Leadership in organizations

Contents Definitims of Leadership 20 Indicators of Leadership Effectiveness 27 Overview of Major Research Approaches 50 Level oj" Conceptualization for Leadership Theories 53 Other Bases

Leadership in Organizations

Global Edition

Leadership in Organizations

Seventh Edition

Gary Yuki

University at Albany Slate Ul1iuersity ofNeu.· }()rk

PEARSON

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ISBN-13, 97B-0-13-815714-2 ISBN-IO: O~13~815714~6

Brief Contents

CHAPTER 1 Introduction: The Nature

CHAPTER 4 Perspectives on Effective Leadership

CHAPTER 8 Dyadic Relations, Attributions,

CHAPTER 9 Charismatic and Transformational

CHAPTER 11 Ethical, Servant, Spiritual, and

CHAPTER 12 Leadership in Teams and Decision

5

"

" 1

Contents

Definiti(ms of Leadership 20

Indicators of Leadership Effectiveness 27

Overview of Major Research Approaches 50

Level oj" Conceptualization for Leadership Theories 53 Other Bases for Comparing Leadershjp Theories 38

Organization of the Book 40

Review and DisclIssion Questions 42

Nature of Traits and Skills 43

Research on Leader Traits and Skills 45

Managerial Traits and Effectiveness 52

Managerial Skills and Effectiveness 62

Situational Relevance of Skills 68

Evaluation of the Trait Research 71

Applications for Managers 72

7

8 Contents

Typical Activity Patterns in Managerial Work 77 The Content of Managerial Work 82

Demm1tis, Constraints, and Choices 87 Re»e<1rch 0/1 Situational 1 klerminams 89 Ch;mgt.""S in the Nature of Managerial \Vork 93 Ho\v Much Di:-;cretion Do Managers Have? 94 Limitations of the Descriptive Research 95 Applications for Managers 96

Review ;md Dbcussion QUl'stions 102

CHAFfER 4 Perspectives on Effective Leadership

Ohio State LC:Klership Studies 104 Michigan Leadership Stuuies 107 Limitations or SurH:Y Rese~lfch on Lt:ader Behavior lOB Experiments ()n T~lSk and He-btion;.;

Behavior 11 (J Re$L'~trch Using Criticallncidents 111

The lligh-Iligh Leader 112 Leadt;>fship Behavior Taxonomies II') Specific Task Beh~i\'iors 121

Specific Rt.:'ialions Behaviors 12'1 Evaluation of the Behavior Approach 12H Summ;:llY 129

Review and Discussion Questions 131

CHAFfER 5 Participative Leadership, Delegation,

Nature of Participative teadership 133 Consequences of Participative Leadership 135 Research on Effects of Participative

Normative Decision Model 140

Applications: Guidelines for Participative

CHAPTER 6 Early Contingency Theories of Effective

Path~Goaj Thc01Y ()C Leadership JoB

Situational Leadership Theory 173

Leadership Substitutes Theory 176

Multiple Linkage Model IRO

Cognitive Resources Theory 187

General Evaluation of Contingency Theories 190

Applications for Adaptive Leadership 192

Rt'view and Discussion Questions 196

Conceptions of Power and Influence 199

How Power is Acquired or Lost 211

Consequences of Position and Personal Power 213

Influence Tactics 217

Use and Effectiveness of Influence Tactics 225

Review and Discussion Questions 233

10 Contents

CHAPTER 8 Dyadic Relations, Attributions,

Leader-Member Exchange Theory 235

Leader Attrihutions Ahout Suhordinates 241 Applications: Correcting Performance

Deficiencies 2,i2 Follower Attributions and lt11pHdt Theories 246

Heview and DisCllSSIon Queslion;.; 260

CHAPTER 9 Charismatic and Transformational

Two Early Theories 263 Attribution Theory of Charismatic Leader"hip 26·1 Self-Concept Theory of Ch~trismatic Leadership 266

Consequences of Charismatic Leadership 273 'l'ranshlf!l1atitHial Le~ldt:rsll.ip 277

Primary Types of Hcsearch on the Theories 2Hl Transformational vs, Ch~lrismatit: Leadership 2H7 Evaluation of the Theorie:; 2K8

Applications: Guidelines for Leaders 290

Review and Discussion Que;.;tions 295

Change Processes in Organizations 297 Influencing Organization Culture 303 Developing a Vision 307

Applications: Procedures for Developing

a Vision 310

Applications: Guidelines for Leading Change 315

Innovation and Organizational Learning 320

Applications: Guidelines for Increasing Learning

Conceptions of Ethied Leadership 330

Dilemmas in Asses,<"ing Ethical Leadership 331

Determinants and Consequences of Ethical

Comparison and Evaluation of Theories 348

Increasing Ethical Leadership 351

Review and Discussion Questions 354

Leadership in Different Types of Teams 366

Procedures for Facilitating Team Learning 371

Applications: Guidelines for Team BUilding 374

Leadership Functions in Meetings 379

12 Contents

Applications; Guidelines for Leading

CHAPTER 13 Strategic Leadersbip by

Two Key Responsibilities for Top

Review and Discllssion Questions 422

Leadership Training Programs 424 Designing Effective Training 425 Special Techniques for Leadership Training 427 Learning from Experience 432

Developmental Activities 434 Self-Help Activities 446 Facilitating Conditions for Leadership

CHAPTER 15 Gender, Diversity, and Cross-Cultural

fntroduction to Cross-cultural Leadership 455

Cross-cultural Leadership Research: Types

and Difficulties 456

Cultural Value Dimensions and Leadership 460

Evaluation of the Cross-cultural Research 465

Managing Diversity 471

Review and Discussion Questions 474

Major Findings in Leadership Research 47')

ExplanatolY Processes and Levels

of C mceptualization 4HO

Toward an Integrating Conceptual Framework 491

Biases in the Conceptualization of Leadership 494

Biases in Re.search Methods 49H

Emerging Conceptions of Leadership ')02

Preface

This book is about leadership in organizations Its primary focus is on rial leadership as opposed to pariiamentalY leadership, leadership of social move-ments, or emergent leadership in informal groups The book presents a broad survey

manage-of theory and research on leadership in formal organizations The topic manage-of leadership effectiveness is or special interest, and the discussion k<:cps n.'turning to the question

of what nukes J person an effective leader

In the seventh edition, the basic structure of most chapters remain.s the same, hut the order of SOl1k' chapters was changed and one chapter was divided into two sepa-rate cbaplers that include new rnaterial There is now a separate chapter on ethical, spiritual, servant, ~1l1d authentic leadership, and J separate chapter on cros~H:ultural leadership and diversity issues such as leader gender The chapter on strategic leader-ship was extended and reorganized to provide a better description the growing litera-tllre in this suhject The growing interest in emerging theories of distributed, relation-

al, and complexity leadership is described in a new section ;added to the la.st chapter

of the book Finally, the literature revie\,vs found in the other chapters were updated, and a few new cases \vere added

The content of the book still reflects a dual concern for theory and pr<.lctice have attempted to satisfy two different audiences \:vith somewhat different prefer-

ences Most academics prefer a hook that provides a detailed explanation and cal evaluation of major theories, and a comprehensive review and evaluation of em-pirical research They are more interested in how well the research was done, what was found, and what additional research is needed than in the practical applications Many academics are skeptical ,thout the value of prescriptions and guidelines for practitioners and consider them premature in the absence of further research In con-trast, most practitioners \vant some immediate answers about what to do and how to

criti-do it in order to be more effective as leaders They need to deaJ with the current challenges of their job and cannot wait for decades until the academics resolve their theoretical disputes and obtain definitive answers Most practitioners are more inter-ested in finding helpful remedies and prescriptions than in finding out how this knowledge was discovered

