Leadership
Leadership
A REVIEW OF THE HISTORICAL STUDY OF LEADERSHIP
The study of leadership is not only a search for understanding the thoughts and actions of leaders, but also an investigation into how to improve the performance and motivation of both individuals and groups. Given the importance of leadership to the success of groups, organizations, or even entire civilizations, there are few more pressing questions than, “What is leadership?” Attempts to answer this question are evident in early discussions of the notion of leaders. Governments, businesses, industries, and private organizations have all turned to behavioral scientists to better understand how organizations work efficiently, how managers can improve workers’ performance, how teamwork and commitment can be instilled, and how an environment conducive to change can be structured.
DEFINING LEADERSHIP
The notion of leadership “connotes images of powerful, dynamic individuals who command victorious armies, direct corporate empires from atop gleaming skyscrapers, or shape the course of nations” (Yukl 2002, p. 1). Yet, considerable debate exists among researchers regarding an understanding of who exerts influence, what kind of power or influence is exerted, when and where leadership takes place, and why and how this phenomenon occurs.
As many definitions of leadership exist as do authors who have studied the concept. Conceptions and definitions of leader and leadership have been reviewed by Carroll Shartle (1956), Bernard Bass (1960), and James Hunt and colleagues (1982), among others. Some of the more recent definitions focus on influence, collective understanding, effectiveness, and facilitation:
- “Leadership appears to be a working relationship among members in a group, in which the leader acquires status through active participation and demonstration of his or her capacity to carry cooperative tasks to completion” (Bass and Stogdill 1990, p. 77).
- “Leadership is a process of giving purpose [meaningful direction] to collective effort, and causing willing effort to be expended to achieve purpose” (Jacobs and Jaques 1990, p. 281).
- “A definition of leadership that would be widely accepted by the majority of theorists and researchers might say that ‘leadership is a process of social influence in which one person is able to enlist the aid and support of others in the accomplishment of a common task’” (Chemers 1997, p. 1).
- “Leadership is influencing people—by providing purpose, direction and motivation—while operating to accomplish the mission and improving the organization” (Department of the Army 1999, pp. 1–2).
The common thread in the majority of definitions is that leadership is an active process of one person exerting influence over one or more other persons toward a common goal or objective. However, the similarities end there, and leadership definitions do not always fit into the applications for which they are used. For example, Bernard Bass and Ralph Stogdill’s definition of leadership does not fully account for hierarchical structures, and T. Owens Jacobs and Elliot Jaques’s definition does not address the interactive nature of leadership between a superior and a subordinate. A more adequate definition of leadership needs to account for both the individual person and the situational context. The definition provided by the U.S. Army is comprehensive and useful. Therefore, this entry also defines leadership as “influencing people—by providing purpose, direction and motivation—while operating to accomplish the mission and improving the organization” (U.S. Army 1999, pp. 1–2).
Having defined leadership, it is necessary to examine assumptions about the topic. Some commentators assume that certain individuals are predisposed to be leaders, while others are not. If the person is the most important predictor of leadership success, then personnel selection matters most. However, other scholars assume that context is most important in developing leaders. If the situational variables are the most influential aspects of leadership success, then the training models employed would seem most important. A review of the historical approaches to leadership will highlight these two divergent approaches.
A REVIEW OF THE HISTORICAL STUDY OF LEADERSHIP
An understanding of the historical literature and the changing philosophies behind leadership studies add meaning and depth to current integrated theories. The concepts examined provide a framework for understanding current models and examining future directions.
Traits and Attributes Theories Few areas of research have had a more controversial history than that on leadership traits and attributes. One question that researchers have tried to answer is “who is exerting the influence?” During the nineteenth and early twentieth centuries, “great man” theories dominated leadership discussions. The great man concept suggested that leaders possessed special traits or characteristics that allowed them to ascend above others and enhanced their ability to be leaders (Hollander and Offermann 1990b). This view is often linked to the nineteenth-century philosopher Thomas Carlyle, who wrote “the history of the world is but the biography of great men” (1841). In short, the attributes of effective leaders were seen as inborn and permanent, and they applied to various circumstances. Later, Francis Galton expounded on this concept in Hereditary Genius (1869), where he argued that reputation flows from heredity.
