leadership as follows:
The term ‘transform’ implies major changes in the form, nature, function and/or potential of some phenomenon; applied to leadership, it specifies general ends to be pursued although it is largely mute with respect to means. From this beginning, we consider the central purpose of transformational leadership to be the enhancement of the individual and collective problemsolving capacities of organizational members; such capacities are exercised in the identification of goals to be achieved and practices to be used in their achievement (p. 7).
The following seven dimensions are used to describe transformational leadership: “building school vision and establishing school goals; providing intellectual stimulation; offering individualized support; modelling best practices and important organizational values; demonstrating high performance expectations; creating a productive school culture; and developing structures to foster participation in school decisions” (Leithwood, 1994; Leithwood et al., cited in Leithwood & Jantzi, 2000 p. 114). Each dimension is further described using more specific leadership practices. Leithwood believes that former models of transformational leadership neglected to include necessary transactional components which were fundamental to the stability of the organization. He further adds the following management dimensions: staffing, instructional support, monitoring school activities, and community focus.
Leithwood’s model assumes that the principal shares leadership with teachers and the model is grounded not on controlling or coordinating others, but instead on providing individual support, intellectual stimulation, and personal vision. Prawat and Peterson (1999) emphasize “the importance of encouraging members in an organization to learn and develop, realizing that the goals are apt to be met when members of the organization work together to make it happen” (p. 223). They further expand on this issue explaining that a primary administrative role is to share the responsibility with others in the organization who are committed and who play a key role in establishing the organizational agreements that enable learning. This notion of “distributed leadership” is consistent among various researchers related to organizational leadership. Hallinger (2003) finds that
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transformational leadership models conceptualize leadership as an organizational entity rather than the task of a single individual, accounting for multiple sources of leadership.
Leithwood et al. (1999) provides a synthesis of 34 published and unpublished empirical and formal case studies conducted in elementary and secondary schools up to about 1995. Twentyone of the 34 studies relate to specific dimensions of transformational leadership in schools; six of these are qualitative and 15 are quantitative studies. Evidence about the effects of leadership are provided by 20 of the 34 studies and include the following: effects on students; effects on perceptions of leaders; effects on behaviour of followers; effects on followers’ psychological states; and organizationlevel effects.
Effects on students
Leithwood et al. (1999) suggests that there are a limited number of studies regarding student effects because the effects are likely mediated by teachers and others. The analyses of these indirect effects proved to be a complicated endeavour. Similarly, there was a lack of evidence to support other forms of leadership and their effects on students. Leithwood et al. conducted six studies on student effects. The outcome was measured on a teacher survey asking them to estimate the effects on students of various practices being implemented in their classroom. These practices were often schoolwide initiatives supported by school leaders. They found substantial evidence of high correlations between student effects and a direct measure of student achievement (e.g., standardized tests). Five out of six studies also reported significant indirect effects of transformational leadership on teacherperceived student outcomes (Leithwood et al.). Studies conducted to examine student participation were found to be weak direct and significant indirect effects of transformational school leadership on student participation in, and identification with, the school.
Perceptions of leaders
Data from school leaders at the school and district level were collected using a version of Bass’s MLQ (1985). “Positive relationships were reported between transformational and transactional dimensions as a whole” (Leithwood et al., 1999, p.33). The effects were primarily related to charisma/vision/inspiration, intellectual stimulation, individual consideration and contingent reward. Leithwood, et al. stated, “Nonsignificant relationships were reported with respect to managementbyexception. Laissezfaire leadership was negatively related to both perceptions of leader effectiveness and satisfaction with the leader” (p.33). Two subsequent studies were conducted using the MLQ and the Index of Organizational Reactions and yielded significant positive relationships among transformational leadership, transactional leadership, and satisfaction with the leader.
Based on Leithwood’s studies, he concludes that transformational leaders are in a continuous pursuit of three goals: helping staff members develop and maintain a collaborative, professional school culture; fostering teacher development; and helping teachers solve problems together more effectively.
Effect on behaviours of followers
Three studies investigated the effects of transformational leadership on two types of colleague behaviours: “the extent to which colleagues are prepared to engage in extra effort on behalf of their organization; and ‘organizational citizenship behaviour’ ” (Leithwood et al., p. 34). The MLQ and an adapted version of a 16 item questionnaire developed by Smith, as cited in Leithwood et al., were used to measure altruism, compliance and noncompliance with leaders’ suggestions. Leithwood reported “Transformational leadership as a composite was significantly but negatively related to noncompliance and passive managementbyexception was positively related to noncompliance” (p.34).