These different preferences are a major reason for the much-lamented gulf tween scientists and practitioners in management and industrial-organizational psy-chology I believe it is important for managers and administrators to understand the complexity of effective leadership, the source of our knowledge about leadership in organizations, and the limitations ofthis knowledge Ukewise, I believe it is important

be-15

16 Preface

for academics to thjnk more about how their theories and research can be used to improve the practice of management Too much of our leadership research is de-signed only to examine narrow, esoteric questions that only interest a few other scholars who publish in the same journals,

Academics will be pJe;3sed to find that major theories are explained and tiqw:d) empirical research on leadership is reviewed and summarized, and m~l11y refer-ences are provided to enable them to follow up with additional reading on topics of special interest The field of leadership is still in a state of ferment, with many contin-uing controversies ahout conceptual and methodological issues, The b(Jok uddrcsscs these issues whenevt'r feasible rather than ml'rely presenting theories and summariz-ing findings without concern for the quality of research that lies behind the ti1t'ories

cri-However, the literature review was intended to be incisive, not comprehensive Hather than detailing an endless series of theories and studies, the book fO(,llSt'S on the unes [har are most relevant and informative The hook rcvkws \vhat we know about lead-ership effectiveness, anti the current edition reflects significant progress in our un(k-r-standing of leadership since the first edition wa:-; puhlished in 19HL

For practitioncrs I attcmpted tn 1.,:oo\,e1' :l hetter apprL'("i~ltiol1 of the complexity

tlf managerial k-adL'rshjp, the imp0ri:m"'e of h<l\-ing theorctical knowledge ah()ut efship, and the need to he flexible ,and pragmatic in ~Ipplyjng this kno\,v!LxJge TIK' cur-rent edition provides many guidelines ~md recommendations for improving m~magt,Ti~tl effectiveness, hut it is not a "pmctitioner's manual" of simple techniques and send recipes that guarantee instam success, The plllvose of the guidelines is to help the [,,"ader understand the practkal implications of leadership theory and rest:arch, not to prescrihe eX:1(11y how thing:-; must he done hy a leader Must of the guidelines are

kad-hased on ~l Hn1ilL'd arnollnt of research and are not il1t~tllihle Being a t1exibJe, adaplive leader includes determining whkh guidelines are rdevem for e;lch unique :-.iluatioJ1 ,\;lost chapters have ont' or l\VO short cases designed to help the reader gain a hdter understanding of the theories, concepts, and guidelines presented in the chap-k'r, The cases (it,:'scribe events that nccurn:d in real organizations, hut sorne of the l "ases \vere modifit:xl to make them more useful for learning h~lSic concepts Jnd effl.'c-

Ih ,,' practices Thl.:.· n:lmes of the organiz;l1ions and individuals ;:lrt,' usually changed to kc'ep the- analysis focused on the CYe-nts that occurred in a defined time period, not on

J'lT('nt events that may involve different le:lders and a ne\\-' con1l:'xt The (\!ses ask a ft:'aJt:'r to anaJyze 1)(.'11:1\'101'<11 processes, idt:ntify examples of efkTtJve and ineffective behavior, and suggest effective ways to handle the situ;ltion Ih~ll is (kpktcd

An instructor's manual is available with detailed analyses of the cases and gestions on how to use them The instructor's manual also includes a multiple-choice exam for each chapter with items on the major points in the chapter The manual in-cludes exercises for use in class (e.g., role plays), and some out-of-class activities that help students to understand how they can apply the theory and guidelines,

sug-The book is widely used in many different countries, and some editions have been translated into other languages, including Chinese, Korean, Indonesian, Spanish, and Greek, Wirh irs focus on effective leaderShip in organizations, the book is especially rel-evant for people who expect to become a manager or administrator in the near future, for people who will be responsible for tf'dining or coaching leaders, and t,)r people who

will be teaching courses or workshops that include leadership as one of the key topics, The book is appropriate for use as the primary text in an undergraduate or graduat!=

course in leadership Such courses are found in many different schools or departments, including business, psychology, sociology, educational administration, public administra-

tion, and health care administtdtion The book is on the list of required or recommended

readings for students in many doctoral programs in leadership, management, and trial-organizational psychology Finally, the bex)k is also useful for practicing managers and consultants who are looking for something more than superficial answers to difficult

indus-questions about leadership

Gary Yuki Albany, New York April, 2008

C H A PTER1

Introduction: The Nature

of Leadership

Learn ing Objectives

After studying this chapter you should he ahle to:

• Understand why leadership has heen defined in so mJny different W:t)iS

• Understand how leadership will be defined in this hook

• Understand the controversy about differences hetween leadership and

management

• Understand \vhy it is so difficult to assess leadership effectiveness

• Understand the different indicators used to assess leadership dTectivcnes,S

• Understand what aspects of leadership have been studied the most during the past

50 years

• Understand how leadership can be described as an individual, dyadic group, or organizational pnKcss

• Understand the organization of this book

Leadership is a subject rh~H has long excited interest among people The term notes images of pc)\verfuL dynamic individuals who command victorious armies, direct corporate empires from atop gleaming skyscrapers, or shape the course of nations The exploits of brave and clever leaders are the essence of many legends and myths Much of our description of history is the story of military, political, religious, and social leaders who are credited or hlamed for important historical events, even though we do not understand very well how the events were caused or how much influence the

con-leader really had The widespread fascination with con-leadership may be because it is such a mysterious process, as well as one that touches everyone's life Why did cer-tain leaders (e.g., Gandhi, Mohammed, Mao Tse-tung) inspire such intense fervor and dedication' How did certain leaders (e.g., Julius Caesar, Alexander the Great) build great empires? Why did some rather undistinguished people (e.g., Adolf Hitler,

19

20 Chapter 1 • Introduction: The NatLlrc of Leadership

Claudius Caesar) rise to positions of great power' Why were certain leaders (e.g • Winston Churchill Indira Gandhi) suddenly deposed, despite their apparent power and record of successful accomplishments? Why do some leaders have loyal followers who are willing to sacrifice their lives, whereas other leaders are so despised that suh-ordinates conspire to murder them?

