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IncorrectQuestion 1 0 / 4 pts The Harvard University National Leadership Index documented that Americans’ con dence in their leaders had declined had increased was unchanged was changing sporadically Question 2 4 / 4 pts Your textbook de nes leadership as the systematic pursuit of goals and purposes by talented individuals the causation of outcomes by preferences the ability to get others to believe and/or behave in accordance with one’s preferences None of the above Question 3 4 / 4 pts The three places where one can nd de nitions and conceptualizations of “leadership” include dictionaries and thesauruses popular (“popular” as in non-academic) books academic research All of the above IncorrectQuestion 4 0 / 4 pts The so-called pop literature on leadership has many sub-genres Nobel Prize-winning authors Both A and B None of the above IncorrectQuestion 5 0 / 4 pts Academic disciplines like the ones we draw and rely on in the lectures for this course mainly teach one how to do something what to do about something what to think about something how to think about something IncorrectQuestion 6 0 / 4 pts The co-editors of Harvard Business School’s Handbook of Leadership Theory and Practice stated that there is a universal model for leadership there is one best way to lead leadership must be contingent on the speci cs of any given situation None of the above IncorrectQuestion 7 0 / 4 pts Bass & Stodgill’s Handbook of Leadership: Theory, Research, and Managerial Applications, published in 1990, and the slightly re-titled The Bass Handbook of Leadership: Theory, Research, & Managerial Applications, published in 2008 are each more than 1,000 pages long each de ne leadership in the glossary Both A and B None of the above Question 8 4 / 4 pts True or False? According to a leading handbook on the subject, there are “almost as many de nitions of leadership as there are persons who study it.” True False Question 9 4 / 4 pts True or False? According to a leading handbook on the subject, there are “221 de nitions of leadership in 587 publications.” True False Question 10 4 / 4 pts With respect to making well-educated guesses about how best to teach, train, and practice “leadership,” the behavioral and social sciences are more like a compass than a GPS system more like a GPS system than a compass irrelevant intellectually None of the above IncorrectQuestion 11 0 / 4 pts We de ne leadership as the authoritative allocation of values in society the use of charisma to induce compliance with norms consciously coordinated activities of two or more persons None of the above Question 12 4 / 4 pts Our concept of leadership is continuous rather than dichotomous bifurcated rather than binary dichotomous rather than continuous None of the above IncorrectQuestion 13 0 / 4 pts If attempted leadership results in others believing and/or behaving fully in accordance with the leader’s preferences, then we say that leadership is wholly successful fully actualized partially successful semi-transformational Question 14 4 / 4 pts We de ne leadership preferences as a leader’s goals a leader’s purposes Both a leader's goals and a leader's purposes None of the above IncorrectQuestion 15 0 / 4 pts We de ne a goal as an image of a desired future state of a airs that can be compared unambiguously to an actual or existing state of a airs a statement about the relationship between two or more variables that is supposed to hold under speci ed conditions Both an image of a desired future state of a airs that can be compared unambiguously to an actual or existing state of a airs and a statement about the relationship between two or more variables that is supposed to hold under speci ed conditions None of the above IncorrectQuestion 16 0 / 4 pts An example of a purpose is Reduce by 50% the number of people living below the o cial government poverty line in a particular place Establish or re-establish foreign embassies in one or more nations with which we presently have no o cial diplomatic relations Both reduce by 50% the number of people living below the o cial government poverty line in a particular place and establish or re-establish foreign embassies in one or more nations with which we presently have no o cial diplomatic relations None of the above Question 17 4 / 4 pts True or False? Some leaders are more self-aware, communicative, and consistent than others regarding their goals or purposes. True False IncorrectQuestion 18 0 / 4 pts One famous and widely-studied example of a purpose-dedicated leader who translated purposes into goals is Max Weber Oliver Williamson Ignatius of Loyola None of the Above Question 19 4 / 4 pts The book Heroic Leadership by Chris Lowney, a former top business executive and management consultant, is about The Miami Dolphins The Jesuits AT&T executives None of the above IncorrectQuestion 20 0 / 4 pts The “why” of leadership relates to biological, physical, and other limitations a drive toward competitiveness the desire to do good in the world optimism about future technologies Question 21 4 / 4 pts “The leader and the boulder” is an illustration of crisis management tactics a story that dramatizes coordination without hierarchy a parable about how leadership is necessitated by individual limitations, transacted by inducements or incentives, and e ected by organizations None of the above Question 22 4 / 4 pts We de ne a leader as any individual who is designated as such by public authorities a specialist in performance management metrics anyone who exercises leadership via an organization None of the above IncorrectQuestion 23 0 / 4 pts We de ne an organization as a system of consciously coordinated activities of two or more persons it is de ned in the glossary of the leading academic research handbooks on the subject Both A and B None of the above IncorrectQuestion 24 0 / 4 pts Conceptually, a system of consciously coordinated activities is an organization only when it is well-organized only when it takes the form that we typically have in mind when in everyday conversations we use the term “organization” Only when it is both well-organized and takes the form that we typically have in mind when in everyday conversations we use the term “organization” None of the above Question 25 4 / 4 pts By our de nition, examples of organization would include extended family members planning a family reunion that is being orchestrated primarily by one or more relatives a neighborhood mom and pop co ee shop that is owned and operated by old friends who have no formal contract among them except “a handshake” a national franchise co ee shop that operates hundreds of look-alike stores via a hierarchical corporate structure All of the above IncorrectQuestion 26 0 / 4 pts The least obvious but most fundamental di erences among and between organizations of all types concern whether they are for-pro t or not-for-pro t whether they are large or small how they consciously coordinate their members’ activities when they were established or incorporated Question 27 4 / 4 pts Like leadership, organization is best conceived as an end-to-end continuum a dichotomous variable incapable of being de ned by experts a subject amenable to scienti c analysis Question 28 4 / 4 pts Examples of “virtually spontaneous” coordination might include impromptu social gatherings informal structures in multi-organizational settings Both impromptu social gatherings and informal structures in multi-organizational settings None of the above IncorrectQuestion 29 0 / 4 pts The term “ideal type” refers to the perfect or optimal form of an organization a description of any historical or empirical phenomenon in its purest, paradigmatic form an image of a desired future state of a airs that can be compared unambiguously