Effect on followers’ psychological states
Leithwood et al. (1999) reports, “There is evidence from five studies (four quantitative) that transformational leadership influences four psychological states of those who experience such leadership, those states being: commitment; developmental press (changes in teachers’ attitudes and/or behaviour); control press (the tendency for teachers to feel that they must adhere to central demands for orderliness and structure); and satisfaction” (p.34). The outcome variables in the aforementioned
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studies were various forms of commitment (e.g., teacher and organizational) as well as teacher work motivation. Leithwood also reports two of his own studies based on schools in two Canadian provinces. These two studies tested a model of transformational leadership in addition to other inschool and outofschool independent variables. Two surveys were refined from earlier work and used to collect evidence on six dimensions of transformational leadership. Leithwood et al. reported, “Transformational leadership, as a composite, had significant direct and indirect effects on teachers’ commitment to change” (p. 35). These effects included: vision building, high performance expectations, developing consensus about group goals and intellectual stimulation. Leithwood et al. states that subsequent studies were conducted by Koh (1990) using the Organizational Commitment Questionnaire (OCQ) developed by Mowday et al. (1979). Bass’ MLQ continued to be the measure for research about the work motivation of principals.
Organizationallevel effects
The effects of transformational leadership on organizational learning in the context of school improvement efforts were examined. Leithwood et al. (1999) concludes that “transformational leadership practices were helpful in fostering organizational learning; in particular, vision building, individual support, intellectual stimulation, modelling, culture building and holding high performance expectations” (p. 37). Furthermore, evidence about the relationship between transformational leadership and organizational improvement and effectiveness were found more than any other effects. The evidence suggested that transformational leadership stimulates improvement.
Leithwood et al. (1999) listed additional measures used to describe climate and culture: “The School Work Culture Profile (Darling 1990), the Organizational Climate Index (King 1989) and the Leader Behaviour Questionnaire (Sashkin and Sashkin 1990)” (p. 37). The numerous studies implementing these instruments support the notion that transformational leadership contributes to a more desirable school culture and climate.
The analyses of these studies provides evidence for the benefits of transformational leadership. The analyses only included studies from 1980 to 1995; however, Leithwood and his colleagues have continued to conduct subsequent studies to support the effects of transformational leadership.
Despite the abundance of research conducted by Leithwood and his colleagues, there remain many unanswered questions and undeveloped ideas. Moreover, do we know whether educational leaders use, or even know about many of Leithwood’s instruments for improving administrator effectiveness or school climate? While the studies are relevant and useful, there is little evidence that these studies actually affect the practices of school leaders, or influence how we prepare our future school leaders. As the study of school leadership is investigated through more diverse lenses and methods, new and often conflicting orientations have emerged. As more interpretive and critical models of leadership evolve and expand our epistemological views, it is imperative that we are not only aware, but also open to hearing the views of scholars from these emerging paradigms.
A Critical Response
Evers & Lakomski (1996) argue that leadership, as it is conceptualized in the literature, is not helpful in meeting the challenges of the current educational system. They suggest that Leithwood’s components of effective leadership fall short of their promise. Evers and Lakomski suggest, “Schools can be thought of as being made up of intricate nets of complex interrelationships that crisscross formal positions of authority and power and carry knowledge and expertise in all directions, not just downwards as suggested by [TF] leadership” (p. 72). They suggest that transformational (TF) models rely too heavily on the transformational skills of the leader; instead, the organization should develop feedback loops to learn from its mistakes. In this model, the school becomes less bureaucratic and it becomes its own transforming agent. Instead of empowering select individuals, the organization becomes empowered as a collective unit. The literature in educational administration has been dominated by studies that critically examine the central role that the principal assumes in a school. Heck and Hallinger (1999) state, “By way of illustration, the preoccupation with documenting if principals make a difference has subtly reinforced the assumption that school leadership is synonymous with the principal. Scholars have, therefore, largely ignored other sources of leadership within the school such as assistant principals and senior teachers” (p. 141). Starratt (personal communication February, 2005) also
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indicated that there is a paucity of research that examines the contributions of nonprincipal leaders in the school. For example, in many schools people such as department heads and counsellors provide invaluable leadership within the school and in the community. For the most part, research has focused on the principal as the source of power and leadership.
