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III contrast to the transactional leadership process that occurs in direct supervisor-subordinate relationships, a transformational leader must have a vision for the entire HSOIHS, and lead followers both inside and outside it if the vision is to be realized.' Often, when people speak of leadership, they mean transformational leadership, When a HSOIHS is perceived as successful because of strong and effective leadership, this means generally that leadership has made good decisions regarding mission, objectives, structure, service mix, quality, and new technologies, not that its leaders (managers) have summoned extra motivation and performance from people, or helped plan their tasks, coordinated their work, or taught them new skills. These latter activities, which characterize transactional leadership, are important, but they are not the only determinants of senior-level managers' success in their transformational leader roles."

Senior managers lead by managing organizational culture." They focus on decisions and activities that affect the entire organization or system, including those that are intended to ensure its survival and overall good health.f They also lead by providing strategic direction and vision to the HSOIHS and ensuring that its mission and objectives are achieved." Effective organization- or

l ' system-level leaders also lead by inculcating certain values; building intra- and interorganizational

\' coalitions; and interpreting and responding to various challenges and opportunities from the exter-

nal environment, which includes taking steps to alter the environmental constraints placed on the /~~HSOIHS.

: -. _J Because of their relationship to the success of leaders in HSOslHSsin both transactional and

transformational leadership roles, the extensive research and theories about leadership and leaders are discussed in this chapter. However, it is necessary to first define leadership precisely and to model it as a process.

Leadership is not domination, but the art 01 persuading people to work toward a common goal.'

The quality ofleadership in a health services organizationlhealth system (HSOIHS) affects how work is done, how well the organization or system performs, and whether its objectives are achieved.? Bums, ina classical work, established thatleadership in organizations is of two distinct types: transactional and transformational' Both types are considered in this chapter.

Transactional leadership occurs throughout a HSOIHS because managers directly supervise people, which establishes "supervisor-subordinate" relationships. Leadership in these relationships is a transactional process in which the needs of followers are met if they perform to the leader's expectations; leaders and followers undertake transactions through which each receives something of value. Good leadership skills and techniques facilitate the transactions that are essential if these pervasive relationships are to function properly.

In the second type of leadership-more likely to be practiced in HSOslHSs by senior managers-the purpose is significant change in the status quo. In practicing transformational leadership, managers are more focused on creating change than on exchanges." In their transformational leadership roles, managers may focus on changes that are organization wide or systemwide in scope and relate to such things as

• The HSO's/HS's mission and values

• Atta!~ing or modifying the level of support for the mission among internal and external stake-


• Allocating responsibility for the HSO's/HS's operation and performance

• Developing new strategies or implementing existing ones differently

• Altering the balance among the economic, professional, and social interests of the HSO/HS and those who work in it

• Establishing new or discarding existing relationships with other organizations Dr systems with which interdependencies are shared


Leadership is defined in different ways, although most definitions have common elements. Cartwright and Zander define leadership as the acts and activities of one person that contribute to performance by others. I 0 Fiedler and Chemers define it as an "unequal influence and power relationship'J! in which followers accept the leader's right to make certain decisions for them. 'Holt's definition of leadership is "the process of influencing others to behave in preferred ways to accomplish organizational objectives"? Blake and Mouton define leadership as the managerial activity through which managers maximize productivity, stimulate creative problem solving, and promote morale and satisfaction among those who are led.13 In Jago's view leadership is a process that uses noncoercive influence as a means of directing and coordinating the activities of the members of a group toward attaining the group's objectives." Bass notes that "leadership occurs when one group member modifies the motivation or competencies of others in the group."lS In one of the most comprehensive definitions of leadership, Yukl defines it as

the process wherein an individual member of a g1'OUp 01' organization influences the interpretation of events, the choice of objectives and strategies, the organization of work activities, the 1110- tivation of people to achieve the objectives, the maintenance of cooperative relationships, the development of skills and confidence by members, and the enlistment of support and cooperation

' ... ) FOil! people outside the group or organization.t''

These definitions include individuals, groups, organizations, goals/objectives, influence, and acceptance. In sum, they suggest that the leader's role is to determine what is to be accomplished by others, whether individuals or entire HSOsIHSs, and to influence others to contribute to achieving objectives. At the level of supervisor-subordinate relationships, leadership focuses on what a




specific individual or group is to accomplish. At the level of organization or system leadership, the focus is on what the HSOIHS is to accomplish. These definitions further imply that those being led must accept the leader's role and influence over them. As Bass stated, "Leaders are agents of change, persons whose acts affect other people more than other people's acts affect them."!?

Taking these definitions into account, a comprehensive definition of this complex, multidimensional activity is to view leadership as a process of one individual influencing another individual or group to achieve particular objectives. A leader can be defined as one who practices leadership, that is, as an individual who influences another individual or group to achieve particular objectives. These definitions of leadership and leader apply to organizational or system-level leadership (transfonnationalleadership) as well as leadership at the level of supervisor-subordinate relationships (transactional leadership). In both situations leadership means determining what is to be accomplished and influencing others to contribute to its accomplishment. Figure 15.1 showsa simplified model of this process.

The processes of transactional and transfonnationalleadership differ. For example, managers at the supervisor-subordinate level lead individuals and small groups whose members tend to be relatively homogeneous in the work that they do and in their preparation for doing it. This stands in contrast to the transforrnationalleadership of an entire organization or system, in which there is likely to be great diversity and heterogeneity among those who must be led. Another very important difference in the leader roles of managers at different organizational levels is the amount and sources of power available to them. As is discussed in the next section, power is crucial to the ability to exert influence, and the ability to influence is essential to the ability to lead.


Influence is important to the leadership process and to success in the leader role because influence is the means by which "people successfully persuade others to follow their advice, suggestion, or order."18 The essence of leadership is the ability to influence followers. To have influence, however, one also must have power. Power is the potential to exert influence. More power means more potential to influence others. Therefore, to understand influence, one must first understand power.

Sources of Power


Those who wish to exert influence must first acquire power by utilizing the various sources of( power that are available to them. The classical scheme for categorizing the bases of interpersonal :.)

power includes legitimate, reward, coercive, expert, and referent power.!? \

Legitimate power is power that is derived from a person's position in an organization: It also is called formal power or authority and exists because organizations find it advantageous to assign certain powers to individuals so that they can do their jobs. Based on their position, all managers have some degree of legitimate power or authority. Of course, managers at different levels of HSOslHSs have different amounts of legitimate power or authority.

exercise to influence
leadership r--- followers' ~ to achieve
behavior behavior objectives Figure 15.1. The process of leadership.


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Reward power is based on the leader's ability to reward desirable behavior. Reward power stems partly from the legitimate power that is granted to the leader by the organization. In other words, managers by virtue of their positions are given control over certain rewards to buttress their legitimate or positional power. Rewards include pay increases, promotions, work schedules, recognition of accomplishments, and status symbols such as office size and location.

Coercive power is the opposite of reward power and is based on the leader's ability to punish people or prevent them from obtaining desired rewards. As described in Chapter 16, rewards and punishments are powerful motivational tools, although managers playing their leader roles are, in general, better served by reward power than coercive power.

Expert power derives from having knowledge valued by the HSOIHS, such as expertise in problem solving or critical tasks. Expert power is personal to the indi vidual who possesses the expertise. Thus it is different from legitimate, reward, and coercive power, which are prescribed by the organization or system, even though people may be granted these forms of power because they possess expert power. For example, certain health professionals enter management positions because of their superior levels of expertise. When they make this shift, they acquire legitimate, reward, and coercive power in addition to their expert power. It also is noteworthy that, in organizations in which work is highly technical or professional, such as a typical HSOIHS, expert power alone makes some people very powerful. For example, the power of the professional staff is based on clinical knowledge and

(·-'kills. Physicians with scarce expertise, such as transplant surgery, gain more power than physicians _)hose expertise is more readily replaceable. Expert power is not reserved for those with clinical or i technical skills, however. The ability to effectively manage increasingly complex HSOslHSs is a source of power for those with the expertise.

Referent power results when individuals engender admiration, loyalty, and emulation to the extent that they gain the power to influence others. This is sometimes called charismatic power. Charismatic leaders typically have a vision for the groups or organizations that they lead, strong convictions about the correctness of the vision, and great self-confidence about their ability to realize the vision, and they are perceived by their followers as agents of change.I" It is rare for a leader, whether transactional or transformational, to gain sufficient power to heavily influence followers simply from referent or charismatic power. As with expert power, referent power cannot be given by the HSO/HS as can legitimate, reward, and coercive power.

The five bases of power are not necessarily independent and, in fact, can be complementary.