to an actual or existing state of a airs a relationship between valued inputs and desired outputs IncorrectQuestion 30 0 / 4 pts An organization in which leaders are perceived to possess rare, even magical or supernatural, personal qualities that uniquely and deeply inspire people to believe and behave in accordance with the leaders’ preferences is a Traditional organization Rational-legal organization Bureaucratic organization None of the above Question 31 4 / 4 pts Among the de ning characteristics of bureaucracy are merit and tenure specialization and hierarchy rationalization and rule-boundedness All of the above IncorrectQuestion 32 0 / 4 pts Weber believed that bureaucracy was almost invariably superior to other modes of organization was almost always inferior to other modes of organization was being rapidly supplanted by other modes of organization None of the above Question 33 4 / 4 pts For the most part, the information age and the ongoing digital revolution have been associated with the bureaucratization of many old organizations the dawn of many new organizations that are not distinctively bureaucratic a revival of charismatic organizations None of the above Question 34 4 / 4 pts We de ne an executive as a leader responsible for coordinating activities and personnel within an organization a leader responsible for maintaining or enhancing an organization or organizational subunit, including by means of external relations an organization member who routinely performs critical tasks that are neither executive nor managerial in character None of the above IncorrectQuestion 35 0 / 4 pts We de ne a purpose as whatever a formal organization states in its o cial mission statement whatever an individual declares to be a motivating vision the opposite of a goal None of the above Preface This seventh edition of Leadership: Theory and Practice is written with the objective of bridging the gap between the often-simplistic popular approaches to leadership and the more abstract theoretical approaches. Like the previous editions, this edition reviews and analyzes a selected number of leadership theories, giving special attention to how each theoretical approach can be applied in real-world organizations. In essence, my purpose is to explore how leadership theory can inform and direct the way leadership is practiced. NEW TO THIS EDITION New to this volume is a chapter on adaptive leadership, which examines the nature of adaptive leadership, its underpinnings, and how it works. The chapter presents a definition, a model, and the latest research and applications of this emerging approach to leadership. In addition, the strengths and weaknesses of the adaptive leadership approach are examined, and a questionnaire to help readers assess their own levels of adaptive leadership is provided. Three case studies illustrating adaptive leadership are presented at the end of the chapter. This volume also presents an entirely new chapter on psychodynamic leadership written by a leading expert in the field, Manfred F. R. Kets De Vries, and Alicia Cheak. Like the other chapters, this chapter provides a theoretical explanation of psychodynamic leadership, applications, cases studies, and an assessment instrument. This edition also includes an expanded discussion of the dark side of leadership and psuedotransformational leadership and the negative uses and abuses of leadership. New research has been added throughout the book as xvii XVIII LEADERSHIP THEORY AND PRACTICE well as many new case studies and examples that help students apply leadership concepts to contemporary settings. This edition retains many special features from previous editions but has been updated to include new research findings, figures and tables, and everyday applications for many leadership topics including leader–member exchange theory, transformational and authentic leadership, team leadership, the labyrinth of women’s leadership, and historical definitions of leadership. The format of this edition parallels the format used in earlier editions. As with previous editions, the overall goal of Leadership: Theory and Practice is to advance our understanding of the many different approaches to leadership and ways to practice it more effectively. SPECIAL FEATURES Although this text presents and analyzes a wide range of leadership research, every attempt has been made to present the material in a clear, concise, and interesting manner. Reviewers of the book have consistently commented that clarity is one of its major strengths. In addition to the writing style, several other features of the book help make it user-friendly. • Each chapter follows the same format: It is structured to include first theory and then practice. • Every chapter contains a discussion of the strengths and criticisms of the approach under consideration, and assists the reader in determining the relative merits of each approach. • Each chapter includes an application section that discusses the practical aspects of the approach and how it could be used in today’s organizational settings. • Three case studies are provided in each chapter to illustrate common leadership issues and dilemmas. Thought-provoking questions follow each case study, helping readers to interpret the case. • A questionnaire is provided in each of the chapters to help the reader apply the approach to his or her own leadership style or setting. • Figures and tables illustrate the content of the theory and make the ideas more meaningful. Through these special features, every effort has been made to make this text substantive, understandable, and practical. Preface xix AUDIENCE This book provides both an in-depth presentation of leadership theory and a discussion of how it applies to real-life situations. Thus, it is intended for undergraduate and graduate classes in management, leadership studies, business, educational leadership, public administration, nursing and allied health, social work, criminal justice, industrial and organizational psychology, communication, religion, agricultural education, political and military science, and training and development. It is particularly well suited as a supplementary text for core organizational behavior courses or as an overview text within MBA curricula. This book would also be useful as a text in student activities, continuing education, in-service training, and other leadership-development programs. Instructor Teaching Site SAGE edge for Instructors, a password-protected instructor resource site, supports teaching by making it easy to integrate quality content and create a rich learning environment for students. The test banks, which have been expanded for this edition, include multiple-choice and true/false questions to test comprehension, as well as essay questions that ask students to apply the material. An electronic test bank, compatible with PCs and Macs through Diploma software, is also available. Chapter-specific resources include PowerPoint slides, study and discussion questions, suggested exercises, full-text journal articles, and video and audio links. General resources include course-long projects, sample syllabi, film resources, and case notes. Printable PDF versions of the questionnaires from the text are included for instructors to print and distribute for classroom use. A course cartridge includes assets found on the Instructor Teaching Site and the Student Study Site, as well as a bonus quiz for each chapter in the book—all in an easy-toupload package. Go to to access the companion site. Student Study Site SAGE edge for Students provides a personalized approach to help students accomplish their coursework goals in an easy-to-use learning environment. Mobile-friendly eFlashcards and practice quizzes strengthen understanding of key terms