Evers and Lakomski (1996) argue that it is difficult to discern the difference between management and leadership tasks. It is also difficult to discriminate between transactional and transformational leadership behaviours. Leithwood and Bass both acknowledge the difficulty they experienced in providing evidence for transformational leadership. They state, “We can really only tell the difference if we know the nature of the purposes and their effects which, of course, now depend on how people interpret what they see” (p. 77). Evers and Lakomski add, “If there is no principled way of telling one leader behaviour from another, then any claim to have empirically identified transformational leadership effects is not justified. In the absence of justification, however, claims to leadership are nothing more than personal belief or opinion, which does not carry any empirical status, no matter how many empirical studies are conducted” (p. 79). Evers and Lakomski (2000) further state, “Leadership is massively disconnected from causation” (p. 58) Although the argument presented by Evers and Lakomski holds some truth, they appear to search for “absolutes” that may never be determined in complex organizations such as schools. Instead of focusing on the shortcomings of transformational leadership, time might be better spent attempting to provide answers to questions that have already been delineated by the previous researchers.
Central to their argument is the fact that Leithwood and Bass relied too heavily on the use of questionnaires in their research. These measures, they argue, are inappropriate because substantive knowledge of transformational leadership does not exist. Furthermore, the questionnaire measures reveal the respondents implicitly held theories, not their cognitive structure. Evers and Lakomski (2000) state that these instruments are artefacts of methodology instead of scientific accounts of empirical phenomena. They further note, “the application of quantitative methodology to measure transformational leadership is inappropriate” (p. 80). They suggest that the unpredictable nature of transformational leadership makes it impossible to generate a cause and effect relationship. Furthermore, different times and situations elicit different forms of leadership and different responses which cannot be picked out by surveys and questionnaires. Evers and Lakomski also discuss the subjectivity of people’s interpretations of surveys. They suggest that people have distorted views of reality that may not be real in the world; therefore the data derived from questionnaires and surveys is inaccurate.
Evers and Lakomski (2000) assert, “From a naturalisticcoherentist perspective, there may be as many different accounts about leadership, as there are organizational contexts” (p. 58). They suggest that the epistemological framework purported by Bass, Avolio and Leithwood is too narrow to explain the phenomenon under discussion. They further add that the model used by Bass, Avolio, and Leithwood represents a hypotheticodeductive account of theory and practice that is no longer accepted as valid. The hypotheticodeductive model suggests that researchers make up whatever variables they hypothesize are important. The model supports the construct (e.g., transformational leadership) in terms of observable behaviours gathered by the instruments (e.g., LBDQ, MLQ). In turn, the data is analyzed in terms of correlations, regularities and patterns that further confirm and support the original model. Evers and Lakomski suggest this is a “false sense of theory which guides our observations in the theory’s terminology although we know it to be false” (p. 68). They emphatically state, “conceptions of leadership, whatever the specific constructs they contain, may turn out to be massively disconnected from the world and yet we can continue to talk as if they pointed to something real in terms of leaders turning the organization around” (p.58).
Gronn (1995) charges transformational leadership with being paternalistic, gender exclusive, exaggerated, having aristocratic pretensions and socialclass bias, as well as having an eccentric conception of human agency and causality. Gronn outlines numerous shortcomings of transformational leadership: a lack of empirically documented case examples of transformational leaders; a narrow methodological base; no causal connection between leadership and desired organizational outcomes; and the unresolved question as to whether leadership is learnable.
Marks and Printy (2003) state that there have been few studies that have empirically studied how transformational leadership and instructional leadership complement each other and contribute to student learning. In addition, they suggest that there is a need for more research to evaluate how leadership contributes to pedagogical quality. Marks and Printy conducted a quantitative nonexperimental study that investigated the concept of school leadership and attempted to measure how
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leadership affected school performance. Twentyfour nationally selected restructuring schools were chosen from elementary, middle, and high school. The relationship of transformational leadership and shared instructional leadership was studied in relation to the quality of teaching and learning. It is hypothesized that transformational leadership by itself is insufficient to achieve highquality teaching and learning. In order to improve teaching and learning, the authors suggested that instructional leadership was needed to complement the tenets of transformational leadership. Marks and Printy found that when transformational and shared instructional leadership coexist, the influence on school performance is substantial. The notion of integrated leadershipboth transformational and instructional is one possible answer to settling the discourse between the two leadership constructs.