Leaders who use reward power wisely strengthen their referent power. Conversely, leaders who abuse their coercive power will quickly weaken or lose referent power. Effective leaders are those who can translate power into influence, who understand the sources of their power and act accordingly. For example, if a person's power derives from expertise, it may be dangerous to try to lead in areas that lie outside that expertise. Effective leaders "understand-at least intuitively-the costs, risks, and benefits of using each kind of power and are able to recognize which to draw on in different situations and with different people."21

Effective Use of Power

Interpersonal and political skills distinguish individuals who effectively use power and translate it into influence as they lead others. However, access to power is not enough. One must know how to «se power to influence others. Mintzberg recognized this important fact and attributes the success-

__ )1 use of power largely to the leader's political skills, which he defines as

the ability to use the bases of power effectively-to convince those to whom one has access, to use one's resources, information, and technical skills to their fullest in bargaining, to exercise formal power with a sensitivity to thefeelings of other's, /0 101 ow where to concentrate one's energies, to sense what is possible, and /0 organise the necessQ/)' alliancesI?


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--------------- .... EHective leadership


Position power

• Formal authority

• Control over rewards

• Control over punishments

• Control over information

• Ecological control Personal power

• Expertise

• Friendship/loyalty

• Charisma

Political power

• Control over decision processes

• Coalitions

• Co-optation

• Institutionalization

Traits + Behaviors

------------1. EHective leadership

Traits + Behaviors Situation

---"--------. ... EHective leadership

Figure 15.2. Comparing three 'approaches to leadership.

From Yuki, Gary A. Leadership in Organizations, 4th ed, 1 79. Upper Saddle River, NJ: Prentice-Hail, 1998; reprinted by permission.

influence others. Power and influence alone, however, do not fully explain leadership effectiveness or the success or failure of leaders.

Yukl's comprehensive model of the sources of power in organizations, shown in Table 15.1, includes the importance of political skills in the effective exercise of power. He argues that people in organizations derive power, in part, from their positions in the organizational design. Position power includes the authority that is granted to managers by the organization and its inherent control over certain resources, processes, and information. However, power in organizational settings also depends on attributes of the interpersonal relationship between leaders and followers. Personal power includes relative task expertise, friendship and the loyalty that some people engender in others, and sometimes the leader's charismatic qualities, Finally, power also depends on certain political processes and skills. Political power derives from the leader's control over key decisions, ability to form coalitions, ability to co-opt or diffuse and weaken the influence of rivals in the organization, and ability to institutionalize the leader's power by exploiting ambiguity to interpret events in a manner that is favorable to the leader.P

Depending on circumstances, power from the sources shown in Table 15.1 is available in different degrees to leaders in HSOsIHSs. For example, at the level of departments, where leadership comes primarily through the transactions that occur in supervisor-subordinate relationships, firstlevel managers have the power to influence or lead because they have formal authority over the department and the people in it. First-level managers also have some control over resources, rewards, punishments, and information (position power), and may have more expertise in the work than others in the department (personal power derived from expertise). Such managers may have little political power, but this is not a problem if position and personal power sources are sufficient to lead the department.

In contrast, senior-level managers, who lead at the organization or system level, derive power from the same menu of sources but in a different mix. For example, the chief executive officer (CEO) of a HSOIHS possesses political power by virtue of the authority to control decision processes, form coalitions of key decision makers, or co-opt opponents. The CEO may have considerable charisma, extremely loyal assistants, and deep friendships with key physicians and governing body members, all of which provide the CEO with personal power. The CEO's position power can be great in terms of control over resources and information available in the HSOIHS. Finally, the CEO may be in a strong position to control access to the sources of power in the organization or system.24 This is an important source of power in itself.

Much of what is known about power and influence is pertinent to an understanding of leadership. By definition, leadership involves one person influencing others, and power is the ability to


The study of leadership has followed several paths, none of which has produced a definitive theory of effective leadership. Much of the theorizing about leadership and many of the studies of the subject can be classified into one of three basic approaches. One approach has been based on the proposition that traits, skills, abilities, or characteristics that are inherent in some people explain why they are better leaders than others. Theories and studies developed around this assumption belong to the trait approach to understanding leadership and leaders. Another approach, which grew directly out of the inability of traits to explain leadership effectiveness fully, was based on the assumption that particular behaviors might be associated with successful leaders. A third approach, an integrative approach to understanding leadership, focuses on how leaders, followers, and the situations in which they find themselves interact and work.

These approaches to an explanation of how leadership is practiced successfully (traits and skills, leader behavior, and situational) contribute to understanding leadership, and the key theories, findings, and conceptualizations that are developed in each approach are examined in this chapter. Figure 15.2 illustrates the evolutionary relationships these approaches bear to one another.

One can best understand the leadership phenomenon by integrating all three conceptual approaches or perspectives, rather than by thinking of them as competing approaches. Each approach is discussed, and the chapter concludes with an integrative model of the leadership process that incorporates elements of trait, behavior, and situational perspectives.


The link between interpersonal and political skills, and the fact that some personal characteristics .such as expertise and personal charisma are important bases of power, suggest that certain traits and )kills are associated with effective leaders. As has been noted,

Leaders do not have to be great men 01' women by being intellectual geniuses 01' omniscient prophets to succeed, bUI they do need 10 have the "right Sluff" and this stuff is not equally present in all people. Leadership is a demanding. unrelentingjob with enormous pressures and gI'ove



responsibilities. It would be a disservice to leaders 10 suggest that they al'e o rdinary people who happened to be in the right place at the right time. Maybe the place matters, but it takes a special kind oj person to master the challenges oj opportunity. 25

Most studies of leadership in the first half of the 20th century sought to find leader traits in physical characteristics, personality, and ability. Researchers theorized that it was possible to identify traits that distinguished leaders and followers, or successful and unsuccessful leaders. These studies focused on the traits that are associated with effective leaders in business, but they also looked at leaders in government, the military, and religious organizations. Of course, to prove that traits explained leadership, it was necessary to find traits that all leaders had in common. This proved very difficult. The many different traits studied included physical characteristics such as height, weight, and appearance and personality traits such as alertness, originality, integrity, and self- I

confidence, as well as intelligence or cleverness. t .. "\)···~ .;' v"

None of the hundreds of studies that were conducted in search of universal leader traits was sue- '\

cessful. A landmark review of the subject by Stogdill in 1948 analyzed all the major studies of leader 'rl't:. ,/A"'

traits and concluded that "a person does not become a leader by virtue of the possession of some \.t' )'

combination of traits ... the pattern of personal characteristics of the leader must bear some relevant relationship to the characteristics, activities, and goals of the followers. ,,26 This conclusion was use-

ful in later research that studied leadership in the context of specific situations.

Stogdill's conclusion discouraged additional research to identify universal leader traits. However, people interested in the selection of effective managers through the identification of people with leadership potential continued to search for traits that might at least be associated with successful leaders. They used improved methodologies and added administrative and technical abilities to the traits of intelligence and personality studied earlier. Many of these studies, in fact, showed associations between certain traits and leader effectiveness. In a later review of these newer, more sophisticated studies, Stogdill confirmed his original negative assessment of efforts to identify universal leader traits. He concluded, however, that it is possible to develop a trait profile that characterizes successful leaders:

The leader is characterized by a strong drive Jar responsibility and task completion, vigor and persistence in pursuit oj goals, venturesomeness and originality in problem solving, drive to exel'clse initiative ill social situations, self-confidence and sense of personal identity, willingness to accept consequences oj decision and action, readiness to absorb interpersonal stress, willingness to tolerate frustration and delay, ability to influence other persons' behavior, and capacity to structure social interaction systems to the purpose at hand.27

The idea that traits, whether of intelligence, personality, or ability, are associated with leader effectiveness continues to be assessed. Although there is no longer a search for universal leader traits, the traits that are associated with leader effectiveness continue to be refined. Table 15.2 lists traits and skills that frequently characterize successful leaders. Kirkpatrick and Locke summarize contemporary thought about the role of traits in determining leadership effectiveness as follows:

Although research shows that the possession oj certain traits alone does not guarantee leadership success, there is evidence that effective leaders are differentfrom other people in certain key respects. Key leader traits include drive (a broad term that includes achievement, motivation, ambition, energy, tenacity, and initiative), leadership motivation (the desire to lead but not to seek POWel' as an end in itselj) , honesty and integrity, self-confidence (which is associated with emotional stability), cognitive ability, and [expert] knowledge. There is less clear evidence Jar traits such as charisma, creativity, and flexibility. We believe that the key leader traits help the


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TABLE 15.2.




