Leadership and Management?A Personal Perspective Last week, you began exploring the similarities and differences of leadership and management roles and the contribu

1 Introduction

Leadership is a highly sought-after and highly valued commodity. In the 1 5 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 ad,·ice on how to be a leader. Many people belie,·e 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 researche rs worldwide. A review ofthe scholarly studies on leadership shows that there is a wide variety of different theoretical approaches to explain the complexities of the leader­ ship process (e.g., Bass, 1990; Bryman, 1992; Bl)'Tllan, Collinson, Grint, Jack­ son & Uhl-Bien, 201 I ; Day & Antonakis, 2012; Gardner, 1990; Hickman. 2009; Mumford, 2006; Rost, 1991 ). Some researchers conceptualize leader­ ship as a trait or as a behavior, whereas others view leadership from an infor­ mation-processing perspective or relational standpoinl Leadership has been studied using both qualitative and quantitative methods in many contexts, including small groups, therapeutic groups, and large organizations. Collec­ ti,·ely, the research findings on leadership from all of these areas provide a picture ofa process that is far more sophisticated and complex than the often­ simplistic 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

I Cl) 1.1 FmPrninn Pr;>rtirP< I 'GEt 1 ? I ,:~;art~r<hin in Nurdnn

2 LEADERSHIP I TH EO RY AND PRACTICE

description 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 o ut 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 coopera­ tion" (Moore, 1927, p. 124}.

I lil1.1 Development of 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 is also identi­ fied as the interaction of an individual's specific personality traits with those of a group. noting that while the attitudes and activities of the many are 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 is distinguished from "drivership" or leadership by coercion (Copeland, 1942).

1950s

Three themes dominate<! leadership definitions during this decade: • contin uance of group the ory, which framed leadership as

what leaders do in groups; • leadership as a r e lationship that develops sha red goals,

which defined leadership base<! on behavior of the leader; and • effectivene ss, in which leadership is 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 organiza­ tions to accomplish group or organizational goals" (Rost. 1991 , p. 59). Bums's ( 1978) definition, however, is the most important concept of leadership to emerge:" Leadership is the reciprocal process 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 indepen­ dently or mutually held by both leaders and followers" (p. 425).

(Continued)

I e 1.3 Perspectives of Leadership I ~ 1.4 Followership

4 LEA DERSHIP I THEORY A ND PRACTICE

(Continued)

1980s

This decade exploded with scholarly and popular works on the nawre 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 predomi­ nantly deliver the message that leadership is getting followers to do what the leader wants done.

• Influence. Probably the most oft.en used word in leadership defi­ nitions of the 1980s, influence is examined from every angle. In an effort to distinguish leadership from management, however, schol­ ars insist that leadership is noncoerdve influence.

• Traits. Spurred by the national bestseller In Search of Excellence (Peters & Waterman, 1982), the leadership-as-excellence move­ ment brought leader traits back to the spotlight. As a result, many people's understanding of leadership is based on a trait orientation.

• Transformation. Bums ( 1978) is credited for initiating a move­ ment 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

After decades of dissonance, leadership scholars agree on one thing: They can't come up with a common definition for leadership. Debate continues as to wh~ther leadership and management are separate pro­ cesses, while others emphasize the trait, skill, or relational aspects of leadership. Because of such factors as growing global influences and generational differences, leadership will continue to have different mean­ ings 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 fro m Leadership for the Twenty-First Century, by J. C. Rost, 1991 , New Yo rk: Praeger.

Wa ys o f Concept ua lizing Le adership

fn the past 60 years, as many as 65 different classification systems have been developed to defi ne the dimensions of leadersh ip (Fleishman eta!., 1991). One such classification system, direct1y related to our discussion, is

I @ 1.1 Leadership and Power Ie 1.5 Leadership in Organizations

Chapter 1 I Introduction 5

the scheme proposed by Bass (1990, pp. ll-20). He suggested that some definitions ,-iew leadership as the focus ofgroup processes. From this per­ specti,·e, 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 indi,iduals pos­ sess. 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.

l n 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 'iew leader­ ship as a transfom1ational 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 (knowl­ edge and skills) that make effective leadership possible.