The great man theory led to hundreds of research studies that looked at personality traits, physical characteristics, intelligences, and values to differentiate leaders from followers. In the early 1900s, psychologists developed intelligence testing to measure individual differences in analytic ability. Initial findings that intelligences correlated with leadership led researchers toward searching for additional nonintellective traits that might be predictors of behavioral tendencies (Chemers 1997).
Ralph Stogdill was the first researcher to summarize the results of these studies. He examined 124 studies to determine the characteristic differences between leaders and followers. He came to two major conclusions. First, Stogdill found slightly higher intelligence measures for leaders, as well as positive relationships between leadership and adjustment, extroversion, and dominance. However, Stogdill failed to find traits that were universally associated with leadership and could be reliably used to predict who might be an emerging leader. Stogdill concluded that “a person does not become a leader by virtue of the possession of some combination of traits” (1948, p. 63). Later, Richard Mann (1959) came to the same conclusions that although individuals with certain characteristics were more likely to be successful leaders, leaders were not altogether different from followers. As a result, later researchers erroneously concluded that personal traits and attributes alone could not be used to predict future leadership success.
It was not until the publication of a meta-analysis by Robert Lord, Christy de Vader, and George Alliger (1986) that such traits as intelligence and personality regained favor with leadership researchers. Their article reexamined the relationship between personality traits and leadership perceptions and emergence. In contrast with the conclusions of earlier nonquantitative literature reviews on traits and leadership, Lord and his colleagues utilized the literature investigated by Mann in his 1959 review and subsequent relevant studies and found that prior research on trait theories was misinterpreted as applying to leader effectiveness when it actually applied to the relationship between leader traits and leader emergence. Using meta-analytic techniques, their results supported social perception theories where several traits were expected to be related to leadership perception. Specifically, they found that intelligence, masculinity-femininity, and dominance were significantly related to followers’ perceptions of their leader’s effectiveness. Shelley Kirkpatrick and Edwin Locke (1991) found that successful leaders’ traits include drive, the desire to lead, honesty and integrity, self-confidence, cognitive ability, and competence. Overall, as the study of traits and attributes in relation to leadership continued, the beginnings of the study of leadership as a behavioral phenomenon began.
Behavioral Theories After World War II (1939–1945), researchers emphasized the observable aspects of leadership in order to differentiate not only the nature of leadership and leader activity but also the behavioral patterns of effective leaders (Chemers 1997). A research program at Ohio State in the 1940s attempted to measure leadership behavior as group members described the behavior of the leader. From this data, John Hemphill (1950) quantified 150 behavior descriptors that were incorporated into the Leader Behavior Description Questionnaire (LBDQ), which is still used as a measure in leadership research. Andrew Halpin and Ben Winer (1957), while adapting the LBDQ for use in the U.S. Air Force, identified initiating structure and consideration as two fundamental dimensions of leader behavior. Earlier, Daniel Katz and Robert Kahn (1966) had attempted to identify general styles of leadership. From interviews with subordinate employees or “followers,” they recognized two general styles: production-oriented and employee-oriented. The former is focused on planning, preparation, direction, and end-state productivity. In contrast, employee-oriented leaders identified with followers, exemplified openness, and showed concern for the well-being of subordinates.
With the limitations of behavioral approaches for explaining why some leaders are more effective than others, leadership researchers shifted their focus away from what leaders are toward developing a better understanding of what leaders actually do, and how such behaviors relate to leader effectiveness (i.e., how often a leader communicates with followers, what types of reward and discipline methods he or she uses, and the decisions leaders make).
Although behavioral approaches to leadership generated great interest, they also generated a number of controversies, including accusations of inconsistencies in findings (Bass and Stogdill 1990). For example, there are significant variations in most relationships between leadership styles and behaviors and the various indicators of leadership effectiveness, such as morale and satisfaction (Bryman 1992). These inconsistencies in the literature instigated the emergence of contingency approaches to leadership to account for differences found across situations.