Despite the critical response from various scholars and the acknowledgement that more research is needed to increase our understanding of leadership and its effects, we have made substantial gains to our knowledge base in this area. Having said this, we must also ensure that this knowledge transfers to the practitioners in the field of education and to the faculties of education and the various institutions that train our future leaders. Leadership has evolved and will continue to evolve to more appropriately respond to the needs of society. One of our first steps should be to decide on a collective purpose of leadership and to make informed and sustainable changes that benefit teaching and student learning. We must not assume that change is always in the direction towards improvement. With a more focused and well thought out direction for the future of school leadership, we will be more apt to make change the changes that schools need.
Where are we going?
Michael Fullan (2001) in his book, “Leading for Change” boldly states, “The more complex society gets, the more sophisticated leadership must become. Complexity means change, but specifically it means rapidly occurring, unpredictable, nonlinear change” (p. ix). In the current phase of organizational restructuring it is necessary to have a high tolerance for ambiguity. Change is inevitable and effective leaders are able to respond to the changing needs of their context (Hallinger, 2003). Day, Harris, and Hadfield (2001) found that effective leadership was both a highly contextualized and relational construct. Day et al. as cited in Hallinger (2003) recommended “the application of contingency leadership which takes into account the realities of successful principalship of schools in changing times, and moves beyond polarized concepts of transactional and transformational leadership” (p. 347). The contingency model is intended to provide a framework that will conceptualize leadership as a developmental process that will take into account the dynamic and fluid context of the school by linking the most appropriate leadership style to the needs of the school. Preparing leaders to successfully function within a context of change and uncertainty is paramount. Ensuring that these leaders acquire the knowledge and skills necessary to use these various models is imperative.
School systems and business have long shared similar concepts when it comes to leadership. Both embrace one basic principle, “they both must become learning organizations or they will fail to survive. Thus, leaders in business and education face similar challenges – how to cultivate and sustain learning under conditions of complex, rapid change” (Fullan, 2001, p. xi). Schools and businesses are not foreign places. What we should be doing is taking what is good from both business and education to create a vision of leadership that guides us through the chaos of widespread systemic change.
Training and producing effective leaders cannot be limited to instilling effective traits in people. We must develop organizations and schools that support the collective form of leadership where individuals feel safe, supported and free to think and act creatively. Huber & West (2002) assert, “The school leader is most often cited as the key figure in the individual school’s development, either blocking or promoting changes, acting as the internal change agent, overseeing the processes of growth and renewal” (p. 1072). The challenge for leaders is to move from a bureaucratic system of managing people to a professional system marked by shared problem solving and decision making. Goldring and Greenfield (2002) note, “school leaders are located more prominently in the centre of discourse, educating the broader public about the importance of, and the need to support, the critical connections between schooling and the ‘good society.’ Social justice may be the overarching reference point for leadership in this case” (p. 16). School leaders are in the position to foster strong community support for public education and to provide learning opportunities for all children, despite their previous experiences.
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Arthur Levine’s (2005) review of leadership preparation programs presents disappointing findings about the quality of educational administration programs. In fact, Levine states “collectively, educational administration programs are the weakest of all the programs at the nation’s education schools. This is particularly distressing considering the change in demographics and the fact that a large number of school leaders will need to be hired in the next ten years. It seems reasonable to conclude that the training and preparation of school leaders will need to be addressed if we expect to have the kind of leaders who are able to address the profound shifts in society and the complications and challenges these pose for educational systems.
Conclusion
Many “blind spots” and “blank spots” continue to exist in our theoretical and empirical knowledge of leadership (Heck and Hallinger, 1999). We must, however, recognize the invaluable contributions that have been made over the past four decades by numerous scholars. Since 1978, leadership has progressed from being the study of top down, directivebehaviours focused on teaching and learning, to a bottom up collaborative process of guided change for school improvement. Political, critical, and cultural lenses have significantly expanded our leadership repertoires.
Transformational leadership, as we know it, will likely continue to evolve in the years to come and this will likely be accompanied by even greater uncertainty and ambiguity. In the forthcoming years, we will likely see even greater diversity and eclecticism both in philosophical beliefs and practical approaches to leadership. That said, it is imperative that educational leaders support their theories with empirical evidence that supports student achievement. Moreover, it is necessary to collectively determine the purpose of school leadership and to make changes in our school systems that positively impact student learning. This guiding purpose will help us determine what we are likely to do, and where we are likely to go from here.
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