and concepts and allow for independent assessment by students of their mastery of course material. A customized online action plan includes XX LEADERSHIP THEORY AND PRACTICE tips and feedback on progress through the course and materials, which allows students to individualize their learning experience. Learning objectives, multimedia links, discussion questions, and SAGE journal articles help students study and reinforce the most important material. Students can go to to access the site. Media Icons Icons appearing at the bottom of the page will direct you to online media such as videos, audio links, journal articles, and reference articles that correspond with key chapter concepts. Visit the Student Study Site at edge. to access this media. ICONS Northouse on Leadership SAGE Journal Article Audio Reference Article Video Acknowledgments Many people directly or indirectly contributed to the development of the seventh edition of Leadership: Theory and Practice. First, I would like to acknowledge my editor, Maggie Stanley, and her talented team at SAGE Publications (Nicole, Abbie, MaryAnn, Liz, Katie, and Lauren) who have contributed significantly to the quality of this edition and ensured its success. For their very capable work during the production phase, I would like to thank copy editor Melinda Masson, and senior project editor Libby Larson. In her own unique way, each of these people made valuable contributions to the seventh edition. For comprehensive reviews of the seventh edition, I would like to thank the following reviewers: Meera Alagaraja, University of Louisville Mel Albin, Excelsior College Thomas Batsching, Reutlingen University Cheryl Beeler, Angelo State University Mark D. Bowman, Methodist University Dianne Burns, University of Manchester Eric Buschlen, Central Michigan University Steven Bryant, Drury University Daniel Calhoun, Georgia Southern University David Conrad, Augsburg College Joyce Cousins, Royal College of Surgeons in Ireland xxi XXII LEADERSHIP THEORY AND PRACTICE Denise Danna, LSUHSC School of Nursing S. Todd Deal, Georgia Southern University Caroline S. Fulmer, University of Alabama Greig A. Gjerdalen, Capilano University Andrew Gonzales, University of California, Irvine Carl Holschen, Missouri Baptist University Kiran Ismail, St. John’s University Irma Jones, University of Texas at Brownsville Michele D. Kegley, University of Cincinnati, Blue Ash College David Lees, University of Derby David S. McClain, University of Hawaii at Manoa Carol McMillan, New School University Richard Milter, Johns Hopkins University Christopher Neck, Arizona State University–Tempe Keeok Park, University of La Verne Richard Parkman, University of Plymouth Chaminda S. Prelis, University of Dubuque Casey Rae, George Fox University Noel Ronan, Waterford Institute of Technology Louis Rubino, California State University, Northridge Shadia Sachedina, Baruch College (School of Public Affairs) Harriet L. Schwartz, Carlow University Kelli K. Smith, University of Nebraska-Lincoln David Swenson, The College of St. Scholastica Danny L. Talbot, Washington State University Robert L. Taylor, University of Louisville Precious Taylor-Clifton, Cambridge College John Tummons, University of Missouri Acknowledgments xxiii Kristi Tyran, Western Washington University Tamara Von George, Granite State College Natalie Walker, Seminole State College William Welch, Bowie State University David E. Williams, Texas Tech University Tony Wohlers, Cameron University Sharon A. Wulf, Worcester Polytechnic Institute School of Business Alec Zama, Grand View University Xia Zhao, California State University, Dominguez Hills I would like to thank, for their exceptional work on the leadership profile tool and the ancillaries, Isolde Anderson (Hope College), John Baker (Western Kentucky University), Renee Kosiarek (North Central College) and Lisa Burgoon (University of Illinois), and for his feedback in the construction and scoring of the adaptive leadership questionnaire, Paul Yelsma (Western Michigan University). A special acknowledgment goes to Laurel Northouse for her insightful critiques and ongoing support. In addition, I am grateful to Marie Lee, for her exceptional editing and guidance throughout this project. For their reviews of and comments on the adaptive leadership chapter, I am indebted to Sarah Chace (Marian University), Carl Larson (University of Denver), and Chip Bailey (Duke University). Finally, I would like to thank the many undergraduate and graduate students whom I have taught through the years. Their ongoing feedback has helped clarify my thinking about leadership and encouraged me to make plain the practical implications of leadership theories. SAGE was founded in 1965 by Sara Miller McCune to support the dissemination of usable knowledge by publishing innovative and high-quality research and teaching content. Today, we publish more than 750 journals, including those of more than 300 learned societies, more than 800 new books per year, and a growing range of library products including archives, data, case studies, reports, conference highlights, and video. SAGE remains majority-owned by our founder, and after Sara’s lifetime will become owned by a charitable trust that secures our continued independence. Los Angeles | London | Washington DC | New Delhi | Singapore | Boston 1 Introduction L eadership is a highly sought-after and highly valued commodity. In the 15 years since the first edition of this book was published, the public has become increasingly captivated by the idea of leadership. People continue to ask themselves and others what makes good leaders. As individuals, they seek more information on how to become effective leaders. As a result, bookstore shelves are filled with popular books about leaders and advice on how to be a leader. Many people believe that leadership is a way to improve their personal, social, and professional lives. Corporations seek those with leadership ability because they believe they bring special assets to their organizations and, ultimately, improve the bottom line. Academic institutions throughout the country have responded by providing programs in leadership studies. In addition, leadership has gained the attention of researchers worldwide. A review of the scholarly studies on leadership shows that there is a wide variety of different theoretical approaches to explain the complexities of the leadership process (e.g., Bass, 1990; Bryman, 1992; Bryman, Collinson, Grint, Jackson, & Uhl-Bien, 2011; Day & Antonakis, 2012; Gardner, 1990; Hickman, 2009; Mumford, 2006; Rost, 1991). Some researchers conceptualize leadership as a trait or as a behavior, whereas others view leadership from an information-processing perspective or relational standpoint. Leadership has been studied using both qualitative and quantitative methods in many contexts, including small groups, therapeutic groups, and large organizations. Collectively, the research findings on leadership from all of these areas provide a picture of a process that is far more sophisticated and complex than the oftensimplistic view presented in some of the popular books on leadership. This book treats leadership as a complex process having multiple dimensions. Based on the research literature, this text provides an in-depth description Leadership Defined Role of Leadership 2 LEADERSHIP THEORY AND PRACTICE and application of many different approaches to leadership. Our emphasis is on how theory can inform the practice of leadership. In this book, we describe each theory and then explain how the theory can be used in real situations. LEADERSHIP DEFINED _____________________________ There are many ways to finish the sentence “Leadership is . . .” In fact, as Stogdill (1974, p. 7) pointed out in a review of leadership