Questions ahout leadership have long been a subject of speculation, hut scientific I"{~search on It:ader~hip did not begin untH the twentieth century The focus of much

of the research has been on the dt:terminants of leadership effectiveness SOCial 11:4{5 have attempted to discover what traits, abilirleH, behaviors, sources of POWt:f, or aHpccts of the situation determine how well a leader is able to influence followers and accomplish task objectives, There is also a growing interest in understanding leader-ship as a shared process involving different people in a team or organization, and the reasons why this process is efft>ctive or ineffective Other important questions int-'lude the reasons why some people emerge as leaders, and the determinants of a kader'S arLions, hut the predominant concern ha.<; been leadership effectiveness

scien-Some progre s has heen made in probing the mystt.'ries surrounding leadership, but many questions remain unar1.S\vered, In this honk, J1l~ljor theories and fL'scarch findings on leadership etfCl :livenesf, will he ft'viewcd, with particular cmph~isis on rnjJnagerial leadership in formal org:Anizatiuns such as business corporations) govem-rnent agencies, hospitals, jJ1(j univer ;,ities, This first chapter introduu 's the suhject hy considering different conceptions of leadership, different ways of evaluating its cfkc-tivenl'SS and ditrerent approaches f(x studying leadership, l11c chapter ~llso provides

an oycrvie\\' of the book and explains how the subjects are organized,

Definitions of Leadership

The term leadcrsbijJ is a word taken from the common vocahulary and m.ted into the technical vocabulalY of a scientific disl.:ipline without being precisely redefined As a consequeno:, it carries ex1raneous connotations that create amhiguity

ino)rpo-of meaning (janda, 19(0), Additi!mal confusion is caused by tht." usc of other cise H.:rms SUdl as pOll'er, (j{ftb()ri~}', lll(J1wf,?eJ11ent, admiJll\tra/{O/l, cUIl/ro/, Jnd

impre-slfjlerlJistoJl to descrihe similar phl'110Illl 'I1a An observation hy Bennis (19')'), p, 2::;9)

is :15 true today as when he made it many years 'lgO:

Always, it st'ems, the concept of leadership dudl.:'s us or turns up in another I"onn

!o taunt us again with its slippt:'riness and complexity So we haye invented an

endless prolikr.:ttion of terms to deal with it , and still the concept is not

sufficiently defined

Researchers usually define leadership according to their individual perspectives and the aspects of the phenomenon of most interest to them After a comprehensive review of the leadership literature, Stogdill 0974, p 259) concluded that "there are almost as many definitions of leadership as there are persons who have attempted to define the concept." The stream of new definitions has continued unabated since Stogdill

made his observation, Leadership has been defined in terms of traits, behaviorS, ence, interaction patterns, role relationships, and occupation of an administrative posi-tion, Table 1-1 shows some representative definitions presented over the past 50 years

influ-• Leadership is "the behavior of an individual, , directing the activities of a group toward a shared goal," (Hemphill & Coons, 1957, P9, 7)

• Leadership is "the influential increment over and above mechanical compliance with the routine directives of the organization:' (Katz & Kahn, 1978, P9, 528)

• "Leadership is exercised when persons, , , mobilize, , , institutional, political, psychological, and other resources 50 as to arouse, engage, and satisfy the motives of followers<" (Burns,

1978, pg, 18)

• "Leadership is realized in the process whereby one or more individuals succeed in attempting

to frame and define the reality of others," (Smircich & Morgan, 1982, pg, 258)

• Leadership is "the process of influencing the activities of an organized group toward goal achievement" (Rauch & Behling, 1984, pg, 46)

• "Leadership is about articulating visions, embodying values, and creating the environment within which things can be accomplished," (Richards & Engle, 1986, pg, 206)

• "Leadership is a process of giving purpose (meaningful direction) to collective effort, and causing willing effort to be expended to achieve purpose" (Jacobs & Jaques, 1990, P9, 281)

• Leadership "is the ability to step outside the culture to start evolutionary change processes that are more adaptive." (Schein, 1992, pg 2)

• "Leadership IS the process of making sense of what people are doing together so that people will understand and be committed." (Drath & Palus, 1994, p 4)

• Leadership is "the ability of an individual to influence, motivate, and enable others to contribute toward the effectiveness and success olthe organization ." (House et aI" 1999, pg 184)

Most definitions of leadership reflect the assumption that it involves a process whereby intentional influence is exerted over other people to guide, structure, and facilitate activities and relationships in a group or organization The numerous defini-tions of leadership appear to have little else in common They differ in many respecls, including who exclts influence, the intended purpose of the influence, the manner in which influence is exerted, and the outcome of the influence attempt The differences are not just a case of scholarly nit-picking; they reflect deep disagreemem about iden-tification of leaders and leadershi p processes Researchers who differ in their concep-tion of leadership select different phenomena to investigate and interpret the results in different ways Researchers who have a very narrow definition of leadership are less likely to discover things that are unrelated to or inconsistent with their initial assump-tions about etIective leadership

Because leadership has so many different meanings to people, some theorists question whether it is even useful as a scientific construct (e.g., Alvesson &

Sveningsson, 2003; Miner, 1975), Nevertheless, most behavioral scientists and tioners seem to believe leadership is a real phenomenon that is important for the effec-tiveness of organizations Interest in the subject continues to increase, and the deluge

practi-of articles and books about leadership shows no sign of abating

Specialized Role or Shared Influence Process?

A major controversy involves the issue of whether leadership should be viewed as

a specialized role or as a shared influence process One view is that all groups have role specialization that includes a leadership role with some responsibilities and

22 Chapter 1 • Introduction: 11le Nature of Leadt."1"ship

functions that cannot be shared too widely without jeopardizing the effectiveness of fhe group The person with primary responsibility to perform tbe specialized leadership role

is designated as the "leader." Other members are called "followers" even fhough some of them may assist the primary leader in canying out leadership functions The distinction between leader and follower roles does not mean that a person cannot peri()nll both roi-e,s at rhe same time" For eX3mple, a department 111:m:lger who j:; the le3der of depalt-rHent employees is also a foHo\-ver of higher-level managers in the organization Researchers who view leadership as ~l t>pedaliz<,-'d roll.: afe likely to pay more anenti<m to tIle attrillutes tit.{t detemline seiecti<)fl of designated leaders, the typical hehavi{if of tk:signated leaders, and the d-Tc'cts of thi.:.; behavior on other members of the group or organization Another way to view leadership is in terms of an int1uence proce,':> that occurs naturally within a social system and is diffused among the members Writers with this perspective believe it is more useful to study "leadership'; as a sodal process or pattern

of relationships rather than as a specialized role According to this view, any member

of the sodal system may exhibit le,l(lership at any time, and there is no dear tion bet\veen leaders and followers Various k<ldership functions may be carried our

distinc-hy differl'1H people \\"110 inJluencl' WlUI tile group does, how it is dune, and tht-' \va'} people in the group relate 10 each other Important dn'isions about what to do Jnd how to do it are made through the usc of an inlcractivt.: proce::;s involving many differ-ent people who influence each 01 her Researchers who view leldership as J shared, diHu;,l' process are likely' 10 pay 1110re attention 10 thv {'omplc-x influence processes that OCVllr among members tile context and conditions that determine when and how they occur, and the const.:queno.:s for the group or organization

Type of Influence Process

Controversy ahout the definition of leadership involves not only who exercises influence, but abo what type of influence is exervised and the outcome> Some theorists

\:vould limit [he definition of leadership to the exercise of influence n:sulting in tic ('Omlilitnient !)y f()lk)wl'rs, as ()ppo~'ll t() inditlerent ('()Jnpiiancc or Jelut,.'tmr ()bedit:rx'e '}'Il.ese theorists argtK tll~n the lise (l c(H1tn)1 over fCwards and punisluncnts (() manipulate

enthusias-Of ,,'{Jerce j()lIo'Vvcl's is not fl'ally ··1t.'';:ldinE( tIK'111 ~U1d may involve the unethical use of power

