Leadership:

A Brief Review of Traditional, Recent, and Emerging Concepts

John C. Lammers

for the Public Health Institute,

Population Leadership Program

March 9, 2000

Contact: John C. Lammers, Ph.D.

Associate Professor
Department of Communication
University of California
Santa Barbara, CA 93106-4020
Phone: 805-893-3813
Fax: 805-893-8279
Internet: lammers@sscf.ucsb.edu

This paper was made possible through support provided by the Office of Population, Bureau
for Global Affairs, U.S. Agency for International Development, under the terms of Grant number
CCP-A-00-94-00014-4. The author wishes to thank Valerie Barker, Joshua Barbour, and Jeffrey
Farrar for their assistance on this project.
 Leadership concepts review, page 2 of 26

Leadership:
A Brief Review of Traditional, Recent, and Emerging Concepts

Abstract

Traditional and current concepts in leadership development are discussed, with an

emphasis on prominent work with empirical foundations. Traditional approaches
include the focus on personal traits, observable behaviors, and situational constraints.
Selected leading models published in the last ten years are presented and compared
to traditional forms. Recent models emphasize organizational contexts and team or
group work in addition to individual attributes or behaviors. Likely new areas of
concentration in leadership training and development are identified, including cultural
context, spiritual perspectives, and intercultural communication competence.

Outline

Introduction: prevalence and importance of leadership literature

Traditional schools of thought regarding leadership: trait, behavior, situation

Recent contributions to leadership thinking

Emerging concepts for leadership

Bibliography and references

Tables

Table 1 Personal traits found to be associated with successful leadership

Table 2 Behaviors identified with successful leadership efforts

Table 3 The Hersey-Blanchard Situational Leadership Model

Table 4 Top 10 programs for nondegree study in management and leadership

Table 5 26 best selling formulaic leadership books as of January 2000

 Leadership concepts review, page 3 of 26

Introduction

There may be more written about the concept of leadership than any other single topic in

the social and management sciences. Bass (1990) reviewed 7,500 publications for his 1,000-page

review of leadership. ABI/Inform, a highly regarded on-line business reference data base, in

January 2000 lists 23,962 books and articles published under the keyword “leadership” since

1971. The topic is currently more popular than ever. Amazon.com, the successful on-line

bookseller, lists 7,226 currently available book titles under the heading of leadership. It is a topic

about which much is said.

Leadership also is a concept that is defined in many ways. Bennis has identified 300

different characteristics of an effective leader in his publications (please see the bibliography).

Bass (1990) found nine major taxonomies of leadership characteristics with 58 unique and

overlapping leadership categories. The popular and professional leadership literature is full of

confidently numbered prescriptions: seven habits (Covey, 1989, 1990); five disciplines (Senge,

1990); 21 irrefutable laws (Maxwell, 1998); five temptations (Lencioni, 1998); five challenges

(Kouzes & Posner, 1990); eight reasons leaders’ change efforts fail (Kotter, 1996); three levels

(Clawson, 1998); seven intentions (Chappell, 1999), and so on.

With all the work that is being accomplished in the leadership arena, a sense of

crisis about leadership seems ever-present:

The crisis of leadership we're experiencing today isn't limited.... It is occurring in

government and business organizations throughout the world. But there is no quick-
 Leadership concepts review, page 4 of 26

fix solution. We need to meet the many challenges of leadership, which include the

following: describing and animating the goals of an organization, embodying and

impelling its values, motivating employees, customers and broader constituencies,

engendering a sense of trust in the organization, and managing its scarce resources

so that goals can be achieved. (Weathersby, 1998).

Fifteen years ago, Bennis and Nanus (1985) also noted a chronic crisis of leadership in

American institutions; that is, the pervasive inability of organizations to cope with the

expectations of their constituents. This is now an overwhelming factor worldwide. They

conclude, “if there was ever a moment in history when a comprehensive strategic view of

leadership was needed, not by just a few leaders in high places but by large numbers of leaders in

every job.... this is certainly it. Now is the time....”