research, there are almost as many different definitions of leadership as there are people who have tried to define it. It is much like the words democracy, love, and peace. Although each of us intuitively knows what we mean by such words, the words can have different meanings for different people. As Box 1.1 shows, scholars and practitioners have attempted to define leadership for more than a century without universal consensus. Box 1.1 The Evolution of Leadership Definitions While many have a gut-level grasp of what leadership is, putting a definition to the term has proved to be a challenging endeavor for scholars and practitioners alike. More than a century has lapsed since leadership became a topic of academic introspection, and definitions have evolved continuously during that period. These definitions have been influenced by many factors from world affairs and politics to the perspectives of the discipline in which the topic is being studied. In a seminal work, Rost (1991) analyzed materials written from 1900 to 1990, finding more than 200 different definitions for leadership. His analysis provides a succinct history of how leadership has been defined through the last century: 1900–1929 Definitions of leadership appearing in the first three decades of the 20th century emphasized control and centralization of power with a common theme of domination. For example, at a conference on leadership in 1927, leadership was defined as “the ability to impress the will of the leader on those led and induce obedience, respect, loyalty, and cooperation” (Moore, 1927, p. 124). Defining Leadership Chapter 1 Introduction 3 1930s Traits became the focus of defining leadership, with an emerging view of leadership as influence rather than domination. Leadership was also identified as the interaction of an individual’s specific personality traits with those of a group; it was noted that while the attitudes and activities of the many may be changed by the one, the many may also influence a leader. 1940s The group approach came into the forefront with leadership being defined as the behavior of an individual while involved in directing group activities (Hemphill, 1949). At the same time, leadership by persuasion was distinguished from “drivership” or leadership by coercion (Copeland, 1942). 1950s Three themes dominated leadership definitions during this decade: • continuance of group theory, which framed leadership as what leaders do in groups; • leadership as a relationship that develops shared goals, which defined leadership based on behavior of the leader; and • effectiveness, in which leadership was defined by the ability to influence overall group effectiveness. 1960s Although a tumultuous time for world affairs, the 1960s saw harmony amongst leadership scholars. The prevailing definition of leadership as behavior that influences people toward shared goals was underscored by Seeman (1960) who described leadership as “acts by persons which influence other persons in a shared direction” (p. 53). 1970s The group focus gave way to the organizational behavior approach, where leadership became viewed as “initiating and maintaining groups or organizations to accomplish group or organizational goals” (Rost, 1991, p. 59). Burns’s (1978) definition, however, was the most important concept of leadership to emerge: “Leadership is the reciprocal process (Continued) Leadership in Nursing 4 LEADERSHIP THEORY AND PRACTICE (Continued) of mobilizing by persons with certain motives and values, various economic, political, and other resources, in a context of competition and conflict, in order to realize goals independently or mutually held by both leaders and followers” (p. 425). 1980s This decade exploded with scholarly and popular works on the nature of leadership, bringing the topic to the apex of the academic and public consciousnesses. As a result, the number of definitions for leadership became a prolific stew with several persevering themes: • Do as the leader wishes. Leadership definitions still predominantly delivered the message that leadership is getting followers to do what the leader wants done. • Influence. Probably the most often used word in leadership definitions of the 1980s, influence was examined from every angle. In an effort to distinguish leadership from management, however, scholars insisted that leadership is noncoercive influence. • Traits. Spurred by the national best seller In Search of Excellence (Peters & Waterman, 1982), the leadership-as-excellence movement brought leader traits back to the spotlight. As a result, many people’s understanding of leadership is based on a trait orientation. • Transformation. Burns (1978) is credited for initiating a movement defining leadership as a transformational process, stating that leadership occurs “when one or more persons engage with others in such a way that leaders and followers raise one another to higher levels of motivation and morality” (p. 83). Into the 21st Century Debate continues as to whether leadership and management are separate processes, but emerging research emphasizes the process of leadership, whereby an individual influences a group of individuals to achieve a common goal, rather than developing new ways of defining leadership. Among these emerging leadership approaches are • authentic leadership, in which the authenticity of leaders and their leadership is emphasized; • spiritual leadership, which focuses on leadership that utilizes values and sense of calling and membership to motivate followers; The Future of Leadership Working Across Generations Chapter 1 Introduction 5 • servant leadership, which puts the leader in the role of servant, who utilizes “caring principles” to focus on followers’ needs to help these followers become more autonomous, knowledgeable, and like servants themselves; and • adaptive leadership, in which leaders encourage followers to adapt by confronting and solving problems, challenges, and changes. After decades of dissonance, leadership scholars agree on one thing: They can’t come up with a common definition for leadership. Because of such factors as growing global influences and generational differences, leadership will continue to have different meanings for different people. The bottom line is that leadership is a complex concept for which a determined definition may long be in flux. SOURCE: Adapted from Leadership for the Twenty-First Century, by J. C. Rost, 1991, New York: Praeger. Ways of Conceptualizing Leadership In the past 60 years, as many as 65 different classification systems have been developed to define the dimensions of leadership (Fleishman et al., 1991). One such classification system, directly related to our discussion, is the scheme proposed by Bass (1990, pp. 11–20). He suggested that some definitions view leadership as the focus of group processes. From this perspective, the leader is at the center of group change and activity and embodies the will of the group. Another set of definitions conceptualizes leadership from a personality perspective, which suggests that leadership is a combination of special traits or characteristics that some individuals possess. These traits enable those individuals to induce others to accomplish tasks. Other approaches to leadership define it as an act or a behavior—the things leaders do to bring about change in a group. In addition, some define leadership in terms of the power relationship that exists between leaders and followers. From this viewpoint, leaders have power that they wield to effect change in others. Others view leadership as a transformational process that moves followers to accomplish more than is usually expected of them. Finally, some scholars address leadership from a skills perspective. This viewpoint stresses the capabilities (knowledge