Definition and Components

Despite the multitude of ways in which leadership has been conceptu­ alized, the following components can be identified as central to the phe­ nomenon: (a) Leadership is a process, (b) leadership involves influence, (c ) leadership occurs in groups, and (d) leadership im·olves common goals. Based on these components, the following definition ofleadership 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 character­ istic 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 e·ent, but rather an interactive event. When leadership is defined in this manner, it becomes a·ailable to e·eryone. It is not restricted to the formally designated leader in a group.

Leadership i1wolves 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 im·oh·es influencing a group of indiiduals who have

I – 1.2 Role of leadership I '~ 1.2 Working Across Generations

6 LEADERSHIP J THEORY AND PRACTICE

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 tra ining 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 ener­ gies 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 follow­ ers in ways that are forced or unethical. It also increases the possibility that leaders and followers wiJI work together tm ..-ard a common good (Rost, 1991).

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 leader­ ship process. Leaders need followers, and followers need leaders (Burns, 1978; HeUer & 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 bur­ den 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 ofleadership sometimes are viewed as elitist because of the implied power and importance often ascribed to leaders in the leader-follower relationship. Leaders are not above or better than follow­ ers. Leaders and followers must be understood in relation to each other (Hollander, 1992) and collectively (Bums, 1978 ). They are in the leader­ ship relationship together-and are two sides of the same coin (Rost, 1991) .

LEADERSHIP DESCRIBED

In addition to definitional issues, it is also 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

Chapter 1 !Introduction 7

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 sug­ gests that certain individuals have special innate or inborn characteristics or qualities that make them leaders, and that it is these qualities that dif­ ferentiate 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.

To describe leadership as a trait is quite different from describing it as a process (Figure I. I ). The trait viewpoint conceptualizes leadership as a property or set of properties possessed in varying degrees by different people Oago, 1982). This suggests that it resides in select people and restricts lead­ ership to those who are believed to have special, usually inborn, talents.