The following brief review is divided into three sections: traditional schools of thought

regarding leadership; recent popular thinking on leadership, and new directions that leadership

experts and consultants are likely to take. The aim here is not to be comprehensive but selective,

with a focus on the most prominent and enduring ideas. Moreover, this selective review focuses

on models (rather than anecdotal or biographical accounts) that have or claim to have empirical

foundations. Nevertheless, a short review will inevitably do injustice to important ideas. Thus,

this paper should be considered an introduction, rather than the final word on leadership

principles.
 Leadership concepts review, page 5 of 26

Traditional schools of thought regarding leadership: Traits, Behaviors, and Situations

Trait refers to innate characteristics of persons. The earliest leadership research focused

on traits such as age, height and weight, physique, energy, health, appearance, fluency, and

intelligence. Later research studied personality features such as originality, adaptability,

introversion-extroversion, dominance, initiative, integrity, and self-confidence. As research in this

vein continued, more social-psychological traits were studied, such as social activity, popularity,

mobility, and cooperation; the research even began to consider the interaction of traits and

situations. In a review of all of this literature, which spanned roughly the years 1904-1947, Bass,

(1990, p. 76) concluded that only a few traits could predict leadership success: capacity,

achievement, responsibility, participation, status, and situation (see Table 1).

Table 1
Personal traits found to be associated with successful leadership*

Trait Description

Capacity intelligence, alertness, verbal facility, originality, and judgement

Achievement scholarship, knowledge, and athletic accomplishments

Responsibility dependability, initiative, persistence, aggressiveness, self-confidence,

and the desire to excel

Participation activity, sociability, cooperation, adaptability, and humor

Status socioeconomic position and popularity

Situation mental level, status, skills, needs and interests of followers, and
objectives to be achieved
*adapted from Bass, 1990, p.76.
 Leadership concepts review, page 6 of 26

In assessing the studies of leadership traits through 1989, and focusing on 52 studies

deemed scientifically reliable, Bass (1990, p. 85) further concluded that the trait characteristics of

leaders included:

• strong drive for responsibility and task completion

• vigor and persistence
• venturesomeness and originality in problem solving
• drive to exercise initiative in social situations
• self confidence and a sense of identity
• willingness to accept consequences of risk
• readiness to absorb stress and to tolerate frustration
• ability to influence others
• capacity to structure social situations

Discussion of traits. Clearly, many strictly genetic traits--like age, gender, height, or

weight--do not predict successful leadership. In addition, many of the traits found to correlate

with leaders’ success appear to be habits, preferences, or even learned behaviors. For example, a

somewhat softened view of traits is the set of 16 personality preferences measured by the Myers

Briggs Type Indicator (Myers & Brigs) Other instruments have been developed to test

individuals’ unexamined preferences and habits in conflict management, facing change, and

interpersonal relations. Yet trait theories also survive today in the popular anecdotal accounts of

successful leadership attributed to historical figures, such as Crocker’s Robert E. Lee on

Leadership: Executive Lessons in Character, Courage, and Vision (1999), Phillip’s Lincoln on
 Leadership concepts review, page 7 of 26

Leadership: Executive Strategies for tough times (1993), Axelrod’s Patton on Leadership:

Strategic Lessons for Corporate Warfare (1999), or Robert’s Leadership Lessons of Attila the

Hun (1991), each of which is currently a top-ranked title of book wholesalers.

Behavior, although it may be influenced by genetic traits, also is the result of learning or

training. There is not complete agreement on where inherited traits leave off and behaviors begin,

but it is agreed that behaviors are directly observable while traits must be inferred from behaviors

or reports (Davis & Luthans, 1979). In general, behavioral models of leadership historically

followed investigations of traits. By the 1980's a considerable number of investigations lead Yukl

(1981) to identify fifteen observable behaviors correlated with successful leadership (see Table

2). Yukl’s conclusions have been reiterated by other writers, as well (e.g., Block, 1986). In

addition, it appears that the behaviors observed as conducive to successful leadership can be

summarized as the skillful use of information (about goals, rewards, or tasks) critical to a group’s

goal achievement in an energetic and compelling way. Further research into behaviors

associated with successful leadership seems to lead back toward traits. Research indicates that in

addition to the behaviors noted above, task competence, that is, applied intelligence, is associated

with successful leadership. McCall and Lombard, in their study of failed leaders, observed that

social behaviors alone are insufficient at higher levels of organizational leadership: “the charming-

but-not-brilliant [leaders] find that the job gets too big and the problems too complex to get by on

interpersonal skills” (1983, p.11).