and skills) that make effective leadership possible. Perspectives of Leadership 6 LEADERSHIP THEORY AND PRACTICE Definition and Components Despite the multitude of ways in which leadership has been conceptualized, the following components can be identified as central to the phenomenon: (a) Leadership is a process, (b) leadership involves influence, (c) leadership occurs in groups, and (d) leadership involves common goals. Based on these components, the following definition of leadership is used in this text: Leadership is a process whereby an individual influences a group of individuals to achieve a common goal. Defining leadership as a process means that it is not a trait or characteristic that resides in the leader, but rather a transactional event that occurs between the leader and the followers. Process implies that a leader affects and is affected by followers. It emphasizes that leadership is not a linear, one-way event, but rather an interactive event. When leadership is defined in this manner, it becomes available to everyone. It is not restricted to the formally designated leader in a group. Leadership involves influence. It is concerned with how the leader affects followers. Influence is the sine qua non of leadership. Without influence, leadership does not exist. Leadership occurs in groups. Groups are the context in which leadership takes place. Leadership involves influencing a group of individuals who have a common purpose. This can be a small task group, a community group, or a large group encompassing an entire organization. Leadership is about one individual influencing a group of others to accomplish common goals. Others (a group) are required for leadership to occur. Leadership training programs that teach people to lead themselves are not considered a part of leadership within the definition that is set forth in this discussion. Leadership includes attention to common goals. Leaders direct their energies toward individuals who are trying to achieve something together. By common, we mean that the leaders and followers have a mutual purpose. Attention to common goals gives leadership an ethical overtone because it stresses the need for leaders to work with followers to achieve selected goals. Stressing mutuality lessens the possibility that leaders might act toward followers in ways that are forced or unethical. It also increases the possibility that leaders and followers will work together toward a common good (Rost, 1991). The Ethical Dimension of Leadership Effective Leadership Chapter 1 Introduction 7 Throughout this text, the people who engage in leadership will be called leaders, and those toward whom leadership is directed will be called followers. Both leaders and followers are involved together in the leadership process. Leaders need followers, and followers need leaders (Burns, 1978; Heller & Van Til, 1983; Hollander, 1992; Jago, 1982). Although leaders and followers are closely linked, it is the leader who often initiates the relationship, creates the communication linkages, and carries the burden for maintaining the relationship. In our discussion of leaders and followers, attention will be directed toward follower issues as well as leader issues. Leaders have an ethical responsibility to attend to the needs and concerns of followers. As Burns (1978) pointed out, discussions of leadership sometimes are viewed as elitist because of the implied power and importance often ascribed to leaders in the leaderfollower relationship. Leaders are not above or better than followers. Leaders and followers must be understood in relation to each other (Hollander, 1992) and collectively (Burns, 1978). They are in the leadership relationship together—and are two sides of the same coin (Rost, 1991). LEADERSHIP DESCRIBED ___________________________ In addition to definitional issues, it is important to discuss several other questions pertaining to the nature of leadership. In the following section, we will address questions such as how leadership as a trait differs from leadership as a process; how appointed leadership differs from emergent leadership; and how the concepts of power, coercion, and management differ from leadership. Trait Versus Process Leadership We have all heard statements such as “He is born to be a leader” or “She is a natural leader.” These statements are commonly expressed by people who take a trait perspective toward leadership. The trait perspective suggests that certain individuals have special innate or inborn characteristics or qualities that make them leaders, and that it is these qualities that differentiate them from nonleaders. Some of the personal qualities used to identify leaders include unique physical factors (e.g., height), personality features (e.g., extraversion), and other characteristics (e.g., intelligence and fluency; Bryman, 1992). In Chapter 2, we will discuss a large body of research that has examined these personal qualities. Development of Leadership Followership 8 LEADERSHIP THEORY AND PRACTICE To describe leadership as a trait is quite different from describing it as a process (Figure 1.1). The trait viewpoint conceptualizes leadership as a property or set of properties possessed in varying degrees by different people ( Jago, 1982). This suggests that it resides in select people and restricts leadership to those who are believed to have special, usually inborn, talents. The process viewpoint suggests that leadership is a phenomenon that resides in the context of the interactions between leaders and followers and makes leadership available to everyone. As a process, leadership can be observed in leader behaviors ( Jago, 1982), and can be learned. The process definition of leadership is consistent with the definition of leadership that we have set forth in this chapter. Assigned Versus Emergent Leadership Some people are leaders because of their formal position in an organization, whereas others are leaders because of the way other group members respond to them. These two common forms of leadership are called assigned leadership and emergent leadership. Leadership that is based on occupying a position in an organization is assigned leadership. Team leaders, plant managers, department heads, directors, and administrators are all examples of assigned leadership. Yet the person assigned to a leadership position does not always become the real leader in a particular setting. When others perceive an individual as the most influential member of a group or an organization, regardless of the individual’s title, the person is exhibiting emergent leadership. The individual acquires emergent leadership through other people in the organization who support and accept that individual’s behavior. This type of leadership is not assigned by position; rather, it emerges over a period through communication. Some of the positive communication behaviors that account for successful leader emergence include being verbally involved, being informed, seeking others’ opinions, initiating new ideas, and being firm but not rigid (Fisher, 1974). In addition to communication behaviors, researchers have found that personality plays a role in leadership emergence. For example, Smith and Foti (1998) found that certain personality traits were related to leadership emergence in a sample of 160 male college students. The individuals who were more dominant, more intelligent, and more confident about their own performance (general self-efficacy) were more likely to be identified as leaders by other members of their task group. Although it is uncertain whether these findings apply to women as well, Smith and Foti suggested that these three traits could be used to identify individuals perceived to be emergent leaders. Leadership: Skill or Process? Chapter 1 Introduction 9 