An opposing view is [hat this definition is too restrictive !X:GlUSe it excludes sorne influence pHKes'-;t::s that are impunant for umJerstanding \vhy a manager is dIe-eti\'(:, or ineffective in a given situation f low leadership is defined sh( )uld not predetermine the 3n.'i"Vef to the research question of what makes a leader effective_ The same outcome can

be accomplished with different influence methods, and the same type of influence attempt can result in different outcomes, depending on the nature of the situation Even people who are forced or manipulated into doing something may become committed to it if they subsequently discover that it really is fhe best option for them and for tlle organization The ethical use of power is a legitimate concern for leadership scholars, but it should not limit fhe definition of leadership or fhe type of influence processes that are studied

Purpose of Influence Attempts

Another controversy about which influence attempts are part of leadership involves their purpose and outcome One viewpoint is that leadership only

when people are influenced to do what is ethical and beneficial for the organization and themselves This definition of leadership does not include influence attempts that are irrelevant or detrimental to followers, such as a leader's attempts to gain personal benefits at the follower'S expense

An opposing view would include all attempts to influence the attitudes and behavior of follow~rs in an organizational context, regardless of the intended purpose

or actual beneficiary Acts of leadership often have multiple motives, and it is seldom possible to determine the extent to which they are selfless rather than selfish The out-comes of leader actions usually include a mix of costs and benefits, some of which are unintended, making it difficult to infer purpose Despite good intentions, the actions

of a leader are sometimes more detrimental than beneficial for followers Conversely, actions motivated solely by a leader's personal needs sometimes result in unintended benefits for followers and the organization Thus, the domain of leadership processes

to be studied should not he limited by their intended purpose

Influence Based on Reason or Emotions

Most of the Icader;;hip definition.s listed earliC:f emphasize rational, cognitive processes For many years it was common to view leadership as a pn)( 'ess wherein leaders influence followers to believe it is in their best interest to cooperate in achiev-ing a shared task objective Until the 19805, few conceptions of leadership recognized the importance of emotions as a basis for influence

In contrast, many recent conceptions of leadership emphasize the emotional aspects of influence much more than reason According to this view, only the emo-tional, value-based aspects of leadership influence can account for the exceptional achievements of groups and organizations Leaders inspire [0Ik)'\\/er5 to willingly sac-rifice their selfish interests for a higher cause For example, soldiers risk their lives to carry out an important mission or to protect their comrades The relative importance

of rational and emotional processes, and how they interact, are issues to be resolved

by empirical research, and the conceptualization of leadership should not exclude either type of process,

Direct vs Indirect Leadership

Most theories ahout effective leadership focus on behaviors used to directly influ~ ence immediate subordinates, hut a leader can also influence other people inside the organization Some theorists make a distinction between direct and indirect form':> of leadership to help explain how a leader can influence people when there is no direct intemction with them (Hunt, 1991; Lord & Maher, 1991; Yammarino 1994)

Indirect leadership has been used to describe how a chief executive can ence people at lower levels in the organization who do not interact directly with the leader A CEO has many ways to influence people at lower levels in the organization Examples include sending memos or reports to employees, communicating bye-mail, presenting speeches on television holding meetings with small groups of employees, and participating in activities involving employees (e,g., attending orientation or train-ing sessions, company picnics) Most of these forms of influence can be classified as di-rect leadership

influ-24 Chapter 1 • Introduction: The Nature of Leadership

One form of indirect leadership by a CEO is called "cascading" (Bass, Waldman, Avolio, & Bebb, 1987; Waldman & Yammarino, 1999; Yammarino, 1994), and it occurs when the direct influence of the CEO on immediate subordinates is transmitted down the authority hierarchy of an organization (e.g., from the CEO to middle man-agers,to lower-level managers, to regular employees) The influence can involve

-changes in employee attitudes, belief.:.;, values, or behaviors For example, a CEO who sets a good example of ethical and supportive behavior may influence similar

behavior by employees at lower levels in the organization

Another form of indirect leadership involves influence over formal programs,

management systems, and structural forms (lIun!, 1991; Lord & Maher, 1991; Yuki &

Lepsingerj 2004) Many large organizations have progran1s or managen'!ent systems

intended to influence the attitudes, skills, behavior, and performance of employees Examples include programs for recruiting, selection, and promotion of employt:'cs

A CEO can select only people with similar trajt,s in order to develop a strong culture

of shared values (Giberson, Resick, & Dickson, 20(5) Structural forms and various lypes of programs can be used to increase control, coordination, dficiency, and innovation Examples include formal rules and procedures ~pecializt'd suhunits, decentralized product diVisions, standardized facilities, and self-managed teams In most organizations only top executives have sufficient auth()rlty t(J implement new programs or change the structural forms (see Chapter 13)

A third form of indirecr leadership involves leader influence over the tion culture, which is defined as the shared belief;' and value.s of members (Schein,

organiza-1992; Trice & Beyer, ] 991} Leaders may attcmpt either to strengthen exi.sting cultural beliefs and values or to change 1hem, There are many \vays to iniluence culture, and they rnay involve direct influence (e,g" communicating a compelling vision or leading

by example) or other forms of indirect influence, such as I 'lunging the organization structure or reward systems (see Chapter 10),

111e interest in indirel 1 lC:1dership is useful to remind scholars that leadership influence is not limited to the types of observable behavior emphasized in many the-ories of effective leadership However, there are many different types of direct and indin:ct influence, and some forms of int1uence L'annot be classified easily as either direct or indirect leadership Thus, a simple dichotomy does not capture the com-plexity involved in these inf1uence processes, Moreover the direct and indirect f()rms of influence are not mutually eXdlt,>ive, and "vhen used Iog<:ther in a consis-tent way, it is possible to magnify their effects

Leadership vs Management

There is a continuing controversy about the difference between leadership and management It is obvious that a person can be a leader without being a manager (e.g., an informal leader), and a person can be a manager without leading Indeed, some people with the job title "manager" do not have any subordinates (e.g., a man-ager of financial accounts) Nobody has proposed that managing and leading are equivalent, but the degree of overlap is a point of sharp disagreement

Some writers (e.g., Bennis & Nanus, 1985; Zaleznik, 1977) contend that ship and management are qualitatively different and mutually exclusive The most extreme distinction involves the assumption that management and leadership cannot

leader-occur in the same person In other words, some people are managers and other ple are leaders The definitions these writers offer for leaders and managers assume they have incompatible values and different personalities Managers value stability, order, and efficienCYI and they are impersonal, risk adverse, and focused on shOlt-term results Leaders value flexibility, innovation, and adaptation; they care about people as weB as economic outcomes, and they have a longer-term perspective with regard to objectives and strategies Managers are concerned about how things get done, and they try to get people to perform better, Leaders are concerned with what things mean

peo-to people, and they try to get people to agree about the most important things to be done Bennis and Nanus 0985, p 21) proposed that "managers are people who do things right, and leaders are people who do the right thing." However, associating leading and managing with different types of people is not supported by empirical research, because people do not sort neatly into these two extreme stereotypes Moreover, the stereotypes imply that managers are always ineffective The term

manager is an occupational title for a large number of people, and it is insensitive to denigrate them with a negative stereotype