Adaptable to situations

'Alert to social environment Ambitious, achievement oriented Assertive

Clever (intelligent) Conceptually skilled Creative

Diplomatic and tactful

Fluent in speaking Knowledgeable about the work Organized (administrative ability) Persuasive

SOCially skilled

Cooperative Decisive Dependable

Dominant (power motivation) Energetic (high activity level) Persistent


Tolerant of stress

Willing to assume responsibility

From YukI. Gary A. leadership in Organizatiom, 4th ed., 237. Upper Saddle River, NI:

Prentice-Hall, 1 998i repnnted by permission.

le~der.acquire necessGl)Jski/[s;jOlmulale all organizational vision and an effective planforpursuing It; and take the necessalJ' steps to implement the vision in reality. 28

~oleman has ~ade an imY0rtant contribution to understanding the role of "emotional intelligence in leadership ~uccess. 9 He identifies five components of emotional intelligence: selfawareness, self-regulation, motivation, empathy, and social skill. These components are defined in Table 15.3, and the ~aIlmarks of their presence in leaders are given. Goleman concludes that suecessful leaders vary m many ways, but notes

I have found, however, that the most effective leaders are alike ill one crucial way: they all have a high d~fJI'ee of what has come to be 101011'11 as emotional inteIJigence. It's not that IQ and tech-

nical skills are irrelevant. They do matter but mainly as "threshold c b 'liti "I . /

. .' apa I ines .. t tat IS, t ley

ale the e~tly-levell'eqUlrementsfol' executive positions. But my research, along with other cur-

~ent studies, clearly shows that emotional intelligenne is the sine qua non of leadershtp, Without u, a person can have the best training in the world, an incisive, analytical mind, and an endless supply oj smart Ideas, but still won't make a great leader. 30

, B~cause the search for univer~al .leader trait~ was unsuccessful, researchers began to expand ~eu v.lews on the rol.e of leade~ traits m .leaderslup effectiveness. They came to view traits as predispositions to behaviors, adopting.the view that "a particular trait, or set of them, tends to predispose (although do not cause) an individual to engage in certain behaviors that mayor may not result in lea.ders~p effecti,:,eness. ,,31 They began to appreciate that traits had an impact, but not in the way imagined 12 the earlier search for t~e universal traits of leaders. These researchers came to understand :hat what seems to be most important is not traits but rather how they are expressed in the behavior of the leader.'>32


Research int? behavioral ~spects of leadership was premised on the exciting possibility that, if leader behaviors that explained leadership e~fectiveness could be identified, then people could be taught ho,:,", to be leaders. Education may not increase intelIigence levels or change personality profiles, but It can be used to teach behaviors, The trait theories maintained that leaders are effective








The ability to recognize and understand your moods, emotions, and drives, as well as their effect on others

The ability to control or redirect disruptive impulses and moods

The propensity to suspend judgment-to think before acting

A passion to work for reasons that go beyond money or status

A propensity to pursue goals with energy and persistence

The ability to understand the emotional makeup of other people

Skill in treating people according to their emotional reactions

Proficiency in managing relationships and building networks

An ability to find common ground and build rapport




Social skill


Realistic self-assessment

Self-deprecating sense of humor Trustworthiness and integrity Comfort with ambiguity Openness to change

Strong drive to achieve

Optimism, even in the face of failure Organizational commitment

Expertise in building and retaining talent Cross-cultural sensitivity

Service to clients and customers

Effectiveness in leading change Persuasiveness

Expertise in building and leading teams


From Goleman, Daniel. "What Makes a Leader?" Harvard Business Review 76 (November-December 1998): 95; reprinted by

because of characteristics they were born with. People either have them or they do not. However, if specific behaviors were associated with leadership success, then programs could be designed to train people to practice the behaviors. The studies in leader behavior focused on describing leadership behaviors, developing concepts and models of leadership styles (styles being thought of as combinations of behaviors), and examining the relationships between leadership styles and leadership effectiveness. These studies added a new and important dimension to the understanding of leadership.

Early leader Behavior Studies

The most important early research into leader behavior took place in the late 1940s at Ohio State University and the University of Michigan, where researchers conducted studies designed to better understand behavior that contributes to effective leadership. Most behavioral studies ofleadership are based on the pioneering work done in the leadership studies that were conducted at these two universities.

The studies conducted at Ohio State University identified two aspects of leader behavior that are thought to explain effective leadership at the supervisor-subordinate level. The researchers sought to answer the basic questions of how a leader's behavior has an impact on the performance of a workgroup and their satisfaction with work. Two aspects of leader behavior, labeled "consideration" and "initiating structure,"33 were the focus of these studies. Consideration was defined as the degree to which a leader acts in a friendly and supportive manner, shows concern for subordinates, and looks out for their welfare. Initiating structure was defined as tne degree to which a leader defines and structures the work to be done by the workgroup and the extent to which attention was focused on achieving objectives that were established by the leader. These dimensions were not viewed as ends of a spectrum of behavior but as two distinct and separate dimensions. Researchers hypothesized that leaders who scored high on both dimensions of leader behavior would be most


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effective, that is, would achieve high subordinate or workgroup performance and satisfaction. However, follow-up studies failed to support this hypothesis in all situations.I" Reinterpretation of some of these study results eventually led to the conclusion that the combination of initiating structure behavior and consideration behavior that produces leadership effectiveness is dependent on the situation in which leadership is exercised.P

The studies at Ohio State University were paralleled by researchers at the University of Michigan. Based on extensive interviews of leaders and followers in a variety of organizations, Likert and his colleagues identified two distinct styles of leader behavior, "job centered" and "employee centered."36 The leader behaviors identified are similar at both universities: job-centered behaviors at Michigan correspond to the initiating structure category that was identified at Ohio State, and employee-centered behaviors at Michigan correspond to the consideration category that was identified at Ohio State.

In the University of Michigan studies, leaders who were employee centered emphasized interpersonal relations, took a personal interest in the needs of their subordinates, and readily accepted differences among workgroup members. These leaders were considerate, supportive, and helpful with subordinates. In contrast, job-centered leaders emphasized technical or task aspects of the job, were more concerned with accomplishing the workgroup's tasks than anything else, and regarded group members as a means to this end. These leaders spent their time planning, scheduling, coor-

/~\dinating, and closely supervising the work of the group's members.

'.~) Initially, researchers believed that job-centered and employee-centered leader behaviors were

mutually exclusive and at opposite ends of a continuum. Later, they found leaders could exhibit either set of behaviors or a combination of them. Studies that were conducted in a variety of organ izations found that effective leaders, at the level of supervisor-subordinate relationships, were employee centered and focused on the needs of the workgroups they led. These studies also demonstrated that, in addition to being employee centered, effective workgroup leaders established high performance objectives for the group, but permitted the group members to participate in establishing the objectives.F

Fundamentally, mutual reinforcement of the results of the leader behavior studies by University of Michigan and Ohio State University researchers enhanced the credibility of the results. This research was the intellectual foundation for later theories and studies that explained effective leadership styles by identifying the optimal mix of leader behaviors to achieve effectiveness (remember that leadership style was defined as a particular combination of behaviors). Some of the most important of these later studies and associated models of leadership style are presented here.

Likert's System 4 Management Model

One important theory that seeks to explain the relative effectiveness of various leadership styles was developed by Likeli.38 As a participant in the University of Michigan leadership research program, he was influenced by findings about the relationship of job-centered and employee-centered leader behaviors to leader effectiveness. He concentrated on employee-centered behaviors because he believed that the degree to which leaders allow followers to influence their decisions is a key element in effective leadership at the level of supervisor-subordinate relationships.

Figure 15.3 is a schematic of Likert's model showing the ways in which leaders relate to fol.. Jowers on the dimension of follower participation in decisions about their work. He called this model System 4 management because it contains four distinct systems (or styles) of interpersonal relationships.

Likert considers participative or democratic leadership styles to be superior to autocratic styles in terms of their contribution to productivity and follower satisfaction. In his model, System 1 lead-


System 1 H System 2 pi System 3 pi
Autocratic Benevolent Consultative
Traditional Structured Advisory and
decisions and decisions but friendly climate for
unilateral or not to the extent most decisions,
exploitative of exploitation yet not consensus
techniques Participative or


Team building for consensus and full team participation


----------Leadership Effectiveness -----------).

Figure 15.3. Likert's System 4 management model. (Adapted from Likert, Rensis. Past and Future Perspectives on System 4, 3-5, 9. Ann Arbor, MI: Rensis Likert Associates.)

ers are autocratic and rely on authority granted by the organization as the basis for their leadership. Such leaders show little confidence or trust in their followers. System 2 leaders are more benevolent toward followers, although they use authoritarian approaches. System 3 leaders consult with followers about decisions but stop short of permitting full participation in decisions.

System 4 leaders give followers full participation in decision making. They endorse open channels of communication and other behaviors that ensure a high level of reciprocal influence between leader and followers. They also use group methods of supervision rather than close, one-toone supervision. System 4 leaders show high levels of confidence and trust in followers in most matters. The main benefit of System 4 leadership, according to Likert, is that it encourages the acceptance of decisions and commitment to them, both of which contribute directly to productivity and to follower satisfaction.l?

Likert's views on the benefits of participatory leadership stimulated substantial research on its effects. Miller and Monge provide a good meta-analytical review of this research for readers who want more detaiL40 It is sufficient to say that the participative leader style provides a number of benefits and advantages to HSOsIHSs, including the following:

• Participation encourages followers to identify with the HSO/HS more closely. This enhances motivation, especially in such citizenship behaviors as cooperation, protecting fellow employees and organizational property, avoiding waste, and, in general, going beyond the call of duty. If people have some voice in their jobs, they tend to be mere enthusiastic in performing them.

• Participation can be a means to overcome resistance to change. Those who participate in decisions that cause change will understand the changes and will be less likely to resist.

