Appendix B
Understanding
Leadership as a
Theory
“Opinion is that exercise of the human will
which helps us to make a decision without
information.”
John Erskine, The Complete Life
Learning Objectives
• Describe why the study of theory is important in
the study of leadership in health organizations.
• Define and distinguish the basic elements and
relationships of a theory.
• Demonstrate the utility of theory in the study of
leadership, leadership principles, or leadership
applications.
• Describe and compare two or more conceptual
models and how the models relate to theory and
support the discussion of leadership.
Learning Objectives, cont.
• Design a simple model of leadership principles or
applications (from constructs and concepts in this
chapter or other literature) and summarize the
relationships between the model’s theoretical
elements and the application of leadership
principles.
• Justify and defend constructs in a simple model of
leadership.
Why Study Theory?
• Understand how leadership theories are built.
• Understand the elements of theories and
models.
• Understand the leadership research and
applications.
What Is a Theory?
• An advanced form of an idea or an opinion
that has some base in the empirical world.
• Must be capable of support by qualitative
measures or quantitative data.
Understanding Leadership as a Theory
• “A particular feature of [social] science is that
it is continually evolving as a result of the
scientific method which calls for a constant
testing of ideas and observations of scientific
facts, theories, and models.”
– http://aether.lbl.gov/www/classes/p10/theory.html.
Retrieved May 4, 2009.
History of Theories
• Theories begin as models, developed by empirical
thinking.
– Qualitative information and analysis such as
observation and literature review (known as theorybuilding methods) start this empirical process.
– Quantitative analysis (known as theory-testing
methodology) tests models as hypotheses to determine
if the model represents the world better than what was
known before.
– This empirical hypotheses testing can be done as
qualitative research alone in certain cases but also in
combination with quantitative methods (called
triangulation).
Theory as a Conceptual Model
• A conceptual model is a "conceptual
description" of something abstract.
Overview of Theory
• A theory can be deconstructed into constructs,
variables, and measures.
Differentiating Between
Theories and Models
• A theory has undergone scientific and practical
scrutiny, albeit at various levels of intensity, to
determine its value, truth, and validity.
• A model is a simplified abstraction of reality.
– A model has not yet met a level of academic and
practical scrutiny for scientific validation so its value
is yet to be determined.
• Both theories and models require ecological
validity, that is to represent reality well (how
things actually work).
Theories, Models, Constructs,
Variables, and Measurements
• Many leadership theories include interpersonal
relationships as a category within their theories.
Within the category of interpersonal relationships
one of the constructs is communication.
– As a construct, communication is broad and has many
possible variables that can be measured. As an example,
conflict management style may be a variable within the
construct of communication.
– Conflict management style, as a variable, can be measured
using a survey to determine the leader’s dominant style
from the six conflict management styles.
Constructs
• The building blocks of theory are constructs.
– By definition, a construct is a latent variable that
lacks empiricism (taste, touch, see, smell, hear);
elements that are empirical have tangible, physical
properties.
– Any physical element or property that can be
described though at least one of the five senses
does not technically qualify as a construct.
Constructs, cont.
• A construct is an organizing device that captures a
topic, subject area, or smaller/specific
theory/model within a larger theory or model.
– Communication and quality are examples.
• Constructs organize and combine multiple
variables that are closely linked into one grouping
or subheading.
– Constructs are basic building blocks for grouping
variables within a theory or model.
Variables
• The empirical property used to describe
constructs is variables.
• A variable is “a property associated with a
concept that varies when measured.”
– http://www.usca.edu/polisci/apls301/concepts.htm. Retrieved May 6,
2009.
Variables, cont.
• Variables are empirical units that are capable
of identification through one of the five senses.
A variable is an element that has precise
meaning in the physical world.
– Weight and age are examples.
• Something that can be measured and the
measurement can vary or change is the essence
of a variable.
Constants
• Constants are those concepts that do not vary.
Operationalization
• Each variable has an operational definition and
an operational process for measurement.
• An operational definition is the exact
description of the conceptual property, the
variable, under empirical study.
Measures
• Derived from variables are operationalized
measures.
• Measures are operationalized descriptions of
variables that must be capable of numerical
identification.
• Operationalizing is the process of quantifying
a variable using appropriate, numerical,
descriptive terms.
Measures, cont.
• Measures must be universally understood and
classically categorized as:
– Continuous: 1 to n with n equal to infinity
– Dichotomous or binary: yes or no; on or off, etc.
– Categorical: such as Caucasian, African American,
Latino, etc.
Measures, cont.
• Measurement is vital to empirical assessment
and evaluation.
• Measurement must be both reliable and valid.
– Reliability is the “consistency of an
operationalized measure.”
• This applies to both the measurement apparatus or
method and the person or machine doing the measuring.
– Validity deals with measuring what is intended to
be measured.
Measures, cont.
• An unreliable measure is also invalid while an
invalid measure can still be reliable; you can
measure the wrong thing correctly with
repetitive and consistent results.
Leadership Models
Theories
Accepted Theories
• The previously accepted theory gives an
acceptable explanation of something so the
new theory must give the same results.
• New theory explains something that the
previously accepted theory either got wrong or,
more commonly, did not apply.
• The new theory makes a prediction that is later
verified.
Leadership Models
Theories
Accepted Theories, cont.
• The new theory is elegant, has aesthetic quality, is
simple, powerful, and includes universal
symmetries that are simple, easy-to-remember or
apply, and/or are expressed as some symmetry of
nature, and/or are powerful enough to be used in
many applications.