Other scholars (e.g., Bass 1990, Hickman 1990, Kotter, 19?1H; Mintzherg 197} Host 1991) view leading and managing as distinct proces,<;es or roles hut they do not assume that leadt'fs and managers are different types of people How the two processes are defined varies some\-vhat, depending on the scholar For example, l\-1jntzberg 097;1) desclihed k:;Idership as one of 10 managerial roles (see Chapter :)) Leadership includes motivating suhordinates and creating favorahle conditions f(Jr doing the work The other nine roles (e.g., reS<)Ufce alkK<ltor, negotiatt>r) involve distinct managing responsibilities, but lcadeL<.;hip is vie\ved as an essential managerbl role Ih;1£ pervades the other roles Kotter (990) proposed that managing seeks to produce predictability and order, whereas leading seeks to produce organizational change Both roles are necessary, but

problems can occur if an approptiate balance is not maintained Too much emphasis

on the managing role can discourage risk taking and create a bureaucracy without a clear purpose Too much emphasis on the leadership role can disrupt order and create change that is impractical According to Kotter, the importance of leading: and manag-ing depends in part on the situation, As an organization becomes larger and more complex, the importance of managing increases As the external environment becomes more dynamic Jnt! uncertain, [he imp011ance of leadership increases Both roles are important for executives in large organizations with a dynamic environment When Kotter surveyed major large companies in a dynamic environment, he found velY few had executives who were able to cany out both roles effectively

Rost (1991) defIned management as an authority relationship that exists between

a manager and subordinates to produce and sell goods and services He defined ership as a multidirectional influence relationship between a leader and followers with the mutual purpose of accomplishing real change Leaders and followers influence each other as they interact in noncoercive ways to decide what changes they want to make Managers may be leaders, but only if tbey have this type of influence relation-ship Rost proposed that leading was not necessary for a manager to be effective in producing and selling goods and services However, when major changes must be implemeted in an organization, authority is seldom a sufficient basis for gaining commitment from subordinates or for influencing other people whose cooperation is necessalY, such as peers and outsiders,

lead-26 Chapter 1 • Introduction: The Nature of Leadership

Defining managing and leading as distinct roles, processes, or relationships may obscure more than it reveals if jt encourages simplistic theories about effective leadership Most scholars seem to agree that success as a manager or administrator

in modern organizations also involves leading How to integrate the two processes has emerged as a complex and important issue in the organizational literature (YukI

& Lepsinger, 20(5) The answer will not come from debates aoom ideal definitions Questions abotll what to include in the domain of essential leadership processes should be <.:xplored with empirical research, not predetermined by subjective judgments

A Working Definition of Key Terms

It is neither feasible nor desirahle at this point in the development of the pline to attempt to resolve the controversies on:r the appropriate definition of leader-

disci-ship Like all constructs in SOCi:ll science the definition of leadership is ~lrhitr:ary and suhje~·tive Some definitions are more llst'ful than 01 hers but there is no single "('01'- n:'c( definition that ClplUfCS the (:','>scncc of Icade1':-.hip For the lillie lx-ing, it is lx-Her

to usc tht' various conceptions of kadership as a source of different perspectives on a complex, multifaceted pIWJ1()Il'lL'I1{H)

In research the oper~ltion:l! definition (If !<.:adt:rship dt'pends to a gre~H extent on the purpose of the rcst'<.lrcher (Campbell, 1077) The purpose m~ry he to id1 "ntify lead-ers, to determine how they ;Irc se1L'cted 10 discover what they do, to di:-.cover \vhy they afe effective, or to determine \vhether they are necessary A:-; Kanne! (1978

p /i7()) notcs hIt is con:-;equl.>ntly vcry difficult to settle on a single definition of ship th:H is gt:neral enough to accollllllodate Ihese lllany meanings and specific enough to :-;erve as ;1n operationalization of the variahle" \'\-'hencver feasible, leader-ship rcsearch should be designed to provide information relevant to a wide range of definition~, so that over tim:e it will Ix? possible [0 compare the utility of different con-ceptions and Mrive at some consensus 011 The matter

k'ader-In this book, !e~ldcrship is defined hrO<ldly in a way that t::lkc-s into account

sev-<:ral things that determine the stKC('SS of a collective effor! hy memhers of a group ()f

organization to accomplish me-aningful tasks The follOWing: {kfinition is used:

Leadership is the process ()f influencing others iO understand 1nd :!gn.'c about

what needs to he done alld how lu do it, and the procc,s.:- of facili[:lting individu~J! and colhxtive efTorts [0 accomplish shared objeLtives,

The definition includes efforts nOt only to influence and facilitate the current work

of the group or organization, but also to ensure that it is prepared to meet future lenges Both direct and indirect forms of influence are included The influence processes may involve only a single leader or it may involve many leaders Table 1-2 shows the wide variety of ways leaders can influence the effectiveness of a group or organization

chal-In this book, leadership is treated as both a specialized role and a social ence process More than One individual can perform the role (i.e., leadership can be shared or distributed), but some role differentiation is assumed to occur in any group

influ-or influ-organization Both rational and emotional processes are viewed as essential aspects

of leadership No assumptions are made about the actual outcome of the influence processes, because the evaluation of outcomes is difficult and subjective Thus, the

TABLE 1·2 What Leaders Can lilfIuence

• The interpretation of external events by members

• The choice of objectives and strategies to pursue

• The motivation of members to achieve the objectives

• The mutual trust and cooperation of members

• The organization and coordination of work activities

• The allocation of resources to activities and objectives

• The development of member skills and confidence

• The learning and sharing of new knowledge by members

• The enlistment of support and cooperation from outsiders

• The design of formal structure, programs, and systems

• The shared beliefs and values of members

definition of leadership is not limited to processes [hat necessarily result in "successful'"

outcomes, I Iow leadership processes affect outcomes IS a central research question that should not be hiased hy the definition of leadership The foclis is deady on the process, not the person, and they are not assumed to be equivalent Thus, the h-:rms

/eado: nWJU1Ret~ and hoss art: used interch~lI1geably in this book to indicate pcople who occupy positions in which they afe expected to perform the leadership role, hut without any assumptions about their actual behavior or success

The terms subordinate and direct rt',/)ort are used interchange-ably to denote

someone whose prim:l1Y \vork activities 3rt: directed and evaluated by the focal le~ldef Some \\Tiler::; usc the term staf/as ;:1 substitute for subordinate, but this practice (Teatcs unnecessary confusion c)'ta:!l connotes a special type of advlsolY position, and most subordinates are not staff advisors Moreover the term sta//is lIsed both as a singular and plural noun, \vhich creates a Jot of unnecessary confusion The tenn a_\' >;ociale has become popular in husiness organizations as another substitute for subordinate, because it conveys a relationship in which employees are valued and supposedly empowere<L However, associate is a vague term that f3i!s to differentiate between

a direct authority relationship and other types of formal relationships (e.g., peers, ners) To clarify communication, this text continues to use the term subordinate to

part-denote the existence of a formal alHhority relationship

The term follower is used to describe a person who acknowledges the focal

leader as the primal}' source of guidance about the work regardless of how much mal authority the leader actually has over the person Unlike the term s'ubordillate,

for-the term jollOll'er does not preclude leadership processes that can occur even in the absence of a formal authority relationship Followers may include people who are not direct reports (e.g., coworkers, team members, partners, outsiders) Howevee the term follower is not used to describe members of an organization who completely

reject the formal leader and seek to remove the person from office; such people are more appropriately called "rebels" or "insurgents ,

Indicators of Leadership Effectiveness

Like definitions of leadership, conceptions of leader effectiveness differ from one writer to another The criteria selected to evaluate leadership effectiveness reflect a