• Participation enhances personal growth and development of those who work in a HSO/HS. By participating in declslons, followers gain experience and become more proficient in decision making.

• Participation enables a wider range of ideas and experiences to be brought to bear on a problem. Often, followers are familiar with a situation and can solve related problems better than can the leaders.

• Participation increases organizational flexibility because followers gain a wider range of experience about the job situation.

In general, HSOIHS managers rely heavily on participative decision making."! For example, the participative leadership style is critical to the success of continuous quality improvement (CQI) activities. A HSO'sIHS's professional employees will not tolerate being left out of cQr decisions


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.. l'"



that are related to patient care. A participative leadership style is facilitated by adherence to the following managerial guidelines:

• People who are permitted to participate in decisions should have expertise and skill in the matters under consideration, or expertise must be developed before they can participate effectively.

• The consequences of error should be considered. When others participate, do they raise or lower the risk that mistakes will be made?

Avoid abrupt shifts in leadership style. Steps should be taken to prepare followers for any change in style to reduce skepticism and build confidence.

• Followers must be willing to partlclpate. Some people do not want the responsibility that participation entails. Furthermore, the climate of respect between manager/leader and subordinates/ followers should be such that followers are not afraid to voice opinions.

• A participative style of leadership must be used with sincerity. and integrity. Specifically, the manager/leader who frequently asks subordinates/followers to participate but who has no intention of following their recommendations will soon lose support and acceptance. Once mistrust arises, followers may cease viewing the participative style as legitimate. This does not mean that leaders can never reject followers' recommendations; however, if recommendations are rejected, then the manager must explain the decision.

jklake and McCanse's Leadership Grid

Another model depicting the variety ofleadership styles was developed by Blake and Mouton42 and revised by Blake and McCanse.43 This model uses two variables ofleadership orientation: "concern for people" and "concern for production." The people orientation focuses on enhancing the leader's relationships with followers or on the relationships among followers. The production orientation focuses on tasks and objectives in relation to work. These two orientations are used to create the leadership grid shown in Figure 15.4, a significant tool to help people understand variation in leadership styles.

By plotting various locations on the grid created by the concern for people and concem for production axes, Blake and McCanse identified five distinct leadership styles. Table 15.4 contains the typical characteristics of these five styles. Blake and McCanse took the position that the 9,9, or team management, leadership style universally is the most effective leader orientation, just as Likert had done regarding System 4 management.

The position that there is "one best way" to lead workgroups troubled other researchers to whom it seemed that what worked best in one situation did not necessarily work best in another, It should be noted that the importance of situational variation is clear cut only in hindsight. Researchers pursuing both trait theories and behavioral theories began with the premise that it was important to discover the set of traits that was characteristic of successful leaders or the behavioral style ofleadership that explained leadership effectiveness. It was only after much work that researchers realized that there was neither one set of traits that invariably explained leader success nor a specific behavioral style that always worked best. Only then could it be understood that situational variables were needed to more fully explain leadership effectiveness. One model ofJeadership that bridges the pure behavioral theories and the emerging situational theories deserves special recoguition for this important role and is considered next.


Tannenbaum and Schmidt's Continuum of Leader Behavior

Tannenbaum and Schmidr'" developed a model of leader behavior in which styles of leadership were arrayed as a continuum ranging from autocratic to laissez-faire, as depicted in Figure 15.5.

~ 6
.e, 5
;:: 4
Low Leadership


~:.l. Club MLg~.J eaml.nag~L 19,9
Thoughtful attention to the needs Work accomplishment is from
of people for satisfying relatlonshlps commtned people, interdependence
leads to ." comfortable, friendly through 01 "common stake" in
~organizatlon atmosphere, ami organization purpose leads to
work tempo. relationships of trust and respect.
Iddle oftbe Road Management
Adequate organization performance
is possible through balancing [he
necesstry to gel OUI work with maln-
taming morale of people at a satts-
factory level
lmpouerisbea Managenumt Authority-Compliance
~Exenion of minimum effort to get Efficiency in operations results _
required work done is appropriate from arranging conditions of
to sustain organization membership. work in such a way that human
elements interfere to a minImum
1,1 9,1 ®







9 High



Concern for Production

Figure 15.4. The leadership grid. (Blake, Robert R., and Anne Adams McCanse. Leadership Dilemmas-Grid So" lutions, 29. Houston: Gulf Publishing Company, 1991. Copyright 1991 by Scientific Methods, Inc. Reproduced by permission of the owners.)

Their model has polar ends with varying decision-making authority shared by managers/leaders and subordinates/followers and shows alternative ways for managers/leaders to approach decision making, depending on how much participation they want from subordinates/followers. Styles on the left are more authoritarian, and those on the right are more participative.

Tannenbaum and Schmidt provide descriptions of the various styles presented in Figure 15.5, indicating the degree of decision-making authority that is held by the manager. Below these descriptions are commonly used labels that describe the basic leader behavior being exhibited along the continuum, from autocratic to laissez-faire,

• Autocratic leaders (Style 1 in the model) are those who make and announce decisions. The role of subordinates is to carry out orders without an opportunity to materially alter decisions atready made by the manager/leader.

• Consultative leaders "sell" decisions to their followers by carefully explaining the rationale for the decision and its effect on followers-Style 2 in the model. Style 3 leaders permit slightly more subordinate involvement-the leader presents decisions to followers but invites questions so that understanding and acceptance are enhanced.

• Participative leaders may present tentative decisions that will be changed if subordinates can make a convincing case for a different decision-Style 4 in the model. Style 5 leaders present a problem to subordinates, seek their advice and suggestions, and then make the decision. This


Managing Relationships

. ,~-


leadership style makes greater use of participation and less use of authority than autocratic and consultative styles.

• Democratic leaders (Style 5) define the limits of the situation and problem to be solved and permit followers to make the decision.

• Laissez-faire leaders (Style 7)' permit followers to function within limits set by the leader's superior. The manager/leader does not interfere and participates in decision making with no more influence than other members of the group. Leader and follower roles are indistinguishable in this style.


Tannenbaum and Schmidt describe possible leadership styles much as do Likert, Blake and McCanse, and others who searched for the best style. Here the similarity ends, however, and the importance of their contribution to understanding leadership effectiveness results from their conclusion that the best style depends on the particular situation. In their view the choice of a style should be based on forces that are internal to the manager/leader (e.g., value system, confidence in subordinates/followers, tolerance for ambiguity and uncertainty), forces within subordinates/ followers (e.g., expectations, need for independence, ability, knowledge, experience), and forces in the situation (e.g., type of organization, nature of the problem to be solved or the work to be done, time pressure). No single leadership style is correct all of the time. Leaders/managers must adapt

.~)and change to fit the situation.f

An autocratic style might be appropnate in an operating room because work activity must be

-. performed precisely and immediately, perhaps under crisis conditions. However, if physicians who are autocratic in the operating room become HSOIHS managers, a very different style may be necessary, especially when other professionals are supervised. Subordinates' characteristics-training, education, motivation, and experience-influence the leader's authority style. If subordinates are



1,1 Impoverished Management

This type of leadership is often referred to as lalssez-falre ...,

leadership. Leaders in this position have little concern for) people or productivity, avoid taking?jdes,.and stay out of conflicts. They do just-enough to get by.

Managers in this position have great concern for people and little concern for production. They try to avoid conflicts and concentrate on being well liked. To them the task is less important than good interpersonal relations. Their goal is to keep people happy. (This is a soft Theory X approach and not a sound human relations approach.)

Managers in this position have great concern for production and little concern for people. They desire tight control in order to get tasks done efficiently. They consider creativity and human relations to be unnecessary.

Leaders in this position have medium concern for people and production. They attempt to balance their concern for both people and production but are not committed to either.

This style of leadership is considered to be ideal. Such managers have great concern for both people and production. They work to motivate employees to reach their highest levels of accomplishment. They are flexible and responsive to change, and they understand the needto change.

1,9 Country Club Management

9,1 Authority-Compliance

5,5 Middle of the Road Management

9,9 Team Management


Adapted from Blake, Robert R., and Anne Adams McCanse. Leadership Difemmos---Grid Solutions, 29. Houston: Gulf Publishing Company, 1991; reprinted by permission.



Use or authority by the manager

Area of freedom
for subordinates
t t t t t t
Manager Manager Manager Manager Manager Manager Manager
makes "sells" presents presents presents defines permits
decision decision. ideas and tentative problem, Jimits; subordinates
and invites decision gets asks group to function
announces questions, subject to suggestions , to make within limits
it. change. makes declsicc. defined by
decision. superior,
(I) (2) (3) (4) (5) (6) \Il
FATRE Figure 15.5. Continuum of leader decision-making authority. (Tannenbaum, Robert, and Warren H. Schmidt. "How To Choose a Leadership Pattern." Harvard Business Review 51 (May-June 1973): 162-180; reprinted by permission. Copyright 1973 by the President and Fellows of Harvard College; all rights reserved.)

skilled professionals, the manager may readily seek their opinions and use a consultative or participative style. Similarly, the work being performed can determine which style is appropriate. If it is routine, clerical, and must have a specific sequence flow, then the manager may be more consultative than democratic in determining what, how, and when work will be performed. However, if work is creative and flexible and other departments do not rely on timely completion, the manager may use a participative or democratic style. Certainly, the business office manager will use a different leader authority style than would the manager of a medical research department.