Figure 1.1 The Different Views of Leadership TRAIT DEFINITION OF LEADERSHIP PROCESS DEFINITION OF LEADERSHIP Leader  Leadership     Height Intelligence Extraversion Fluency Other Traits Followers Leader Leadership (Interaction) Followers SOURCE: Adapted from A Force for Change: How Leadership Differs From Management (pp. 3–8), by J. P. Kotter, 1990, New York: Free Press. Leadership emergence may also be affected by gender-biased perceptions. In a study of 40 mixed-sex college groups, Watson and Hoffman (2004) found that women who were urged to persuade their task groups to adopt high-quality decisions succeeded with the same frequency as men with identical instructions. Although women were equally influential leaders in their groups, they were rated significantly lower than comparable men were on leadership. Furthermore, these influential women were also rated as significantly less likable than comparably influential men were. These results suggest that there continue to be barriers to women’s emergence as leaders in some settings. A unique perspective on leadership emergence is provided by social identity theory (Hogg, 2001). From this perspective, leadership emergence is the degree to which a person fits with the identity of the group as a whole. As groups develop over time, a group prototype also develops. Individuals emerge as leaders in the group when they become most like the group prototype. Being similar to the prototype makes leaders attractive to the group and gives them influence with the group. The leadership approaches we discuss in the subsequent chapters of this book apply equally to assigned leadership and emergent leadership. When a person is engaged in leadership, that person is a leader, whether leadership Ordinary Leaders 10 LEADERSHIP THEORY AND PRACTICE Table 1.1 Six Bases of Power Referent Power Based on followers’ identification and liking for the leader. A teacher who is adored by students has referent power. Expert Power Based on followers’ perceptions of the leader’s competence. A tour guide who is knowledgeable about a foreign country has expert power. Legitimate Power Associated with having status or formal job authority. A judge who administers sentences in the courtroom exhibits legitimate power. Reward Power Derived from having the capacity to provide rewards to others. A supervisor who gives rewards to employees who work hard is using reward power. Coercive Power Derived from having the capacity to penalize or punish others. A coach who sits players on the bench for being late to practice is using coercive power. Information Derived from possessing knowledge that others want or need. Power A boss who has information regarding new criteria to decide employee promotion eligibility has information power. SOURCE: Adapted from “The Bases of Social Power,” by J. R. French Jr. and B. Raven, 1962, in D. Cartwright (Ed.), Group Dynamics: Research and Theory (pp. 259–269), New York: Harper & Row; and “Social Influence and Power,” by B. H. Raven, 1965, in I. D. Steiner & M. Fishbein (Eds.), Current Studies in Social Psychology (pp. 371–382), New York: Holt, Rinehart, & Winston. was assigned or emerged. This book focuses on the leadership process that occurs when any individual is engaged in influencing other group members in their efforts to reach a common goal. Leadership and Power The concept of power is related to leadership because it is part of the influence process. Power is the capacity or potential to influence. People have power when they have the ability to affect others’ beliefs, attitudes, and courses of action. Judges, doctors, coaches, and teachers are all examples of people who have the potential to influence us. When they do, they are using their power, the resource they draw on to effect change in us. Although there are no explicit theories in the research literature about power and leadership, power is a concept that people often associate with leadership. It is common for people to view leaders (both good and bad) and people in positions of leadership as individuals who wield power over others, and as a result, power is often thought of as synonymous with leadership. In addition, people are often intrigued by how leaders use their power. Studying Power and Leadership Bases of Power Chapter 1 Introduction 11 Table 1.2 Types and Bases of Power Position Power Personal Power Legitimate Reward Coercive Referent Expert Information SOURCE: Adapted from A Force for Change: How Leadership Differs From Management (pp. 3–8), by J. P. Kotter, 1990, New York: Free Press. how famous leaders, such as Hitler or Alexander the Great, use power to effect change in others is titillating to many people because it underscores that power can indeed effectuate change and maybe if they had power they too could effectuate change. But regardless of people’s general interest in power and leadership, power has not been a major variable in theories of leadership. Clearly it is a component in the overall leadership process, but research on its role is limited. In her recent book, The End of Leadership (2012), Kellerman argues there has been a shift in leadership power during the last 40 years. Power used to be the domain of leaders, but that is diminishing and shifting to followers. Changes in culture have meant followers demand more from leaders, and leaders have responded. Access to technology has empowered followers, given them access to huge amounts of information, and made leaders more transparent. The result is a decline in respect of leaders and leaders’ legitimate power. In effect, followers have used information power to level the playing field. Power is no longer synonymous with leadership, and in the social contract between leaders and followers, leaders wield less power, according to Kellerman. In college courses today, the most widely cited research on power is French and Raven’s (1959) work on the bases of social power. In their work, they conceptualized power from the framework of a dyadic relationship that included both the person influencing and the person being influenced. French and Raven identified five common and important bases of power—referent, expert, legitimate, reward, and coercive—and Raven (1965) identified a sixth, information power (Table 1.1). Each of these bases of power increases a leader’s capacity to influence the attitudes, values, or behaviors of others. In organizations, there are two major kinds of power: position power and personal power. Position power is the power a person derives from a particular office or rank in a formal organizational system. It is the influence Types of Power 12 LEADERSHIP THEORY AND PRACTICE capacity a leader derives from having higher status than the followers have. Vice presidents and department heads have more power than staff personnel do because of the positions they hold in the organization. Position power includes legitimate, reward, coercive, and information power (Table 1.2). Personal power is the influence capacity a leader derives from being seen by followers as likable and knowledgeable. When leaders act in ways that are important to followers, it gives leaders power. For example, some managers have power because their followers consider them to be good role models. Others have power because their followers view them as highly competent or considerate. In both cases, these managers’ power is ascribed to them by others, based on how they are seen in their relationships with others. Personal power includes referent and expert power (Table 1.2). In discussions of leadership, it is not unusual for leaders to be described as wielders of power, as individuals who dominate others. In these instances, power is conceptualized as a tool that leaders use to achieve their own ends. Contrary to this view of power, Burns (1978) emphasized power from a relationship standpoint. For Burns, power is not an entity that leaders use over others to achieve their own ends; instead, power occurs in relationships. It should be used by leaders and followers to promote their collective goals. In this text, our discussions of leadership treat power as a relational concern for both leaders and followers. We pay attention to how leaders work with followers to reach common goals. Leadership and Coercion Coercive power is one of the specific kinds of power available to leaders. Coercion involves the use of force to effect change. To coerce means to influence others to do something against their will and may include manipulating penalties and rewards in their work environment. Coercion often involves the use of threats, punishment, and negative reward schedules. Classic examples of coercive leaders are Adolf Hitler in Germany, the Taliban leaders in Afghanistan, Jim Jones in Guyana, and North Korea’s Supreme Leader Kim Jong-il, each of whom has used power and restraint to force followers to engage in extreme behaviors. It is important to distinguish between coercion and leadership because it allows us to separate out from our examples of leadership the behaviors of individuals such as Hitler, the Taliban, and Jones. In our discussions of leadership, coercive people are not used as models of ideal leadership. Our Leadership and Coercion Chapter 1 Introduction 13 definition suggests that leadership is reserved for those who influence a group of individuals toward a common goal. Leaders who use coercion are interested in their own goals and seldom are interested in the wants and needs of followers. Using coercion runs counter to working with followers to achieve a common goal. Leadership and Management Leadership is a process that is similar to management in many ways. Leadership involves influence, as does management. Leadership entails working with people, which management entails as well. Leadership is concerned with effective goal accomplishment, and so is management. In general, many of the functions of management are activities that are consistent with the definition of leadership we set forth at the beginning of this chapter. But leadership is also different from management. Whereas the study of leadership can be traced back to Aristotle, management emerged around the turn of the 20th century with the advent of our industrialized society. Management was created as a way to reduce chaos in organizations, to make them run more effectively and efficiently. The primary functions of management, as first identified by Fayol (1916), were planning, organizing, staffing, and controlling. These functions are still representative of the field of management today. In a book that compared the functions of management with the functions of leadership, Kotter (1990) argued that the functions of the two are quite dissimilar (Figure 1.2). The overriding function of management is to provide order and consistency to organizations, whereas the primary function of leadership is to produce change and movement. Management is about seeking order and stability; leadership is about seeking adaptive and constructive change. As illustrated in Figure 1.2, the major activities of management are played out differently than the activities of leadership. Although they are different in scope, Kotter (1990, pp. 7–8) contended that both management and leadership are essential if an organization is to prosper. For example, if an organization has strong management without leadership, the outcome can be stifling and bureaucratic. Conversely, if an organization has strong leadership without management, the outcome can be meaningless or misdirected change for change’s sake. To be effective, organizations need to nourish both competent management and skilled leadership. Managers Require; Leaders Inspire 14 LEADERSHIP THEORY AND PRACTICE Figure 1.2 Functions of Management and Leadership Management Produces Order and Consistency Leadership Produces Change and Movement Planning and Budgeting • Establish agendas • Set timetables • Allocate resources Organizing and Staffing • Provide structure • Make job placements • Establish rules and procedures Controlling and Problem Solving • Develop incentives • Generate creative solutions • Take corrective action Establishing Direction • Create a vision • Clarify big picture • Set strategies Aligning People • Communicate goals • Seek commitment • Build teams and coalitions Motivating and Inspiring • Inspire and energize • Empower followers • Satisfy unmet needs SOURCE: Adapted from A Force for Change: How Leadership Differs From Management (pp. 3–8), by J. P. Kotter, 1990, New York: Free Press. Many scholars, in addition to Kotter (1990), argue that leadership and management are distinct constructs. For example, Bennis and Nanus (1985) maintained that there is a significant difference between the two. To manage means to accomplish activities and master routines, whereas to lead means to influence others and create visions for change. Bennis and Nanus made the distinction very clear in their frequently quoted sentence, “Managers are people who do things right and leaders are people who do the right thing” (p. 221). Rost (1991) has also been a proponent of distinguishing between leadership and management. He contended that leadership is a multidirectional influence relationship and management is a unidirectional authority relationship. Whereas leadership is concerned with the process of developing mutual purposes, management is directed toward coordinating activities in order to get a job done. Leaders and followers work together to create real change, whereas managers and subordinates join forces to sell goods and services (Rost, 1991, pp. 149–152). In a recent study, Simonet and Tett (2012) explored how leadership and management are best conceptualized by having 43 experts identify the overlap and differences between leadership and management in regard to 63 different competencies. They found a large number of competencies (22) Leadership in the NHS Chapter 1 Introduction 15 descriptive of both leadership and management (e.g., productivity, customer focus, professionalism, and goal setting), but they also found several unique descriptors for each. Specifically, they found leadership was distinguished by motivating intrinsically, creative thinking, strategic planning, tolerance of ambiguity, and being able to read people, and management was distinguished by rule orientation, short-term planning, motivating extrinsically, orderliness, safety concerns, and timeliness. Approaching the issue from a narrower viewpoint, Zaleznik (1977) went so far as to argue that leaders and managers themselves are distinct, and that they are basically different types of people. He contended that managers are reactive and prefer to work with people to solve problems but do so with low emotional involvement. They act to limit choices. Zaleznik suggested that leaders, on the other hand, are emotionally active and involved. They seek to shape ideas instead of responding to them and act to expand the available options to solve long-standing problems. Leaders change the way people think about what is possible. Although there are clear differences between management and leadership, the two constructs overlap. When managers are involved in influencing a group to meet its goals, they are involved in leadership. When leaders are involved in planning, organizing, staffing, and controlling, they are involved in management. Both processes involve influencing a group of individuals toward goal attainment. For purposes of our discussion in this book, we focus on the leadership process. In our examples and case studies, we treat the roles of managers and leaders