28 Chapter 1 • Introdu(1ion: The Nature of Leadership

researcher's explicit or implicit conception of leadership Most researchers evaluate leadership effectiveness in terms of the consequences of influence on a single individ-ual, a team or group, or an organization,

The most commonly used measure of leader effectiveness is the extent to which the performance of the team or organizational unit b enhanced and the attainment of goals is facilitated Examples of ohjecHve measures of performance include sales, net

profits, profit 111Jrgin, market share: return on investment return on ass(:t-;, ry: cost per unit of output, costs in relation to hudgeted expenditures, and change in the value of corpomte stock Subjective measures of effectiveness include ratings ob-tained from the leader's superiors, peers, or subordinates

productivi-Follo\v£'f attitudes and perceptions of the leader are Jnother common indicator of leader effectiveness How well does the leader satisfy their needs and expectations? Do followers Hke, respect, and admire the leader? Do followers tnJ:;t the leader and perceive him or her 10 have high integrjty? Are {{)llowers strongly committed to carrying out the leader's request", or will they resist, ignore, or sUhVClt thern? Does the leader improve the quality or work life, huild the self-confidencc of followers, incre~lse their skills, ~lI1d contrihute in their pSydlOJogicll grovv'th and dt.'vdopmem? Folhy\vcr :mitude:-., pt.'n,,'~'p­(ions, and beliefs :.lfe u;')ually ll1easun:d with ql!estjon!l~lirl's Of intcITic\vs Such aspects

of follower hehavior also provide an indirect indicator of diss;Jtisbnion :md hostility vvard the leader Examples of sllch indicators include absentec1sm, voluntary vacancies grievances, con1plaims to higher management, requests for transk'r, work slowdowns, and deliherate sabotage 1.)f eqUipment and Llcilities

to-Leader effectiveness is occaSionally measured in term;;; of the leader's hution to the quality of group processes, as perceived hy followers or by olltsick ()bSefv-efs Does the leader enhance gn)up u)hesivenl'ss mvmber c{)operation, n1cmber commitment, ;lnd member txmfit h.:nce th~lt the group can achieve its uhjec~ lives? Do(';'s the leader enhance prohlem solving and decision making hy the group, and help to resolve disagreements and conni('ts in a constructive \-vay? Does the k:adef contribute to the effiCiency of role specialization, the organization of activi-ties, the accumulation of resourCeS, and the rc:!diness of the group to de;tl \-vith ch~mg(:' and crises?

contri-A final type of ;"riterion for leadership effectiveness i.<.; the extent to which a son ha;-; a successful career as a leader Is the person promoted r;lpidly to positions of higher authority? Dues the person serve a full term in a leadership position or is he or she removed or forced to resign? For elected positions in urganizations, is a leader who seeks re~le('tion succes ful?

per-It is difficult to evaluate the effectiveness of a leader when there are so rrwny alternative measures of effectiveness, and it is not clear which measure is most relevant Some researchers attempt to combine several measures into a single, composite criterion, but this approach reqUires subjective judgments about how to assign a weight to each measure Multiple criteria are especially troublesome when they are negatively correlated A negative correlation means that trade~offs occur among criteria, such that as one increases, others decrease For example, growth in sales and market share (e,g.) by reducing price and increaSing advertis-ing) may result in lower profits, Likewise, an increase in production output (e.g.,

by indUCing people to work faster) may reduce product quality or employee

satis-bction

Immediate and Delayed Outcomes

Some outcomes afe more immedbte than others For example, the irnmediate result of an influence attempt is whether t()llowers are willing to do v. hat the leader asks, hut ~l delayed effect is how well followers actually perform the ;Issignment The effects of <l leader can he viewed as a GHlsal chain of variahlc'-';, \vith each "inlervcn~ ing variable" Il1cdiJling the effects of the pn:ccding one on the next one An eX~W1-pIe is provided in Figure 1-1 The farther along in the causal chain the longer it rakes t()f the effect to occur For criteria at lhe end of thc causal ch~dn, there is a consider-,ible delay (months or years) before the effects of the leader's al.:tions are evident Moreover, these end~result criteria are more likely to he influenced by extraneous events (e.g" (he economy, Burkel conditions), When the delay is long and there is considerahle "cont~ullinalion·' of end-result criteria by extraneous events, then these criteria may be less useful for assessing leadership effectiveness than more immediate outc()tl1es

In many cases a leader has hoth immediate and delayed effects on the same criterion The two types of effects may be consistent or inconsistent When they are inconsistent, the immediate outcome may be vety different from the delayed out-comes For example, profits may he increased in the short run by eliminating costly activities that have a delayed effect on profits, such as equipm<:ot maintenance, research and development, investments in new technology, and empluyee skill train-ing In the long run, the net effe(t of cuning these essential activities is likely 10 be lower profits becallse the negative consequences slowly increase and eventually out-weigh any benefits The converse is also true Increased investment in these activities

is likely to reduce immediate profits but increase long~term profits

What Criteria to Use?

There is no simple answer to the question of how to evaluate leadership tiveness The selection of appropriate criteria depends on the objectives and values of the person making the evaluation, and people have different values For example, top management may prefer different criteria than other employees, customers, or share-holders To cope with rlle problems of incompatible criteria, delayed effects, and the preferences of different stakeholders, it is usually best to include a variety of criteria in research on leadership effectiveness and to examine the impact of the leader on each

effec-30 Chapter 1 • Introduction: The Nature of Leadership

criterion over an extended period of time Multiple conceptions of effectiveness, like multiple conceptions of leadership, serve to broaden our perspective and enlarge the scope of inquiry

Overview of Major Research'Approaches

The attraction of le~l(lershjp as a subject of research and the many different

COD-ct.:ptions of leadership have created a vast and be"\vildering literature, Attempts 10 organize the literature according to m:.tjor approaches or per,spectives show only partial

success One of the more useful ways to d:lssify leadership theory and research is according to the type of variable that is emphasized the most Three types of variables that are relevant for understanding leadership effectiveness include (1) characteristics of kaders, (2) chamctcristics of follovvers, and (3) ch:.uacteristlcs of the situation Exam.pIes of key variables within each category are shown in Table 1-3 Figure 1~2 dl'l)iClS likely causal relationships among the variables

Most leadership thcorie<.; t,'tnphasize nne cltt:gory more th~lt1 the others as the mary basis for explaining effective lcadt.:'rship, and leadt.:'r characteristics have heen

pri-TABLE 1·3 Key Variables in Leadership Theories

Characteristics of the leader

• Traits (motives, personality, values)

• Confidence and optimism

• Skills and expertise

• 8ehavior

• Integrity (honesty, behavior consistent with values)

• Influence tactics

• Attributions about followers

Characteristics of the Followers

• Traits (needs, valueS, self-concepts)