 Leadership concepts review, page 8 of 26

Table 2
Behaviors identified with successful leadership efforts*

Efforts to inspire others Goal setting

Efforts to communicate the importance of Informing others about progress

good performance

Displays of friendly, supportive behavior Taking initiative to propose solutions

Verbal praise and recognition Preparation of plans and priorities

Verbal directions toward goals Coordination and facilitation of work

Encouraging participation in decision-making Serving as a group or organization’s

representative

Clarification of roles Encouraging conflict resolution

Criticizing poor performance

* from Yukl, 1981

Discussion of behaviors. A behavioral approach to leadership gives hope to those who

would like to learn how to lead; we can observe others’ efforts and modify our own approaches.

A behavioral approach does not simplify leadership however, for as Table 2 above shows, the 15

behaviors associated with successful leadership are varied and complex. And researchers still

have not successfully teased out the role of traits, or for that matter, situational influences.

Situation. The observation that behaviorally observable competence--perhaps a

manifestation of the trait of intelligence--is essential to leadership has lead to the single most

enduring distinction in the leadership literature: the need for the leader to be proficient in

attending to task requirements while simultaneously proficient in attending to group members’

personal and social needs. Two prominent models emphasize these variables. Hersey and
 Leadership concepts review, page 9 of 26

Blanchard (1969a, 1969b, 1974, and 1982a) combined leaders behaviors--either emphasizing the

task or interpersonal relations--with the maturity of group members in a powerful model that.

predicts success in differing situations (see Table 3). The Hersey-Blanchard model combines the

behavioral identification of task and social competence with the observation that all groups have a

life cycle of experience and motivation. As group members grow in maturity, that is, expertise

and motivation, the behaviors necessary for the leader to be effective also shift and change. Early

in a group’s work, the leader must emphasize the task; eventually as the group matures, the

leader may shift emphasis to social support, and eventually is needed less as a task or social

support agent.

In a related scheme, Blake and Mouton developed the Managerial Grid, which maps out

the possibilities of managers’ or leaders’ concern for people or concern for production in a nine

by nine grid. High people concern combined with a low production concern they label “the

country club manager,” whose central problem is thoughtful attention to people. High concern

for production combined with low concern for people results in the “authority-obedience” style.

In contrast, low concern for both people and production yields impoverished management or

leadership, while high concern for production and people they term “team management” (Blake

& Mouton, 1985, p.12).

 Leadership concepts review, page 10 of 26

Table 3
The Hersey-Blanchard Situational Leadership Model

Leader’s Behavior Should

Be Oriented Toward...
Subordinates Level Prescribed Leadership
of Maturity Relations Task Behavior
1. Unable-unwilling Low High Telling
2. Unable-willing High High Selling
3. Able-unwilling High Low Participating
4. Able willing Low Low Delegating

Many other situational effects upon leadership have been identified by researchers,

including market forces (Burns and Stalker, 1961); environmental stability or turbulence

(Lawrence & Lorsch, 1967); and political or legal influences (Pfeffer, 1972). Situational concerns

also take into account the size, age, and industrial sector or policy arena of the leader’s

organization. While leadership in various types of organizations has been studied, few conclusive

studies show how the leader of a public organization should behave differently from the leader of

the private organization. The latest version of concern about situational effects concerns

organizational cultures. Schein (1985) observed that leaders’ efforts to change organizations must

take into account culturally specific beliefs regarding time and space, the nature of work, the

nature of human relations, and the nature of knowledge. It is likely that the cultural aspect of

leadership situations will become more important in global, cross-national, and multicultural

organizations.
 Leadership concepts review, page 11 of 26

Recent contributions to leadership thinking

In the last ten years, leadership has become an ever more popular topic. Hundreds of

schools and universities offer programs and courses on leadership, in addition to the programs

offered by major university business schools. Also, a number of non-university based programs

have developed, one of which ranks among the top programs in management (see Table 4).

Characteristic of many programs is the role of consultants and faculty who have published works

growing out of their academic research and private consulting (just two examples: Astin and

Leland, 1991, from the Center for Creative Leadership; and Kotter, 1988, 1996, of Harvard

University’s Business School).