The Tannenbaum and Schmidt model identifies a set of leadership styles, but it couples this with the concept that certain factors dictate choosing one style over the others. In this way the model provides a bridge between early trait and behavioral theories of leadership and more sophisticated situational or contingency theories of leadership, described in the next section.


By the early 1960s it had been determined that traits or particular behaviors could not fully explain leader success or leadership effectiveness, and it was found that behavior that was appropriate in one circumstance produced failure in others. Researchers then tumed to incorporating situational factors, or contingencies, into leadership models. From among the many resulting models or theories that seek to explain how situational variables help determine the relative effectiveness of leadership styles, four of the most important are described: the Fiedler model, Hershey and Blanchard's situational model, the Vroom- Yetton participation model, and path-goal theory.

Fiedler's Contingency Theory

Fiedler's research focused on specifying situations in which certain leader styles would be particularly effective.t'' The phrase contingency theory refers to Fiedler's hypothesis that effective leadership is contingent on whether the elements in a particular leadership situation fit the style of the leader. He sought to identify leader styles that fit particular situations and that could be used to improve leader effectiveness by: 1) changing leader styles to fit situations, 2) selecting leaders whose styles fit particular situations, 3) moving leaders in organizations to situations that fit their styles, or 4) changing situations to better fit leader styles.


Managing Relationships

Fiedler's leadership model is complex, but the underlying theory can be appreciated by understanding the leader styles that he examined and the way in which he assessed situations. He was interested in whether a leader was more task or relations motivated or oriented. The task-motivated leader is more concerned about task success and task-related problems. Such leaders are motivated primarily by achieving task objectives and are not motivated to establish good relationships with followers unless the work is going well and there are no serious task-related problems.

In contrast, the relations-motivated leader is more concemed with good leader-follower relations, is motivated to have close interpersonal relationships, and will act in a considerate, supportive manner when relationships need to be improved. For such leaders, the achievement of task objectives is important only if the primary affiliation motive is adequately satisfied by good personal relationships with followers.

Fiedler considered the two orientations to be polar. He measured these two orientations in leaders by using the least preferred co-worker (LPC) score. The LPC questionnaire asked leaders to think of the present or past co-worker with whom they least liked to work. The LPC questionnaire has a number of attribute sets, such as pleasant-unpleasant, with an 8-point rating scale. The LPC score is the sum of the ratings for the attribute sets. A high score reflects a leader who is primarily relations motivated; a low score reflects a leader who is primarily task motivated. In effect, the score reflects the degree of regard leaders hold for their least preferred co-worker. Leaders with

(c--_l?W LPC scores, interpreted as refl~cting disregard for the least preferred co-~orker, are considered \_jb have a task-motivated leadership style. Leaders With high LPC scores, interpreted as reflecting favorable assessments of the co-worker they least prefer, are considered to have a relationsmotivated leadership style.

According to Fiedler's theory, the relationship between a leader's LPC score and leadership effectiveness depends on a complex situational variable that he called situational favorability. Favorability is determined by three aspects of a situation:

1. Leader-follower relations, which can be good or poor (good leader-follower relations imply that the leader is able to obtain compliance with minimum effort, whereas poor relations imply compliance with reservation and reluctance, if at all)

2. Task structure, which can be structured (specific instructions and standard procedures provide for task completion) or unstructured (the task has only vague and inexplicit procedures without step-bystep guidelines)

3. Leader position power, which can be strong or weak, and refers to the extent to which the leader has authority (including reward, coercive, and legitimate power) to evaluate the performance of followers (workgroup members) and reward or punish them

Figure 15.6 shows how the style of effective leadership varies with the situation and illustrates information relevant to the Fiedler contingency theory of leadership. The bottom portion shows combinations of the three situational favorability aspects: leader-follower relations (good-poor), the task structure (structured-unstructured), and the leader's position power (strong-weak). The result is eight unique combinations that Fiedler calls octants.

Octant I shows good leader-follower relations, a structured task, and a leader with strong position power. Octant 8 shows poor leader-follower relations, an unstructured task, and a leader with ,,\eak position power. An intermediate octant, Octant 4, shows good leader-follower relations, an -. )structured task, and a leader with weak position power. Octant I is most favorable and Octant 8 . "least favorable in Fiedler's schema to measure the favorability of particular situations for leaders.

With a way to measure certain leader traits and to scale the favorability of the situations faced by leaders, Fiedler tested the relationships. His results, in the upper portion of Figure 15.6, show that relationship-motivated leaders (high LPC scores) do well (relative to task-motivated leaders)




Relationship- v~
motivated leaders ~ ----- ~
perform better
- ~ - - - - - --_ --- J- - - - --- - - - - - --- - - -- - -- - - - - - --
Task-motivated \
leaders perform
--- better
1 2 3 4 5 6 7 8
Good Good Good Good Poor Poor Poor Poor
Structured unstr_~~lUred Structured Unstructured
_l I I
Strong I Weak Strong I Weak Strong I Weak Strong I Weak LPC

{least Preferred Coworker)


Leader-Member Relations

Task Structure

Leader Position Power

Figure 15.6. How the style of effective leadership varies with the situation. (From Fiedler, Fred E., and Martin E. Cherners, Leadership and Effective Management, 80. Glenview, IL: Scott, Foresman, 1974; reprinted by permission.)

in moderately favorable situations, Conversely, task-motivated leaders (low LPC scores) do relatively well in situations that are either very favorable or very unfavorable.

Fiedler47 attributes success of relationship-motivated leaders in situations with intermediate favorability to the leader's nondirective, permissive approach; a more directive approach could cause anxiety in followers, conflict in the workgroup, and lack of cooperation. He attributes success of the task-motivated leader in very favorable situations to the fact that, because the leader has power, formal backing, and a well-structured task, followers are ready to be directed in their tasks. He attributes success of the task-motivated leader in very unfavorable situations to the fact that, without the leader's active and aggressive intervention and control, the group might fall apart.

Complex theories typically have ample room for criticism, and Fiedler's is no excepticn.f Most research, however, supports the mode1.49 Fiedler's research is especially important because it represents the first comprehensive attempt to incorporate situational variables directly into a leadership theory. This new dimension was refined in many subsequent studies. Furthermore, his model has considerable utility in management practice, especially in suggesting to managers the importance of systematically assessing their position power, leader-follower relations, and task structures in relationship to their leadership styles and, in tum, how this affects their effectiveness as leaders.

Hershey and Blanchard's Situational Leadership Model

Hershey and Blanchard-? developed a leadership model that attempts to explain effective leadership as interplay among 1) the leader's relationship behavior, defined as the extent to which leaders maintain personal relationships with followers through open communication and by exhibiting supportive behaviors and actions toward them; 2) the leader's task behavior, which is the extent to which leaders organize and define roles of followers and' guide and direct them; and 3) the followers' readiness level, which Hershey and Blanchard define as readiness to perform a task or function


Managing Relationships

or to pursue an objective. This model focuses on followers as the key situational variable, specifically their readiness to perform, The central premise is that the most effective leadership style is determined by the readiness level of the people whom the leader is attempting to influence.v' Even though their model focuses on only one situational variable, Hershey and Blanchard call it the situational leadership model.

Appreciation of the situational leadership model requires an understanding of how it incorporates leadership styles, as weI! as a concept called "follower readiness." Hershey and Blanchard assume that the relative presence (high-low) of task and relationship behaviors can be used to identify four distinct leadership styles (SI-S4) as follows:

• S1, or Telling (high task-low relationship)-the leader makes the decision. The leader defines roles and tells followers what, how, when, and where to do various tasks, emphasizing directive behavior.

• S2, or Selling (high task-high relationship)-the leader makes the decision and then explains it to followers. The leader provides both directive behavior and supportive behavior,

• S3, or Participating (low task-high relationship)-the leader and followers share decision making. The main role of the leader is to encourage and assist followers in contributing to sound decisions.

• S4, or Delegating (low task-low relationshlpj-ethe followers make the decision. The leader provides little direction or support.

Follower readiness in the situational leadership model refers to a person's readiness to perform a particular task. Readiness is assessed by two factors, ability and willingness. Ability refers to knowledge, experience, and skill that an individual or group possesses. Willingness is the extent 10 which an individual or group has the motivation, confidence, and commitment that is needed to accomplish a specific task,52

Hershey and Blanchard use the ability of followers and their willingness (divided into commitment/ motivation and confidence) to develop a four-stage continuum offollower readiness, from low (Rl) to high (R4):

• R1-Followers are unable and unwilling to take responsibility for performing a task (i.e., they do not possess the necessary ability and they feel insecure about taking responsibility).