• Confl'dence and optimism

• Skills and expertise

• Attributions about the leader

• Trust in the leader

• Task commitment and effort

• Satisfaction with Job and leader

Characteristics of the Situation

• Type of organizational unit

• Size of unit

• Position, power, and authority of leader

• Task structure and complexity

Leader traits Leader :: Influence r: Follower

FIGURE 1~2 Causal Relationships Among the Primary Types of leadership Processes

emphasized most often over the past half-century, Another (ommon practice is to limit the focus to one type of leader characteristic, namely traits, behavior, or power To Ix: consistent with most of the leadership literature, the theories and empirical research reviewed in this hook arC' cbssified into lhe follovdng r1\'e approaci1e:::.: (J) the trait approach (2) the beh~lVi()r approach, (3) the po\ver-influence approach (4.) the situa-tionaj appro:lCh, and ('j) the integrative ~!pproJch, Each ;lppro;J(h is described hriefly

in the following sections,

Trait Approach

One of the earliest approaches for studying leadership \V~IS the trait approach, This approach el1lph~tsiz(:'s attrihutes of leaders such ;]s person;:t!ity, motives, valucs, and skills, Underlying this approach \-vas the a,Ssumption tJut some peopk: are natural leaders, endo\-\'ed v,:ith certain traits not possessed hI' other people, Early leadership theories attrihuted managerial success to extraordinary abilities such as tireless energy, penetrating intuition, uncanny foresight and irrl'sistil)ie persuasiYc po\vers Hundreds

of trait studies conducted during the 19jOs and 19<10s sought to discover these elusive qualities, but this m<ls ,ive research effoI1 failed to find any traits that would guarantee leadership success One reason for the failure W~JS a hick of attention to intervening variables in the causal chain thar could explain 110\\7 traits could affect a delayed out-come such as group performance or leader advancement The predominant research method W,lS to look for a significant correlation hetween jndividual leader attrihutes and a criterion of kader success, \vithout examining any explanatory processes However, as evidence from bettel' designed research slowly accumulated over the years, researchers m~!de progress in discovering how leader attributes are related to

leadership behavior and effectiveness A more recent trait approach examines leader values that afe relevant for explaining ethical leadership,

Behavior Approach

The behavior approach began in the early 19505 after many researchers became

discouraged with the trait approach and began to pay closer attention to what managers

actually do on the joh, The behaviof research falls into tVllO general subcategories,

One line of research examines how managers spend their time and the typical pattern of activities, responsibilities, and functions for managerial jobs, Some of the

32 Chapter 1 • Introduction: The Nature of Leadership

research also investigates how managers cope with demands, constraints, and role

conflicts in their jobs, Most research on managerial work uses descriptive methods of

data coHection such as direct observation, diaries, joh description questionnaires, and anecdotes obtained from intervic\vs Although this research was not designed to directly assess effective leadership, it providesusefuJ insights into this suhjecL

Leadership effectiveness depends in part on how wen a m:lnager resolvc's role flicts, copes with demandfi, rec(}gnizes {)pporrunities, and oVercomes u)flsrfainrs, Another suhc<1legory of the behavior approach fi:)('uses on identifying effective leadership behavior The prefcrn.:·d research mefhod involves a survey field study \'\:ith

con-a behcon-avior desniptlon que:-.tionncon-aire In the pcon-ast 50 yecon-ars, hundreds of survey studies examined the correlation between leadership behavior and various indicators of lead-ership effectiveness A much smaller number of studies used laboratory experi-ments field i.:.~xperiments, or critical Incidents to determine how effective leaders differ in behavior from ineffective lC;1dcrs

Power-Influence Approach

Power~innUt.:n :(' n::-.earch vxamines ini1u(;,IH v procc,>-"es hetwecn leaders and othvr pcoph: Like most research on traits and behavior, some of the po\ver-influence rcs(;"arch takes a leadt'T~c~;ntered perspectiVe" wilh :m implicit assumption Ihat clusality is unidin.:c-{ion:J! (leaders ;1(1 and j()II{)\vers n.:~lCt) Tlli.;; rcsc,!fch seeks to cxpbin leadership e!Tec-tiveness in terms of thc amount and lype of po\ycr possess,-'d hy a lc~lder ~ll1d htw; power is exercised POV""~'r j,.;; viewed as impol1ant not only for inllucncing suhordinates, hut also for influencing peers, superior;." and pl.'ople outside the organization, such as clients and suppliers The bvorlle rnethodology has hCL'n the use of survey question-naires to rdatl' leader power [0 various measures of leadership etTectivenl.'ss

Other PO\",'cf-influence n;,s~::Jrch used qlH.:stionn~1in.:s and descriptivc incidents to

determinc how leaders intluenn: the attitudes and hehavior of f()llo\.vers The study of influence tactics can he viewed as a bridge linking the puwer-influel1ce approach and the bt:'h~lvior approach 11K' lise or diffi ':rl"nt influence ta,,'tics is cnrnparcd in ternh nf their reLtti\'(:, dk"ctiveness t()f getting pc>ople to do \vbat the leader wants

Pal1icipative leadership is concerned Wilh PO\VCT sharing and empowerment of followt:r:-., but it is firmly rooted in the tradition of hehavior research as well Many studies used questionnaires to correblc subordinme perceptiun:- of partJcipative lcJJer-ship with lTiteria ()f leadership effectiveness such as subordinate satisfaction, eff0!1 and performance Laboratory and field experiments compared autocratic and patticipative leadership styles Finally, descriptive case studies of effective manJgers examined how they use consultation and delegation to give people a sense of ownership for decisions

Situational Approach

The situational approach emphasizes the importance of contextual factors that influence leadership processes Major situational variables include the characteristics

of followers, the nature of the work performed by the leader'S unit, the type of

organ-ization, and the nature of the external environment This approach has tvio major categories, One line of research is an attempt to discover the extent to which leadership processes are the same or unique across different types of organizations, levels of

sub-management, and cultures The primary research method is a comparative study of two or more situations The dependent variabJes may be managerial perceptions and attitudes, managerial activities and behavior patterns, or influence processes

The other sulxategory of situational research attempts to identify aspects of the situation that "moderate" the relationship of leader attributes (e.g., traits, skills, behavior)

to leadership effec.tiveness 1he assumption is that different attributes will be effective in different situations, and that the sanle attribute is not optimal in all situations ll1cories desctibing this reiatioIl.',hip are sometimes caJled '"contingenty theories" of leadership

A more extreme form of situational theOIY ("leadership substitutes") identifies the tion , that can make hierarchical leadership redundant and unnecessary (Chapter 6)

concli-Integrative Approach

An integrative approach involves more than one type of leadership variable In recent years it has become more common for researchers to include two or more types of leadership variahlt:'s in the same study, hut it is still rare to tlnd a theory that includes all of them O.e., tr~lils, hehavior influence processes, situational vari:Jhles, and outcomes), An exampk' of tht:' integrative approach is the self concept theory of dwrismatic leadership (see Chapter 9), \vhich attempts to explain why the fo!1o"\vers

of some leaders are willing to exert exceptiol1fd effort and make persomll sacrifices to accomplish the group objective or mission

level of Conceptualization for leadership Theories

Another way to classify leadership theories is in terms of the "level of ization" or lype of constructs used to describe leaders and their influence on orhers Leadership can he described as (1) an intra-individual process, (2) a dyadic process,

con(\.-:ptual-(3) a group process, or (4) an organizational process, The levels can be viewed as a hierarchy, as depicted in Figure 1-3 What level is emphasized will depend on the primary research question, the type of criterion variables used to evaluate leadership effectiveness, and the type of mediating processes used to explain leadership influence