Contingency and Situational Theories Contingency and situational theories examine both the tasks and the follower characteristics to specify what behavior is required of effective leaders. The circumstance in which leader-follower interaction takes place plays a major role in the process of leadership. Captured in the situational leadership approach are the quality of relationships, tasks, and activities to be performed, perceptions of the leader based on history, the motivation of both the leader and the follower, and personal characteristics influencing the situation. There exist several contingency and situational theories, but perhaps the most commonly researched were F. E. Fiedler’s (1967) contingency theory of leadership, Paul Hersey and Kenneth Blanchard (1969) situational leadership model, Robert House’s (1971) path-goal theory of leadership, and Victor Vroom and Philip Yetton’s (1973) normative decision model.
Fiedler’s contingency model proposes that leader effectiveness is a function of the match between the leader and specific situational factors, including position power, task structure, and leader-member relations. Fiedler’s model differentiates between task-oriented and relationship-oriented leadership styles, but also measures ratings of the person with whom employees are least able to work. Fiedler found that the effectiveness of the leader-follower interaction was contingent upon the factors of leader-follower relationship, task structure, and leader position. If these factors were all high or all low, it was determined that a task-centered leader would be most effective. However, if the factors were mixed, an employee-centered leader was found to be most effective (Fiedler 1967). Further, Fiedler argued that leaders cannot adjust their behavior to changing circumstances. If a leader’s style is not appropriate for the specific situation, the leader will not be successful and an organization must change the leader. However, most contemporary theorists believe that leaders can adjust their style. If that is so, what should leaders consider in making adjustments?
Hersey and Blanchard’s situational leadership model sought to answer this question. There was little evidence to support a relationship between leader behavior and leader effectiveness. Instead, the relative effectiveness of these two elements often depended on the context of the task. Hersey and Blanchard used the terms task behaviors and relationship behaviors and sought to explain why leadership effectiveness varies across these two dimensions. In their model, they depicted task behavior and relationship behavior as orthogonal dimensions. They argued that this approach is useful because certain combinations of task and relationship behaviors may be more effective in certain situations than in others.
Another contingency model deals with different aspects of leader-follower relationships. Path-goal theory is based on the idea that it is the leader’s responsibility to clarify the path, remove obstacles, motivate his or her followers, and provide feedback to achieve organizational goals while setting guidelines on how to accomplish those goals. Path-goal theory examines the contingency of the leader’s effectiveness at increasing a subordinate’s motivation along a pathway leading to a certain goal. House proposed three areas that would affect the path-goals relationship: the task, the characteristics of the followers, and the nature of the group to which the followers belong. The theory hypothesizes that certain subordinates will respond better to directions when a task is unstructured (e.g., developing building plans) than when a task is structured (e.g., air traffic controlling) (House and Dessler 1974). The response is contingent upon differences in both the individual and the task. More importantly, understanding the effects of the nature of the task should influence how leaders behave.
Another influential model within the contingency approach is the normative decision model from Vroom and Yetton. In this model, emphasis is placed on increasing followers’ involvement. The leader’s method of including followers is contingent upon such constraints as time, talents, and resources. Another important aspect of the model is to what extent the support of followers is critical to successful outcomes. The implications of this model are that leaders who possess an awareness of their subordinates’ involvement can improve the decision-making process.
All of these models have helped to develop an understanding of leadership complexities. Although contingency theories dominated leadership research for decades, a number of writers have questioned the methods used to tests these theories (Yukl 2002). For example, J. C. Wofford and Laurie Liska (1993) quantitatively reviewed 120 path-goal studies and found that only seven of the moderators used were significant. Katherine Miller and Peter Monge (1986) meta-analyzed research on the effects of participation in decision making on satisfaction and productivity. Results failed to support the contingency model predictions.