Figure 1.1 The Different Views of Leadership

TRAIT ' PROCESS DEFINITION OF LEADERSHIP DEFINITION OF LEADERSH IP

Leader Leader

Height Leadership Intelligence ~ Extraversion

[

I

L-··~h;p I Au ency

~~~~rTT- Followers Fo llowers

SOURCE:Adapted from A f orce for Change: How Leadership Differs From Management (pp. 3–a), by J. P. Kotter, 1990, New York: Free Press.

8 LEADERSHIP I THEORY AND PRACTICE

The process viewpoint suggests that leadership is a phenomenon that resides in the context of the interactions between leaders and followers and makes leadership a,·ailable 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 organi­ zation, whereas others are leaders because of the way other group mem­ bers 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 lead­ ers, plant managers, deparhnent 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 percei,·e an individual as the most influential member of a group or an organization, regardless of the indi­ '~dual's title, the person is e.xhibiting emergent leadership. The individual acquires emergent leadership through other people in the organization who support and accept that indi,idual's beha,ior. ' Inis t}pe of leadership is not assigned by position; rather, it emerges over a period through communication. Some of the positi,·e communication beba,iors tl1at account for successful leader emergence include being verball)' involved, being informed, seeking oth­ ers' opinions, initiating new ideas, and being finn but not rigid (Fisher, 1974).

In addition to communication behaviors, resea rche rs 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 percei,·ed to be emergent leaders.

Leadership emergence may also be affected by gender-biased percep­ tions. In a study of 4() mi.xed-se.x college groups,Vatson and Hoffman (2004)

I e 1.3 Effective Leadership

Chapter 1 I introduction 9

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 \·ere 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 comparablr 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 pr01ded 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 de,·elop o·er time, a group prototype also de,-eJops. Indi­ viduals 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 tl1e group.

The leadership approaches we discuss in the subsequent chapters of tl1is book apply equally to assigned leadership and emergent leadership. When a person is engaged in leadership, that person is a leader, \'hellier leader­ ship 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 ilie capacity or potential to influence. People have power when they have the ability to affect otl1ers' beliefs, attitudes, and courses of action. Ministers, doctors, coaches, and teachers are all examples of people who have the potential to influence us. When iliey do, they are using their power, the resource they draw on to effect change in us.

The most widely cited research on power is French and Raven's (1959} work on the bases of social power. In their work, ther 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 (Table l.l ). Each of these bases of power increases a leader's capacity to influence the attitudes, values, or beha·iors of oiliers.

I – 1.3 Nursing Roles in Heathcare I0 1.1 Power and Leadership

10 LEADERSHIP I THEORY AND PRACTICE

Table 1.1 Five Bases of Power

Referent Power Based on followers' identification and liking for the leader. A teacher who is adored by swdents has refer·ent 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.

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.

In organizations, there are two major kinds of powe r: position power and personal power. Position power is the power a person derives from a partic ular office o r ra nk in a fo rmal organizational syste m . It is the influ­ ence capacity a leader d erives from having higher status than the followers have. Vice presidents and d epartment heads ha'e mo re power than staff person nel d o because of the positions they hold in the o rganization . Posi­ tion power includes legitimate, reward, and coercive power (Table 1. 2).

Personal power is the influence capacity a leader derives from being seen by followers as likable and knowle dgeable . When leade rs act in ways that a re impo rtant to fo llowers, it gives leaders power. For example, some managers have power because their subordinates consider them to be good role m odels. O thers have power because their subordinates view them as highly competent or considerate . In both cases, these managers' power is ascribed to them by others, based o n how they are seen in their relatio nships with o thers. Personal power includes referent and expert power (see Table 1.2).

In disc ussions of leadersh ip, 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

I*1.4 Ba.ses of Power

Chapter 1 !Introduction 11

Table 1.2 Types and Bases of Power

Position Power Personal Power

Legitimate

Reward

Coercive

Referent

Expert

SOURCE:Adapt~ from A Force (or Change: How Leadership Differs From Management (pp. 3-8), by J. P. Kotter, 1990, New York Free Press.

their own ends. Contrary to this view of power, Bums ( 1978) emphasized power from a relationship standpoint. For Bums, power is not an entity that leaders use over others to achieve their own ends; instead, power occurs in re lationships. It should be used by leaders and followers to pro­ mote 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 ofthe 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 en vironment. Coercion often involves the use of threats, punishment, and negative reward sched­ ules. C lassic examples of coercive leaders are Adolf Hitler in Germany, the Taliban leaders in Afghanistan, Jim Jones in Guyana, and 1 orth 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 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 ofsubordinates. Using coercion runs counter to working with follow­ ers to achieve a common goal.

I e 1.4 leadership and Coercion I 0 1.2 leadership Defined

12 LEADERSHIP I THEORY AND PRACTICE

Leadership and Management

Leadership is a process that is similar to management in many ways. Leadership involves infl uence, as does management. Leadership entails working with people, which management entails as well. Leadership is con­ cerned with effective goal accomplishment, and so is management. In gen­ eral, 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 a round the tum 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, o rganiz­ ing, staffing, and controll ing. These functions are still representative of the field of management today.

In a book that compared the functions of management with the func­ tions of leadership, Kotter ( 1990) argued that the functions of the two are quite dissimilar (Figure 1.2). The overriding function of management is to

Figure 1.2 Functions of Management and leadership

Management Produces Order and Consistency

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

Leadership Produces Change and Movement

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 subordinates • Satisfy unmet needs

SOURCE: Adapted from A Force for Otange: How Leadership Differs From Management (pp. 3–8), by J. P. Kotter, 1990, New Yorlc Free Press.

Chapter 1 !Introduction 13

prm·ide order and consistency to organizations, whereas the primary func­ tion 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 stifl ing and bureaucratic. Conversely, if an organization has strong leadership without management, the outcome can be meaningless or mis­ directed change for change's sake. To be effective, organizations need to nourish both competent management and skilled leadership.

Many scholars, in addition to Kotter ( 1990), argue that leadership and management are distinct constructs. For example, Bennis and ianus (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, "~anagers are people who do things right and leaders are people who do the right thing" (p. 221 ).

Rost (199 1) has also been a proponent of distinguishing between leader­ ship and management. He contended that leadership is a multidirectional influence relationship and management is a unidirectional authority rela­ tionship. 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).

Approaching the issue from a narrower viewpoint, Zaleznik ( 1977) went so far as to argue that leaders and managers themselves are d1stinct, and that they are basically different types of people. He contended that manag­ ers are reactive and prefer to work 'vith people to solve problems but do so with low emotional involvement. They act to limjt choices. Zaleznik sug­ gested 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.

14 LEADERSHIP J THEORY AND PRACTICE

Although there are clear differences between management and l

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