34 Chapter 1 • Intrbduction: The Narure of Leadership

Typical research questions for each level are listed in Table 1-4 The four levels of ceptualization and their relative advantages and disadvantages are described next

con-Intra-Individual Processes

Because most det1nitioflS of leadership involve influence processes hetw£"'Cn viduals, leadership theories that dcsetibe only the leader are rare Nevertheless, a number of researchers used psychological theories of personality traits, valut:s, skills,

indi-TABLE 1-4 Research Questions at Different Levels of Conceptualization

Intra-Individual Theories

• How leader traits and values influence leadership behavior

• How leader skills are related to leader behavior

• How leaders make decisions

• How leaders manage their time

• How leaders are influenced by role expectations and constraints

• How leaders react to feedback and learn from experience

• How leaders can use self~management techniques

• How leaders can use self-deve~opment techniques

Dyadic Theories

• How a leader i'nfluences subordinate motivation and task commitment

• How a leader facilitates the work of a subordinate

• How a leader interprets information about a subordinate

• How a leader develops a subordinate's skills and confidence

• How a leader influences subordinate loyalty and trust

• How a leader uses influence tactics with a subordinate, peer, or boss

• How a leader and a subordinate influence each other

• How a leader develops a cooperative exchange relationship with a subordinate

Group-Level Theories

• How different leader-member relations affect each other and team performance

• How leadership is shared in the group or team

• How leaders organize and coordinate the activities of team members

• How leaders influence cooperation and resolve disagreements in the team or unit

• How leaders influence collective efficacy and optimism for the team or unit

• How leaders influence collective learning and innovation in the team or unit

• How leaders influence collective identification of members with the team or unit

• How unit leaders obtain resources and support from the organization and other units

Organizational-level Theories

• How top executives influence lower~level members

• How leaders are selected at each level (and implications of process for the firm)

• How leaders influence organizational culture

• How leaders influence the effiCiency and the cost of internal operations

• How leaders influence human relations and human capital in the organization

• How leaders make decisions about competitive strategy and external initiatives

• How conflicts among leaders are resolved in, an organization

• How leaders influence innovation and major change in an organization

motivation, and cognition to explain the decisions and behavior of an individual leader Roles, behaviors, or decision styles are also used for describing and differenti-ating leaders, Examples can be found in theories about the nature of managerial work and the requirements for different types of leadership positions (see Chapter 3), Individual traits and skills are also used to explain a person's motivation to seek power and positions of authority (see Chapter 2), and individual values are used to explain ethical leadership and the altruistic use of power (see Chapter 11), Another intrd-individual approach is the lise of self-management theory to describe how a person can become more effective as a leader (see Chapter 8) Self-management (sometimes called self-leadership) involves identifying personal objectives and priorities, managing one's time efficiently, monitoring one's own behavior and its consequences, and trying

to learn to be more effective in accomplishing personal objectives

Knowledge of intra-individual processes and taxonomies of leadership roles behaviors, and traits provide insights that are helpful for developing better theories of effective leadership However, the potential contribution of the intra~individual approach to leadership i,s limited, because it does not explicitly include what most the~ orists consider to he the essential process of leadership namely influencing others such as suhordinates, peers, bosses, and outsider-;,

Dyadic Processes

The dyadic approach focuses on the relationship between a leader and

anoth-er individual who is usually a subordinate or anothanoth-er lype of foll()\vanoth-er The need to

influence direct reports is shared by leaders at all levels of authority from chief executives (0 department managers and \vork crew supervisors The explanation of leader influence is usually in terms of how the leader causes the suhordinate to be more motivated and more capable of accomplishing task assignment.s These theo-ries usually forus on leadership hehavior as the source of inf1uence, and on changes in the attitudes, motivation, and behavior of an individual subordinate as the influence process Reciprocal influence between the leader and t~)Uower may

he included in the theory, but it is usually less important th~lfl the explanation of leader influence OVer the follower

An example of a dyadic leadership theory is the leader-member exchange (LMX) the-OIY described in Chapter 8, which describes how dyadic relationships evolve over time and take different forms, ranging from a casual exchange to a coopemtive alliance with shared objectives and mutual trust Although LMX theory recognizes that the leader has mUltiple dyadic relationships, the focus is dearly on what happens within a single relationship Much of the research on power and influence tactics (see Chapter 6) is also conceptualized in terms of dyadic processes, Most theories of transformational and charismatic leadership were initially conceptualized primarily at the dyadic level (see Chapter 9),

Since real leaders seldom have only a single subordinate, some assumptions are necessary to make dyadic explanations relevant for explaining a leader's influence on the performance of a group or work unit One assumption is that subordinates have work roles that are similar and independent Subordinares may not be homogeneous with regard to skills and motives, but they have similar jobs, There is little potential for subordinates to affect each other's job pertormance, and group performance is the

36 Chapter 1 • Introduction: The Nature of Leadership

sum of the performances by individuals An example of minimum interdependence is

a district sales unit in which sales representatives work separately and independently

of each other and sell the same product in different locations or to different customers Subordinates do not influence each other or help each other, nor are they in competi-tion for scarce resources or rewards Yammarino and Dubinsky (994) found that effective leadership was explained better by a dyadic model than by a group-level model in a study of sales representatives, However) when these assumed conditl(:ffL'S

are not present, dyadic theories are not :ahle to explain how leaders influence the

coHective performance of a team or organization, \Xlhcn there is high cnce among group members) a high need for coHective learning, and strong extcf~ nal dependencies, a group-level theOlY is needed to explain how leadership can influence group performance

iniler"dc·pt""j-The dyadic theories do Dot include some leadership behavjors that arc neCess:;}wy

10 facilitate collective peri()rmance by a team or organization Mon:over, some of the dyadic behaviors that are effective in terms of dyadic influence will be ineffective \t7itb regard to tC:Ul1 pertormance or organizational performance For example, attempts to develop a closer febuionship \vith one subordinate (e,g hy providing more henefits) may he dysfunctional if they create perception:-> of inequity by other suhordinaLz;'s> Effo!1s to empower individual subordinates may create problems when it is ntx:-cStihKi1/

to have a high degree of coordinati,ol1 among all of the 5uhnrdinates> The extra titHe needed by a leader to maximize performance by an individtul subordinate (e.g.; pro-viding intensive coaching) may he more effectively used to deal with problems that involve the team or \york group (e,g., obtaining necessaty resources, facilitating coop-eration and coordination)

Another limitation of most dyadic theories is inadequate attention to the context

In most dyadic theories of effective leadership, aspects of the situJtion afC likely to he treated as moderator variabh:s that constrain or enhance leader influence 00 individual subordinates The dyadic theories underestimate the importance of the conte'S! for determining what type of leadership is necessary to enhance collective perfomUl'Dce

by multiple subordinates

Group Processes

\\"hen effective le<-1dership is vie\ved from a group-level perspective, the ti:XU$ is

on the influence of leaders on collective processes that Jetermine team perfomuHce The explanatory influence processes include determinants of group effectiveness that can be influenced by leaders, and they usually involve all members of a group or tcam, not only a single subordinate Examples of these collective explanatory processes include how well the work is organized to utilize personnel and resources, how much mem-bers are committed to perform their work roles, how confident members are that the task can be accomplished successfully ("potency"), and the extent to which members trust each other and cooperate in accomplishing task objectives The leadership be-haviors identified in dyadic theories are still relevant for leadership in teams, but other behaviors are also important

Behavioral theories describing leadership processes in various types of groups and teams are discussed in Chapter 12, and leadership in executive teams is discussed

in Chapter 13 Much of a manager's time is spent in formal and informal meetings, and