Transactional Theories Transactional models describe a process-oriented exchange between leaders and followers. As Edwin Hollander and Lynn Offermann (1990a) explained, transactional models focus on the follower’s perceptions of the leader’s actions. The concern for process stems from the social exchange between leaders and followers as a function of effectiveness (Shaw and Costanzo 1982). These models emphasize persuasive influence instead of compelled compliance. Hollander developed a transactional leadership model, and in its context coined the term idiosyncratic credit. Idiosyncratic credits are often defined as a tit-for-tat exchange. Hollander (1958) explained that leadership was a social exchange transaction between leaders and followers where “legitimacy” was the currency of the exchange. To have a successful transaction, the leader must provide direction, guidance, and technical knowledge, as well as recognition of followers’ inputs. In turn, followers increase their receptiveness and add legitimacy to the leader’s influence (Hollander 1993).
By demonstrating competency, assisting the achievement of group goals, and conforming to group norms, leaders demonstrate commitment to the group and in turn earn credits (Chemers 1997). By obtaining credits, the leader gains latitude to explore new and perhaps non-normative ideas, methods, and courses of action, all of which can potentially lead to innovations. Overall, the successful employment of the idiosyncrasy credit exchange leads to legitimacy in shaping the perceptions of subordinates. In a cyclical nature, from the leader-follower exchange, group performance is increased (Green and Mitchell 1979).
Other relationship- and influence-oriented theories include implicit leadership theory, leader-member exchange theory, and Pygmalion theory. According to implicit leadership theory, a leader’s behavior will not be effective unless the person is perceived as a leader (Calder 1977). Leader-member exchange theory (Graen and Ginsburgh 1977) proposes that leaders have in-groups of trusted individuals within their organization. Subordinates in the out-group are supervised through a more formal authority process. Another approach is referred to as Pygmalion theory. A critical component of this theory is the self-fulfilling prophecy, which suggests that raising leader expectations regarding follower achievement produces an improvement in the followers’ performance (Eden 1990). Over nearly three decades, researchers have found that if leaders have confidence in followers and set high goals and expectations for them, then the followers’ likelihood of success is higher due to a self-fulfilling prophecy effect (see Eden et al. [2000] for a review of this literature).
From a theoretical perspective, a common complaint against these theories is their lack of generalizability to women and to established work groups (White and Locke 2000). For example, several Pygmalion studies, with the exception of D. Brian McNatt’s (2000) meta-analysis, have reported weak effect sizes when controlling for gender (Eden et al. 2000). Indeed, McNatt reported significant differences in the effect sizes across different leadership contexts, with the results stronger in the military, with men, and for followers for whom low expectations were initially held.
R. E. Kelly (1988) brought attention to the active role of followers in achieving group success. He argues that a prerequisite to effective leadership is followership. Effective followers are “intent on high performance and recognize that they share the responsibility for the quality of the relationship they have with their leaders” (Potter et al. 2000, p. 130). The study of followership includes an understanding of two separate dimensions of follower initiative: performance and relationships. Successful organizations that have the ability to change in positive directions have leaders who value and encourage partners, and followers who seek to become partners (Potter et al. 2000).
The relationship and influence theories have furthered scientific understanding of the leadership phenomena. They have also assisted in answering the question, “Can we develop leaders?” However, these theories do not address the most pressing questions. For example, how do leaders build more enlightened and transformational forms that create referent effects beyond mere legitimacy? Modern theories have sought to explain these challenges. These more recent ideas are examined under the umbrella of new-genre theories.
New-genre Theories New genre refers to theories that have dominated leadership research since the 1980s, including charismatic, inspirational, transformational, and visionary leadership (Bass 1998; Bryman 1992). New leadership approaches emphasize symbolic leader behavior, visionary and inspirational messages, emotional feelings, ideological and moral values, individualized attention, and intellectual stimulation. Charismatic and transformational leadership theories have turned out to be the most frequently researched theories since the early 1990s (Judge and Piccolo 2004), with the accumulated research showing that charismatic and transformational leadership is positively associated with leadership effectiveness and a number of important organizational outcomes across many different types of organizations, situations, levels of analyses, and cultures (see Avolio, Bass, Walumbwa, and Zhu [2004] for a summary of this literature).
Hollander and Offermann described transformational leadership “as an extension of transactional leadership, but with greater leader intensity or follower arousal” (1990a, p. 88). The study of transformational leadership is rooted in Max Weber’s (1946) notion of a leader. In this theory, leaders are seen as active transforming agents, changing the outlook and behavior of their followers (Burns 1978). Transformational leaders may employ one or more of the core competencies of transactional leadership to obtain greater outcomes.