• R2-Followers are unable but willing to do job tasks (i.e., they do not possess the necessary ability, but they are motivated and feel confident if the leader provides guidance),

, R3-Followers are able but unwilling to do what the leader wants (i.e., they possess the necessary ability, but they feel insecure about doing what the leader wants).

• R4-Followers are able and willing to do what is asked of them (i.e., they possess the necessary ability, and they feel confident about their ability to do what is asked of them).

In the Hershey and Blanchard model of situational leadership the four leadership styles (Telling, Selling, Participating, and Delegating) are best used with specific levels of follower readiness (see Figure 15.7). Leadership effectiveness results when the leader's style matches followers' readiness. The model suggests that, as followers reach high levels of readiness (R4), the leader re-

-sponds by decreasing task and relationship behaviors. At R4, the leader need do very little because

._.J followers are willing and able to take responsibility. At the lowest level of follower readiness (Rl), followers need explicit direction because they are unable and unwilling to take responsibility. At moderate or intermediate levels (R2 and R3), different leadership styles are needed. At R2, at which the followers are unable but willing, the leader must exhibit high levels of task and relationship behaviors, High-level task behavior compensates for followers' lack of ability, and high-level rela-



Provide speciuc lnSlruchons and closely

and supervise S 1

Implementation parforrnance




R4 R3 R2 Ri
Able and Able but Unable bul Unable and
Willing Unwilling Willing UnWilling
or or or or
Conltdenl Insecure Conndent Insecure Figure 15.7. The situational leadership model. (Adapted from Hershey, Paul, and Kenneth H. Blanchard. Management of Organizational Behavior, 7th ed., 186. Upper Saddle River, NI: Prentice-Hall, 1996; reprinted by permission.)

tionship behavior may help them to psychologically "buy into" the leader's wishes. At R3, at which followers are able but unwilling or insecure, a leadership style that incorporates high levels of relationship behaviors may help overcome unwillingness or insecurity among followers.

Although there has been almost no research confirming the relationships theorized in the situational leadership model, it is widely used by managers because it is intuitively appealing,53 The model clearly illustrates certain aspects of leader behavior that are quite important. Leaders must be concerned about the readiness of their followers to be led, and they must recognize that the level of readiness can be affected by leaders' actions. This model also provides a useful reminder to leaders that it is important to treat followers as individuals, with real differences among them. Moreover, the model reminds leaders to treat the same follower differently over time, as the follower changes in terms of readiness 54

Vroom and Yetton's Model

Vroom and Yetton55 developed a model based on how leader behavior affects the quality of decision making in problem-solving situations. This model was presented in Figure 7.8 with a focus on problem-solving styles. It is presented in Figure 15.8 with a focus on leadership styles. As originally developed, the model features a decision tree and questions to guide users. A revised version developed by Vroom and Jag056 replaces decision rules with mathematical functions and is so complex that microcomputer software is needed to fully understand it. The earlier version is presented here to explain the model's logic and use.


T l5 t;i
..:. co
III ~~~
III ~~2
~ ~ r: o ... ~
".- 0 u .8 c. CC
~eg ~ i3l.5~
.l:! IIi G> ~·~E.~
I: E - r:
:o~i ~ E'£ ~
l!18 o Q,l O._ Q.l
jio~ -g=~~:g
en ~.§~ ~
="11 8~~-g;s
E e •
.! a.:: t ~ ~~.~ ~ ~
e III II •
L:i! = g. ~g~'~I11>'~
• ;-;;.!!1'E.o~2
Iii'u . U"O ~
I"~ g, ~ ~ ~ == ~~
::: ... >- (IJ ~ CJ (IJ 754



The Vroorn-Yetton model assumes that five leader behaviors can be used: two types of autocratic decision making (AI and AU), two types of consultation (CI and Cll), and one behavior that represents joint decision making by leader and followers as a group (GIl). These leader behaviors are defined as follows:

AI. You (the leader) solve the problem or make the decision yourself, using information available to you at the time.

All. You obtain the necessary information from your subordinates, then decide the solution to the problem yourself. You mayor may not tell your subordinates what the problem is in getting the information from them. The role that is played by your subordinates in making the decision is clearly one of providing necessary information to you rather than generating or evaluating alternative solutions.

CI. You share the problem with the relevant subordinates individually, getting their ideas and suggestions, without bringing them together as a group. Then you make the decision, which mayor may not reflect your subordinates' influence.

CII. You share the problem with your subordinates as a group, obtaining their collective ideas and suggestions. Then you make the decision, which mayor may not reflect your subordinates' influence.

Gil. You share the problem with your subordinates as a group. Together you generate and evaluate alternatives and attempt to reach agreement (consensus) on a solution. Your role is much like that of a chairperson. You do not try to influence the group to adopt "your" solution, and you are willing to accept and implement any solution that has the support of the entire group.57

Figure 15.8 illustrates the model's seven contingency questions (a-g across the top of the figure) and a decision tree to direct a leader to situation-dependent prescribed leader behavior. The leader chooses from among five behaviors (AI, AU, CI, CII, or GII) and is guided by answering questions in the a-through-g sequence.

The Vroom-Yetton model is in general supported by the work of several researchers. 58 Beyond its wide acceptance, the model has great practical value to managers. It demonstrates that managers can effectively vary their leadership styles to fit particular situations, a point that is critical to accepting the situational approach to leadership.P?

House and Mitchell's Path-Goal Model

Like the other situational or contingency approaches described previously, the path-goal model of leadership predicts the leadership behaviors that will be most effective in particular situations. This model is the most generally useful situational model of leadership effectiveness. The path-goal model is named for its focus on how leaders influence followers' perceptions of their work goals and the paths that they follow to attain these goals. House, in the original conception of this model, posited that the leader's function is to increase the personal payoffs to followers for attaining their work-related goals, and to make the path to these payoffs smoother.f" As House and Mitchell, who helped develop the theory further, note

According to this theory, leaders are effective because of their impact on subordinates' motivation, ability to perform effectively, and satisfaction. The theory is called path-goal because its major concern is how the leader influences the subordinates' perceptions of their work goals, personal goals and paths to goal attainment. The theory suggests that a leader's behavior is mo-


Managing Relationships

tivating or satisfying to the degree that the behavior increases subordinate goal attainment and clarifies the paths to these goals. 61

This leadership theory relies on the Ohio State University and University of Michigan leadership studies previously discussed and on the expectancy theory of motivation described more fully in Chapter 16. In the expectancy theory, expectancy is the perceived probability that effort will affect performance, instrumentality is the perceived probability that performance will lead to outcomes, and the value attached to an outcome by a person is its valence. The expectancy model of motivation focuses on describing the relationships among expectancy, instrumentality, and valence. The pathgoal model of leadership focuses on factors that affect expectancy, instrumentality, and valence. Leaders can increase the valences that are associated with work-goal attainment, the instrumentalities of work-goal attainment, and the expectancy that effort will result in work-goal attainment.

Path-goal theory is a situational theory because its basic premise is that the effect of leader behavior on follower performance and satisfaction depends on the situation, specifically including follower characteristics and task characteristics. Restated, different leader behaviors are best for different situations. According to House and Mitchell,62 there are four categories of leader behavior; each is best suited to a particular situation:

Directive ieadership:The leader tells followers what to do and how to do it, requires that they follow rules and procedures, and schedules and coordinates the work. This leader behavior is similar to initiating structure in the Ohio State University studies.

Supportive leadership: The leader is friendly and approachable and exhibits consideration for the status, well-being, and needs of followers. This leader behavior is similar to consideration in the Ohio State University studies.

Participative leadership: The leader consults with followers, asks for opinions and suggestions, and considers them.

Achievement-oriented leadership: The leader establishes challenging goals for followers, expects excellent performance, and exhibits confidence that they will meet expectations.

IV [u



House believes that effective leaders use all four styles of leader behavior as the situation dictates, and match styles to situations, which can vary along two dimensions. One dimension is the nature of the people who are being led. Followers mayor may not have the ability to do the job. They differ, too, as to the perceived degree of control thatthey .. have over their work. They may feel controlling or controlled. The second dimension is the nature of the'task, which may be routine or

newand ambiguous. ' )

Figure 15.9 illustrates how the four leader behavior styles are matched to subordinate characteristics and the nature of the task to produce leader effectiveness. Leaders face different situations, and the path-goal model suggests that effective leaders diagnose the situation and match behavior to it. For example, directive leadership .could be used when followers are not well trained and the work that they are doing is partly routine and partly ambiguous. Supportive or participative leadership might be most appropriate if followers are doing routine work and have experience doing it. Achievement-oriented leadership is most effective iffolJowers are doing innovative and ambiguous work and have a high level of knowledge and skill that are related to the work.