• The new theory provides a deeper insight or link to
another branch of knowledge.
− http://aether.lbl.gov/www/classes/p10/theory.html.
Retrieved May 4, 2009.
A Conceptual Model of a Leadership
Theory on Motivation
• This theory can be divided into constructs,
concepts, and variables; try to list or draw out
the elements of this theory (next slide has more
information).
Goal-Setting Theory
• Goal-setting theory was first introduced by
Edwin A. Locke in 1968 where he published
the classic "Toward a Theory of Task
Motivation and Incentives" in Organizational
Behavior and Human Performance.
Goal-Setting Theory, cont.
• Seven steps to using the goal-setting theory:
1.
2.
3.
4.
5.
6.
7.
Specify objectives or tasks to be done.
Specify how performance will be measured.
Specify the standard to be reached.
Specify the time frame involved.
Prioritize goals.
Rate goals as to difficulty and importance.
Determine the coordination requirements.
Goal-Setting Theory, cont.
• Goal-setting theory integrates with other
motivational theories as well. Although goal
setting is a principle attribute of many
motivational and performance theories, recent
research focuses on locus of control theory
influences and expectancy theory relationships.
• To illustrate the connection of goal-setting theory
to expectancy theory, see the next slide as a
summary.
• Can you see how the constructs relate?
Expectancy Theory
• Expectancy theory integrates with goal-setting
theory in that goal setting is negatively related
to valence (setting low goals did not satisfy
individuals as well as high-level goals) and
instrumentality is positively related to goal
setting (difficult goals give the individual a
greater sense of achievement, self-efficacy, and
skill improvement than easy goals).
Expectancy Theory, cont.
• Expectancy theory introduced by Victor
Vroom in 1964 combines motivation and
leadership/management. Subordinate behavior
and action are results of conscious choices
among alternatives.
Motivation
• Motivation = Valence X
Expectancy (Instrumentality)
– This theory is connected to social exchange theory
and the transactional leadership model.
– Expectancy is the subordinate’s expectations,
confidence, knowledge, skills, and abilities to
perform a task or action.
– Leaders should remove barriers and enhance
resources appropriately.
Motivation, cont.
• Motivation = Valence X
Expectancy (Instrumentality) (cont.)
― Valence concerns the affective/emotional orientations
subordinates have regarding rewards based on
outcomes.
― The amount to which the subordinate has extrinsic
(see Herzberg’s two-factor theory; extrinsic
motivation refers to money, promotion, time off, etc.)
or intrinsic motivation (satisfaction, self-esteem, selfefficacy, etc.) wants or needs.
― Leaders must understand what motivates, through
reward, the subordinate.
Motivation, cont.
• Motivation = Valence X
Expectancy (Instrumentality) (cont.)
― Instrumentality is the perception by the
subordinate as to receiving the reward for the task
or action performed and the resulting outcome.
― Leaders should fulfill promises of reward for
performance outcomes.
Understanding Leadership as a Theory
• How do goal-setting, expectancy, and planned
behavior theories relate?
• Do any constructs contradict each other?
• Can you synthesize these three theories into a
useful whole?
Discussion Questions
• Why is the study of theory important in the study
of leadership in health organizations?
• What examples can you use in health or
leadership to define and distinguish the basic
elements and relationships of a theory that can
be applied?
• How would you apply goal-setting theory
constructs and variables in an organizational
setting; apply operational variables to your
answer? How about expectancy theory?
Discussion Questions, cont.
• Distinguish conceptual models from theory.
• How could you design a simple model of
leadership principles or applications; summarize
the relationships between the model’s theoretical
elements and the application of leadership
principles.
• Critique social science’s use of theory within the
context of leadership as a discipline.
Exercises
• Review goal-setting theory and expectancy theory
in this chapter and list the theories, constructs,
and variables of those two theories.
• Summarize the social science hierarchy of a
theory or model and explain this hierarchy in
terms of hypothesis testing.
• Modify, using the health industry as a context,
goal-setting theory by incorporating an additional
construct with at least two variables, operationally
define the variables, and show how you would
measure the variables including type of number
taxonomy.
Exercises, cont.
• Break down, diagram, and label your modified
goal-setting model and write a paragraph
explaining how your model differentiates from
the original theory by Locke and Latham.
Exercises, cont.
• Select two of the articles listed below, or those
provided by your instructor, and categorize each
construct and variable studied and/or discussed,
then reorganize the constructs and variables into
one model and operationally define each variable
and how it is to be measured.
– Calhoun, J. G.; Dollett, L.; Sinioris, M E.; et al. (2008
Nov/Dec). Development of an interprofessional competency
model for healthcare leadership. Journal of Healthcare
Management, 53(6), pgs. 375–389.
(cont.)
Exercises, cont.
• Select two of the articles listed below (cont.):
– Church, A. H., & Waclawski, J. (1998). The relationship
between individual personality orientation and executive
leadership behavior. Journal of Occupational &
Organizational Psychology, 71(2), pg. 99–125.
– Chambers, H. (1999). The agencies of leadership. Executive
Excellence, 16(8), p. 12.
– Dering, N. (1998). Leadership in quality organizations.
Journal of Quality and Participation, 21(1), pgs. 32–35.
– Kent, T.; Johnson, J. A.; & Graber, D. A. (1996). Leadership
in the formation of new health care environments. Health
Care Supervisor, 15(2), pgs. 27–34.
Exercises, cont.
• Appraise, conclude, and justify how variables in
your model from item 5 above will vary,
and hypothesize what will cause the variables to
vary or change.
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