Factor analytic studies have recognized four key components of transformational leadership (Bass 1985; Avolio and Howell 1992): (1) charismatic leadership or idealized influence; (2) inspirational motivation; (3) intellectual stimulation; and (4) individualized consideration. Transformational leaders act as role models to their subordinates. The use of power is a last resort for a transformational leader. Transformational leaders motivate and inspire subordinates by providing meaning and challenge through emphasis on teamwork. Inspirational motivation leads to internalization. Leaders ensure an open exchange of ideas by allowing mistakes, soliciting new methods for problem solving, and evaluating followers’ processes rather than just situational outcomes. The leader acts as a coach, teacher, and mentor for each subordinate, providing individual attention and feedback, both positive and negative (Bass 1996).
Components of transformational and transactional leadership principles are incorporated into training strategies used by governments, corporations, and sports teams. As a result of training and education, transformational leaders motivate and enable followers to accomplish more than what is expected, set increasingly higher goals, and achieve higher standards. Transformational leadership is particularly evident in successful teams when coaches increase performance by providing motivation and inspiration. In contrast, current research on in extremis leadership, or leadership of teams facing death (e.g., fire departments, SWAT teams, and the military) shows that the environment itself provides the inherent motivation. Therefore, leaders in these extreme environments focus on continual learning and shared risk to build competency, loyalty, and trust (Kolditz 2007).
Like transformational leadership, the concept of charismatic leadership is an outgrowth of Max Weber’s description of a form of influence based on follower perceptions that the leader possesses certain enviable characteristics. Weber proposed that charisma can occur when a leader with certain qualities emerges during a crisis to propose a new vision (Weber 1946). Charismatic leaders exert enormous power and influence over followers, especially followers searching for direction or for guidance during times of crisis. Leadership is considered charismatic when it “inspires the follower with challenge and persuasion, providing a meaning and understanding” (Bass 1996, p. 5). Robert House (1977) developed a theory of charismatic leadership based on the premise that charisma has a distinct effect on followers. Charismatic leaders tend to be self-confident and achievement-motivated; they also desire to assert influence, and they possess strong convictions. These types of leaders advocate change and are able to mass followers in support of their own vision. Other theories centering on charisma focus on attributes (Conger and Kanungo 1987), self-concept (Shamir et al. 1993), and social contagion (Meindl 1990).
One of the latest new-genre approaches to leadership is the framework proposed in authentic leadership theory (Gardner et al. 2005; Avolio and Gardner 2005; Avolio, Gardner, Walumbwa, et al. 2004). This theory holds that high levels of leader self-awareness, self-regulation, and transparency, among other things, will increase the leader’s positive effects on their followers. Another current approach to understanding leadership evaluates the unique characteristics of leaders in life and death situations or in extremis leaders. These leaders demonstrate inherent motivation, continuous learning, shared risk, common lifestyle with their followers, competency, trust, and loyalty (Kolditz 2007).
A 2004 meta-analysis by Avolio and colleagues compared studies in which the researcher manipulated new-genre leadership with studies that manipulated traditional theories (e.g. behavioral, trait, or contingency theories) (Avolio, Reichard, Hannah, et al. 2004). Results showed that new-genre approaches to leadership had appreciably larger effects than those based on traditional leadership theories for both affective and cognitive dependent variables, while traditional theories had a slightly larger effect on more proximal behavioral outcomes. These findings appear consistent with the core focus of these theories. New-genre theories, such as transformational leadership, are believed to have strong affective and cognitive components, and they are thus positively linked to such dependent variables as liking, trust, or intellectual engagement. Conversely, research on contingency and other more transactional leadership approaches has focused more on short-term behavioral change.
Studies suggest that researchers will continue to examine leadership in search of both an understanding of the thoughts and actions of leaders and improvements to organizational performance and motivation.
SEE ALSO Behaviorism; Conformity; Hierarchy; Organizations; Personality, Cult of; Political Science; Pygmalion Effects; Self-Fulfilling Prophecies
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Dennis P. O’Neil