The path-goal model of leadership suggests that the functions of effective leaders include I) making the path to achieving work goals easier by providing coaching and direction when needed, 2) removing or minimizing frustrating barriers that interfere with folJowers' abilities to achieve work goals, and 3) increasing payoffs for followers when they achieve work-related goals.



subordinates Whether
l\ directive,
.... supportive, ....
determine~ participative, best lead to
V' achievement-
Other oriented
situational leader behaviors
factors Subordinate goals and pertormancs

Figure 15.9. Path-goal model of leadership. (From Longest, Beaufort B., Jr. Health Professionals in Management,

236. Stamford, CT: Appleton & Lange, 1996; reprinted by permission.)

House and Mitchell intend the path-goal theory to be a partial explanation of the motivational effects ofleader behavior, and they do not include all relevant variables. Despite limited validation of much of the path-goal theory, it is a useful construct because it merges leadership and motivation theories. It also provides a pragmatic framework that is valuable to managers who are trying to match their leader behavior to subordinate/follower characteristics and task characteristics.

Furthermore, path-goal theory 1S useful because it illustrates substitutes for leadership. For example, if being an effective leader means clarifying the path to a follower's goal, then the existence of clear organizational rules and plans that may also clarify the path is a partial substitute for leadership. Substitutes for leader behaviors are anything that clarifies role expectations, motivates employees, or satisfies employees. This phenomenon is significant for HSOs/HSs because much of their workforce is highly professional and possesses a body of knowledge with standard practices to guide their work. To the extent that these factors reduce the need for leaders to guide the work, they are a substitute for leadership.


This chapter describes three approaches to understanding leadership: traits and skills, leadership behavior, and situational or contingency theories of leadership. These different approaches to leadership effectiveness and success have yielded numerous models, each seeking to explain the phenomenon ofleadership effectiveness. Individually, however, none of the theories or models does so fully. Levey suggested, "We will probably never be able to achieve a truly elegant and rigorous general theory of leadership.vs! This pessimistic view reflects the complexity and the tremendous variety of variables that are involved in the leadership process. It is possible, however, to integrate the different theories to more fully illustrate the processes and interactions involved in leadership effectiveness, whether in transactional or transformational leadership.

One of the most comprehensive leadership models or frameworks was developed by YukI.54 Figure 15.10, an adaptation of his integrative model, illustrates that leadership contributes to the end results of individual, workgroup, and organizational performance, It shows that these results are partly determined by complex interactions among leader traits and skills, personal power of the leader, leader behavior, and situational variables. These variables are mediated or influenced by intervening variables, the presence of which reminds us that leadership is not the only determinant of individual, group, or organizational performance. Indeed, outcomes in HSOs/HSs are influenced by many factors.

The model oversimplifies very complex relationships, but it does illustrate the most important interactions among key variables in effective leadership. For example, it shows that leader behavior is influenced by leader traits and skills, power, and situational variables and characteristics or cir-


Managing Relationships


l Subordinate Effort I-~
LEADER Role Clarity and Ability Individual, workgroup,
BEHAVIOR J Organization of Work
CooperatlanfTeamwork and organizational
Resources performance
External Coordination

SITUATIONAL VARIABLES I (-")FigUre 15.10. Integrating conceptual framework of leadership. (Adapted from Yuki, Gary A. Leadership i~ ~ Organizations, 3rd ed., 269, Englewood Cliffs, NJ: Prentice-Hall, 1989. Copyright 1989" Prentice-Hall, Inc.)

cumstances, as well as by information about intervening variables and results of previous leadership behaviors. In this sense, leader behaviors are simultaneously dependent and independent variables that influence and are influenced by intervening variables and results. The model also shows how a leader's personal power is determined by results, the leader's traits and skills, and situational variables such as the type and extent of authority that is possessed by the leader as a result of organizational position.

This integrative model is useful for understanding both transactional and transformational leadership. In supervisor-subordinate interfaces that characterize so much of the work of middleand first-level managers in HSOsIHSs, the model suggests that transactional leadership effectiveness results from interactions among multiple variables. These variables include leader traits and skills, leader power, and leader behavior selected to fit situational variables, all of which are mediated or influenced by intervening variables such as follower efforts and abilities, the HSO'sIHS's design features, and the availability of resources.

The exercise of leadership is even more complex at the senior level of management. 65 However, everything the model suggests about the complexity of leadership at the leader-follower interface holds true for transformational leadership that is exerted at the top levels of HSOsIHSs. Effective leadership here also requires blending traits, skills, power, and behaviors to meet the situation. However, as noted earlier, senior-level managers who attempt to be transformational leaders face several additional and unique issues. They must establish shared values and principles as a common part of the HSO's/HS's culture. They must affirrn the mission of the organization or sys-

-" tern, and resolve conflicts among competing but legitimate organizational objectives. They must < Jake steps to legitimize the HSO'sIHS's claims for support from internal and external stakeholders , " and develop and pursue strategies that ensure organizational autonomy, stability, and self-control in an increasingly turbulent environment.s''

Successful leaders at the HSOIHS level must 110t only develop a clear vision for the HSOIHS but also must use their legitimate, expert, and referent power to ensure that important stakeholders



understand this vision. Leaders who effectively articulate and corrununicate their visions will have a distinct advantage in having them considered. Conger observed that

While we have learned a great deal about the necessity of strategic vision and effective leadership, we have overlooked the critical link between vision and the leader's ability to powerfully communicate its essence. In the future, leaders will not only have to be effective strategists. but rhetoricians who call energize through the words they choose. The era of managing by dictate is ending and is being replaced by an era of managing [leading} by inspiration. Foremost among the new leadership skills demanded of this era will be the ability to craft and articulate a message that is highly mottvattonalr!

Effective leadership is highly dependent on effective motivation and communication. These management topics are the focus in Chapters 16 and 17, respectively. These two chapters are crucial to a complete understanding of effective leadership.


Leadership is a process of one individual influencing another individual or group to achieve particular objectives. Leaders help determine what is to be accomplished by workgroups, organizations, or systems and influence others to contribute to accomplishing these purposes. Power and influence in relation to leadership, including the sources of a leader's power, are covered. Transactional and transformational leadership are described in this chapter.

Various approaches to the study of leadership are described. Theories of leadership that are based on leader traits and skills, including intelligence, personality, and ability, are reviewed. The important research into leader behavior conducted at Ohio State University and the University of Michigan is presented as a prelude to reviewing the main behavioral models ofleadership: Likert's System 4 model, Blake and McCanse's managerial grid, and Tarmenbaum and Schmidt's cont!nuum of leader behavior. Four key situational theories ofleadership are reviewed: Fiedler's contmgency theory, Hershey and Blanchard's situational leadership model, the Vroom- Yetton model, and the House-Mitchell path-goal theory of leadership.

How these theories of leadership build on one another, differ, and are complementary is described. Particular emphasis is given to situational theories of leadership, and an integrative model of leadership isused to link current information about leadership at the level of supervisorsubordinate relationships and at the level ofHSOIHS leadership, at which senior-level managers are increasingly expected to be transformational leaders.


1. Distinguish between the roles of leaders at the level of supervisor-subordinate relationships and those at the level of HSOIHS leadership (discuss transactional and transformational leadership in your response).

2. Define and model leadership.

3. Describe the relationship between influence and leadership and between power and influence.

4. Compare the three basic conceptual approaches to the study of leadership (traits and skills, leader behavior, and situational or contingency approaches) and explain why different approaches to the study of leadership have been taken.


Managing Relationships

S. Outline key contributions to the understanding of leadership made by the leadership studies at Ohio State University and the University of Michigan.

6. Some have argued that leaders are born, not made, and that all great leaders have certain com-

mon traits. Discuss this viewpoint about leadership.

7. Briefly describe three models of leader behavior presented in this chapter.

8. Briefly describe four situational models of leadership presented in this chapter.

9. Sketch and discuss the model used in the chapter to integrate the various theories of leadership.

10. Assume that you have been invited to give a lecture on leadership effectiveness. What three key points would you emphasize?


Charlotte Cook is a registered nurse (RN) who has three certified nursing assistants (CNAs) (Sally, John, and Betty) reporting to her at Longview Nursing Facility. Cook is 48 years old and has worked for Stanley George, the CEO, for 10 years.

Cook is confronted with a leadership problem. Sally, who has worked for Cook for S years, is 40 years old, cooperative, dependable, skilled, and an excellent performer, John, who is 28, transferred from another nursing unit 2 months ago after working there for I year. The

(~" CEO told Cook that he was transferring John because John could not get along with his RN

"_) supervisor on that unit. The RN supervisor is 2 years younger than John and they had a personality clash. In fact, rumors circulated that John disliked his RN supervisor because she was not satisfied with either his performance or his attitude, Furthermore, the RN supervisor's predecessor and John had been very close socially, she was not demanding of John, and she often made exceptions for him. This had made the other CNAs on that unit resent Jolm, and they had nothing to do with him. Betty is 30 years old and has worked for Cook for the year she has been at Longview. Her performance is acceptable, although she requires some direct supervision. She and Cook have a good relationship,

Four weeks ago John began complaining to Sally and Betty. He criticized Mr. George and Ms. Cook and was generally "anti-everything" about Longview and its staff, particularly the RN supervisor on his previous unit and Cook. He was uncooperative, often did his job poorly, and gossiped constantly with the patients. Cook has noticed that John always seems to be with Betty during their free time and that Betty tends to agree with him about things on the unit. Cook feels that, if the situation is ignored, matters could get worse.