similarly and do not emphasize the differences between them. PLAN OF THE BOOK _______________________________ This book is user-friendly. It is based on substantive theories but is written to emphasize practice and application. Each chapter in the book follows the same format. The first section of each chapter briefly describes the leadership approach and discusses various research studies applicable to the approach. The second section of each chapter evaluates the approach, highlighting its strengths and criticisms. Special attention is given to how the approach contributes or fails to contribute to an overall understanding of the leadership process. The next section uses case studies to prompt discussion of how the approach can be applied in ongoing organizations. Finally, each chapter provides a leadership questionnaire along with a discussion of how the questionnaire measures the reader’s leadership style. Each chapter ends with a summary and references. Leadership and Nursing Theory 16 LEADERSHIP THEORY AND PRACTICE SUMMARY _______________________________________ Leadership is a topic with universal appeal; in the popular press and academic research literature, much has been written about leadership. Despite the abundance of writing on the topic, leadership has presented a major challenge to practitioners and researchers interested in understanding the nature of leadership. It is a highly valued phenomenon that is very complex. Through the years, leadership has been defined and conceptualized in many ways. The component common to nearly all classifications is that leadership is an influence process that assists groups of individuals toward goal attainment. Specifically, in this book leadership is defined as a process whereby an individual influences a group of individuals to achieve a common goal. Because both leaders and followers are part of the leadership process, it is important to address issues that confront followers as well as issues that confront leaders. Leaders and followers should be understood in relation to each other. In prior research, many studies have focused on leadership as a trait. The trait perspective suggests that certain people in our society have special inborn qualities that make them leaders. This view restricts leadership to those who are believed to have special characteristics. In contrast, the approach in this text suggests that leadership is a process that can be learned, and that it is available to everyone. Two common forms of leadership are assigned and emergent. Assigned leadership is based on a formal title or position in an organization. Emergent leadership results from what one does and how one acquires support from followers. Leadership, as a process, applies to individuals in both assigned roles and emergent roles. Related to leadership is the concept of power, the potential to influence. There are two major kinds of power: position and personal. Position power, which is much like assigned leadership, is the power an individual derives from having a title in a formal organizational system. It includes legitimate, reward, information, and coercive power. Personal power comes from followers and includes referent and expert power. Followers give it to leaders because followers believe leaders have something of value. Treating power as a shared resource is important because it deemphasizes the idea that leaders are power wielders. While coercion has been a common power brought to bear by many individuals in charge, it should not be viewed as ideal leadership. Our definition Chapter 1 Introduction 17 of leadership stresses using influence to bring individuals toward a common goal, while coercion involves the use of threats and punishment to induce change in followers for the sake of the leaders. Coercion runs counter to leadership because it does not treat leadership as a process that emphasizes working with followers to achieve shared objectives. Leadership and management are different concepts that overlap. They are different in that management traditionally focuses on the activities of planning, organizing, staffing, and controlling, whereas leadership emphasizes the general influence process. According to some researchers, management is concerned with creating order and stability, whereas leadership is about adaptation and constructive change. Other researchers go so far as to argue that managers and leaders are different types of people, with managers being more reactive and less emotionally involved and leaders being more proactive and more emotionally involved. The overlap between leadership and management is centered on how both involve influencing a group of individuals in goal attainment. In this book, we discuss leadership as a complex process. Based on the research literature, we describe selected approaches to leadership and assess how they can be used to improve leadership in real situations. Sharpen your skills with SAGE edge at REFERENCES ______________________________________ Bass, B. M. (1990). Bass and Stogdill’s handbook of leadership: A survey of theory and research. New York: Free Press. Bennis, W. G., & Nanus, B. (1985). Leaders: The strategies for taking charge. New York: Harper & Row. Bryman, A. (1992). Charisma and leadership in organizations. London: SAGE. Bryman, A., Collinson, D., Grint, K., Jackson, G., & Uhl-Bien, M. (Eds.). (2011). The SAGE handbook of leadership. London: SAGE. Burns, J. M. (1978). Leadership. New York: Harper & Row. Copeland, N. (1942). Psychology and the soldier. Harrisburg, PA: Military Service Publications. Day, D. V., & Antonakis, J. (Eds.). (2012). The nature of leadership (2nd ed.). Thousand Oaks, CA: SAGE. Fayol, H. (1916). General and industrial management. London: Pitman. Fisher, B. A. (1974). Small group decision making: Communication and the group process. New York: McGraw-Hill. 18 LEADERSHIP THEORY AND PRACTICE Fleishman, E. A., Mumford, M. D., Zaccaro, S. J., Levin, K. Y., Korotkin, A. L., & Hein, M. B. (1991). Taxonomic efforts in the description of leader behavior: A synthesis and functional interpretation. Leadership Quarterly, 2(4), 245–287. French, J. R., Jr., & Raven, B. H. (1959). The bases of social power. In D. Cartwright (Ed.), Studies in social power (pp. 259–269). 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(1927). The May conference on leadership. Personnel Journal, 6, 124–128. Mumford, M. D. (2006). Pathways to outstanding leadership: A comparative analysis of charismatic, ideological, and pragmatic leaders. Mahwah, NJ: Lawrence Erlbaum. Peters, T. J., & Waterman, R. H. (1982). In search of excellence: Lessons from America’s best-run companies. New York: Warner Books. Raven, B. H. (1965). Social influence and power. In I. D. Steiner & M. Fishbein (Eds.), Current studies in social psychology (pp. 371–382). New York: Holt, Rinehart, & Winston. Rost, J. C. (1991). Leadership for the twenty-first century. New York: Praeger. Seeman, M. (1960). Social status and leadership. Columbus: Ohio State University, Bureau of Educational Research. Simonet, D. V., & Tett, R. P. (2012). Five perspectives on the leadership-management relationship: A competency-based evaluation and integration. Journal of Leadership & Organizational Studies, 20(2), 199–213. Smith, J. A., & Foti, R. J. (1998). A pattern approach to the study of leader emergence. Leadership Quarterly, 9(2), 147–160. Stogdill, R. M. (1974). Handbook of leadership: A survey of theory and research. New York: Free Press. Watson, C., & Hoffman, L. R. (2004). The role of task-related behavior in the emergence of leaders. Group & Organization Management, 29(6), 659–685. Zaleznik, A. (1977, May–June). Managers and leaders: Are they different? Harvard Business Review, 55, 67–78.
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