Presume that CNAs are difficult to recruit and retain and that Cook does not want to discharge John, at least for the present.


1. What leadership style should Cook.use with Sally? With Jolm?,

2. How should Cook approach and interact with Betty?

3. What should Cook do if John does not change?

4. Did Mr. George do the correct thing in transferring John?

S. What could Mr. George have done to remedy the situation at the time he transferred Jobn?


Memorial Hospital is a SOO-bed teaching hospital located in a thriving city. In recent years other hospitals in the area have reduced Memorial's market share. The outgoing president had



been preoccupied with issues of a deteriorating physical plant and loss of professional staff to other area hospitals and systems.

The governing body formed an ad hoc search committee to find a new hospital president. The committee plans to use a national executive search firm but wants to develop a clear picture of the person who will lead the HSO back to preeminence in the city before talking with the search firm.

Mr. Adams, a hospital trustee and president of a large financial services company, is chair of the ad hoc committee. He has convened the committee to develop a list of capabilities the president should possess so that this information can be provided to the search firm.

Assume that you are a member of this committee.


1. What capabilities should the new president possess? Rank them in order.

2. Should this person be more skilled at the supervisor-subordinate interface or at organization-level leadership? How will the committee distinguish between skill at the two types of leadership?

3. Some committee members point out that the situation at Memorial is unique; therefore, finding a person who was successful at another hospital will not guarantee success at Memorial. What would be your position on this issue?


There are 22 hospitals in a large eastern city. Each is independent of the others, except that three ofthe largest are affiliated with the local medical school for purposes of teaching medical students. The others range in size from 180 beds to 600 beds; about half are sponsored by religious organizations. There is one large public hospital, and three hospitals are investor owned. The others are not-for-profit community hospitals.

The state planning commission has argued for years that there are excess beds and overuse of services in the community and that this could be relieved through merger and consolidation of some of the hospitals. All of the hospitals have resisted this strategy and continue to be autonomous.


1. What role should the hospital CEOs play in addressing the question of merger or consolidation to solve the excess bed problem? Who else should playa role? Is this a "leadership" problem?

2. Assume that you are one of the hospital CEOs and that you want your institution to merge with one or more of the other hospitals. What problems do you face? How could these problems be overcome?

3. A local newspaper ran a series of articles on the issue, culminating with a harsh editorial that challenged hospital leaders to meet to discuss merger or consolidation as a way to solve the excess bed problem and reduce costs. Assume that you are one of the CEOs and that you want to convene such a meeting. How would you approach other CEOs to arrange this meeting? How might they respond? Why?


For each of the following 10 pairs of statements, divide five points between the two according to your beliefs, perceptions of yourself, or according to which of the two statements char-


Managing Relationships

acterizes you better. The five points may be divided between the A and B statements in any way you wish with the constraint that only whole positive integers may be used (i.e., you may not split evenly, giving 2.5 points to each). Weigh your choices between the two according to the one that better characterizes you or your beliefs.

1. A. As a leader, I have a primary mission of maintaining stability.

B. As a leader, I bave a primary mission of change.

2. A. As a leader, I must cause events.

B. As a leader, I must facilitate events.

3. A. I am concerned that my followers are rewarded equitably for their work.

B. I am concerned about what my followers want in life.

4. A. My preference is to think long range; what might be.

B. My preference is to think short range; what is realistic.

5. A. As a leader, I spend considerable energy in managing separate but related goals.

B. As a leader, I spend considerable energy in arousing hopes, expectations, and aspirations among my followers.

6. A. Although not in a formal classroom sense, I believe that a significant part of my leadership is that of teacher.

B. I believe that a significant part of my leadership is that of facilitator.

7. A. As leader, I must engage with followers at an equal level of morality.

B. As a leader, I must represent a higher morality.

8. A. I enjoy stimulating followers to want to do more.

B. I enjoy rewarding followers for ajob well done.

9. A. Leadership should be practical.

B. Leadership should be inspirational.

10. A. What power I have to influence others comes primarily from my ability to get people to identify with me and my ideas.

B. What power I have to influence others comes primarily from my status and

Scoring Key
Transformational Transactional
Your point(s) Your point(s)
I. B I. A
2. A 2. B
3. B 3. A
4. A 4. B
5. B 5. A
6. A 6. B
7. B 7. A
8. A 8. B
9. B 9. A
10. A 10. B
Column totals: Note: The higher colunm total indicates that you agree more with, and see yourself as more like, either a transformational leader or a transactional leader.


Managing Relationships




A management consultant asked the group of mid-level executives he was working with to consider several facts about how geese fly and suggested an associated lesson from each fact as follows:

the least-effective supervisor, place a circle around the number that indicates how true you believe the statement to be.

Most effective X

Least effective 0

Fact 1: As each bird flaps its wings, it creates an uplift draft for the bird following. By flying in a "V" formation, the whole flock adds a greater flying range than if one bird flew alone.

Lesson 1: People who share a common direction and sense of community can get where they're going quicker and more easily because they are traveling on the strength of one another.

Fact 2: Whenever a goose falls out of formation, it suddenly feels the drag and resistance of trying to fly alone and quickly gets back into formation to take advantage of the lifting power of the bird immediately in front.

Lesson 2: If we have as much sense as geese, we will stay in formation and be willing to accept help when we need it and give help when it is needed.

Fact 3: When the lead goose gets tired, it rotates back into the formation, and another goose flies in the point position.

Lesson 3: Geese instinctively share the task of leadership and do not resent the leader. Fact 4: The geese in formation honk from behind to encourage those up front to keep up their speed.

Lesson 4: We need to make sure our honking from behind is encouraging and 1I0t something else.

Fact 5: When a goose gets sick, is wounded or is shot down, two geese drop out of formation and follow it down to earth to help and protect it. They stay with-their disabled companion until it is able to fly again or dies. They then launch out on their own or with another formation or catch up with the flock.

Lesson 5: If we have as much sense as geese, we, too. will stand by one another in difficult times and help the one who has dropped out regain his place in the formation.


1. Do you think the lessons suggested by the consultant have any relevance to leadership in HSOsIHSs? If so, what is it?

2. How does the leadership behavior of geese differ from managers' leadership roles?

1. My supervisor would compliment me if I did
outstanding work. 2 3 4 5 6 7
2. My supervisor maintains definite standards
of performance. 2 3 4 5 6 7
3. My supervisor would reprimand me if my
work were consistently below standards. 2 3 4 5 6 7
4. My supervisor defines clear goals and
objectives for my job. 2 3 4 5 6 7
5_ My supervisor would give me special recog-
nition if my work pertormance were espe-
cially good. 2 3 4 5 6 7
6. My supervisor would "get on me" if my work
were not as good as he or she thinks it
shoulc be. 2 3 4 5 6 7
7. My supervisor would tell me if my work
were outstanding. 2 3 4 5 6 7
B. My supervisor establishes clear performance
guidelines. 2 3 4 5 6 7
9. My supervisor would reprimand me if I were
not making progress In my work. 2 3 4 5 6 7
Instructions: For each of the three scales CA, E, and C), compute a total score by summing
the answers to the appropriate questions and then subtracting the number 12. Compute a score
for both the most-effective and the least-effective supervisors, CASE STUDY 6: SUPERVISORY BEHAVIOR QUEST/ONNAIReo

Instructions: This questionnaire is part of an activity that is designed to explore supervisory behaviors. It is not a test; there are no right or wrong answers.

Think about supervisors (managers) you have known or know now, and then select the most-effective supervisor and the least-effective supervisor (effective is defined as being abJe to substantially influence the effort and performance of subordinates).

Read each of the following statements carefully. For the most-effective supervisor, place an X over the number that indicates how true or untrue you believe the statement to be. For

Question Most Least Question Most Least Question Most Least
Number Effective Effective Number Effective Effective Number Effective Effective
2. +( + ( 1. + ( +( 3. + ( +(
4. + ( +( 5. + ( + ( 6. + ( + (
S. + ( +( 7. + ( + ( 9. + ( + (
Subtotal SUbtotal SUbtotal
( ) ( ) ( ) ( ) ( ) ( )
- 12 - 12 - 12 - 12 - 12 - 12
Total Total Total
Score ___ Score ___ Score ___
A A B B C C Leadership


Next, on the following graph, write in a large "X" to indicate the total score for scales A, B, and C for the most effective supervisor. Use a large "0" to indicate the scores for the least-effective supervisor.

A. Goal Specification Behavior

B. Positive Reward Behavior

C. Punitive Reward Behavior


I. Describe the profile of attributes or characteristics of the most-effective supervisor reflected in the A, E, and C scales above.

2. Describe the profile of attributes or characteristics of the least-effective supervisor reflected in the A, E, and C scales above.


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Managing Relationships

14. Jago, Arthur G. "Leadership: Perspectives in Theory and Research." Management Science 28 (March

1982): 315-336.

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Managing Relationships

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