Table 4
Top 10 Programs for Nondegree Study in Management and Leadership

Rank Name Location

1 Harvard University Boston, MA

2 University of Michigan Ann Arbor, MI

3 University of Pennsylvania Philadelphia, PA

4 Northwestern University Evanston, IL

5 Stanford University Stanford, CA

6 University of Virginia Blacksburg

7 Center for Creative Leadership Greensboro, NC

8 Duke University Durham, NC

9 INSEAD Paris

10 Columbia University NYC

Source: Business Week Magazine
 Leadership concepts review, page 12 of 26

In addition, the sale of books on the topic of leadership is brisk. New models of

leadership consist of many of the elements established by social science evidence earlier in the

century. Table 5 shows the 26 most popular titles in the United States on the subject of

leadership. The titles included are only those works with some formula or model for leadership,

and are drawn from the records of the largest book wholesaler in the U.S. The titles reflect a bias

toward an individualistic behavioral perspective. Additionally, these prescriptions tend to be

based on anecdotal evidence from personal experience or consultancy contexts rather than

empirical research. One example of a leadership prescription incorporating an individualistic

behavioral approach is Covey’s Seven Habits of Highly Effective People:

• Be Proactive (take initiative)

• Begin with the End In Mind (develop a vision of the future)
• Put First Things First (set priorities based on high values)
• Think Win/Win (emphasize cooperation)
• Seek First to Understand, Then Be Understood (listen and empathize)
• Synergize (look for novel solutions)
• Sharpen The Saw (return to fundamental needs)

By contrast, based on interviews with several hundred managers and leaders, Kouzes and

Posner (1996), identify the following challenges of leadership:

• Challenging the Process (verbally questioning the way things are done)
• Inspiring a Shared Vision ( motivating subordinates with inspiration language)
• Enabling Others to Act (empowering with authority and staying out of the
way)
 Leadership concepts review, page 13 of 26

• Modeling the Way (acting the way one wants other to behave)
• Encouraging the Heart (recognizing what is valuable to subordinates and
offering validation

Four of Kouzes and Posner’s challenges can be recognized as people- or socially-oriented

implicitly concerned with empowering followers as much as exercising personal leadership

(challenging, inspiring, enabling, and encouraging), while a fifth (modeling) may play role in task

accomplishments.

Peter Senge’s (1990) framework is composed of disciplines, or repeated practices

conducive to leading an organization successfully. It appears to emphasize situational elements

over traits, but identifies a blend of behavior and situational concerns:

• Team learning - the use of open dialogue to explore variations and commonalities in a
group’s thinking
• Mental models - the identification of taken for granted ways of perceiving and
solving problems
• Shared vision - the development of a common view of the future
• Personal mastery - increased self-awareness
• Systems thinking - recognizing the patterns and interconnections in and around
organizations

Senge is concerned with the leader's role in developing an organization’s capacity to learn,

that is, to adapt successfully to its internal as well as its external environment. He highlights the

interconnected nature of organizations delineated by systems. Leaders must understand their

worlds in terms of complex systems rather than isolating individual components. The

transformational nature of leadership is highlighted by the emphasis on personal mastery,

 Leadership concepts review, page 14 of 26

examination of mental models and the development of shared vision. “Personal mastery is the

discipline of continually clarifying and deepening our personal vision, of focusing our energies, of

developing patience, and seeing reality objectively” (p. 7). Limiting mindsets can be illuminated

and discarded by personal analysis and mastery of mental models. Personal vision is translated

into shared vision by communicating a common identity and a sense of destiny to organizational

members. This is achieved through team learning rather than prescription from the top down.

Kotter’s (1996) eight-step process of leading change provides a mechanism oriented

toward behavior, but like Senge seems to emphasize groups:

• Establishing a sense of urgency by analyzing competition and identifying

potential crises
• Putting together a powerful team to lead change
• Creating a vision
• Communicating the new vision, strategies, and expected behavior
• Removing obstacles to the change and encouraging risk taking
• Recognizing and rewarding short-term successes
• Identifying people who can implement change
• Ensuring that the changes become part of the institutional culture for long-

term transformation and growth

DePree (1990) emphasizes the importance of relationships and values in leadership. A

leader might be compared to a detached but caring and supportive parent. According to DePree,

“…the art of leadership: liberating people to do what is required of them in the most effective

and humane way possible” (p. 1). The leader creates an atmosphere where the people in the

organization can succeed. In this way, the leader takes a back seat to the people in organizational
 Leadership concepts review, page 15 of 26

success. The leader is a facilitator not a producer of organizational success. The role of facilitator

includes some unique responsibilities:

• Leaders should make a measured contribution. They must leave behind a legacy
• Leaders should generate momentum through a clearly articulated and shared vision
• Leaders should enable others and encourage leadership in others.
• Leaders should encourage participatory action where all members of an
organization become committed to the organization’s success
• Leaders must take a role in developing, expressing, and defending values

Contemporary approaches to leadership hold in common the view that leadership

skills can be learned. Although charisma and the ability to transform organizations through

inspired leadership remain important, the idea that all leaders are born is spurious. Over the

long-term, in a variety of ways -- mentoring, on-the-job experience, self-knowledge, and

through training --leaders develop and are developed. An important source of this

perspective is the Center for Creative Leadership (CCL). This organization is the top

nonprofit organization in its field; in addition to consultancy and training, their work

consists of conducting empirical research in the area of leadership. Their book The

Lessons of Experience: How successful executives develop on the job (McCall, Lombardo,

& Morrison, 1988) is based on interview data gathered from 191 successful executives. It

delineates five "lessons" for leaders that involve the need for self-awareness in terms of

organizational tasks and relationships and the necessity:

• Setting and implementing agendas

• Handling relationships

• Basic values
 Leadership concepts review, page 16 of 26

• Executive temperament

• Personal Awareness

Discussion of currently popular models. As reviewed above, much of the currently popular

leadership wisdom recapitulates earlier formulas of traits, behaviors, and situational forces.

However, some important new themes and concepts are developed that underscore the

learned, developmental and proactive nature of leadership, examples of these include

teamwork, values, self-awareness, communication, vision, empowerment, and

interconnectedness. Many of these aspects are encapsulated in the still popular classics

Leaders: Strategies for Taking Charge (Bennis & Nanus, 1985) and On Becoming a Leader

(Bennis, 1989) -- as a sample of their chapter headings of the latter shows:

Bennis Bennis & Nanus

Mastering Context Attention Through Vision

Knowing Yourself Meaning Through Communication

Knowing the World Trust Through Positioning

Getting People on Your Side Deployment of Self

Forging the Future

Emerging concepts for leadership

Identifying emerging concepts may be somewhat like picking securities; the

currency of ideas rises and falls. But based on the work that is currently popular, and the

concerns of modern organizations, some issues emerge: the importance of group

communication, spirituality, and cultural issues.

Group Communication: Dialogue. Emerging partly out of Senge’s concern for team and
 Leadership concepts review, page 17 of 26

organizational learning, and partly out of the search for new ways to deal with conflict (at an

interpersonal, organization as well as at a global scale) three new works have recently been

published that emphasize dialogue as an essential group process that requires leaders’

support and commitment. Yankelovich (1999), a leading market researcher, argues that

dialogue is at the heart of how Americans decide how their values drive voting and

purchasing decisions. Yankelovich’s book his quickly risen among Amazon.com’s millions

of titles to under the 3,500 rank. Isaacs, an Oxford-trained MIT-based researcher and

consultant, applies a combination of quantum physics and eastern mysticism in his

arguments about the importance of dialogue. And Ellinor and Gerard place dialogue

squarely in the context of modern American organizations faced with complexity and

conflict.

Values and spirituality. Both popular and more established authors are emphasizing the

role of values in leadership (Jones, 1998a, 1998b; O'Toole, 1996; Blanchard & O'Connor, 1997).

While some of the literature in this vein emphasizes Christian principles (Jones 1998b), it

seems clear that the role of values in leadership is receiving new emphasis. The widespread

popularity of Covey’s work (1989, 1992) emphasizes value clarification. Yet, the concept

remains illusive and little in the way of valid indicators of values and the role they play in

leadership success is available.

Cultural issues. Globalization is easily the strongest situational factor facing leaders

today; it drives workforce diversity, coordination of services, effective communication,

ethnic identity and inter-ethnic understanding, just to name a few major issues. While

considerable work has been accomplished in understanding the relations among western

European societies (Hofstede, 1980) and Western versus Eastern societies (particularly

Japan), less is understood about the key needs of leaders in multi-cultural, cross-national

situations, becoming so commonplace today. Just one factor likely to gain in recognition in
 Leadership concepts review, page 18 of 26

the near future is the leader’s cultural communication competence (Hajek and Giles, 2000).

Hajek and Giles draw on the work of Harvard psychologist Ellen Langer (1989) to develop a

notion of cognitive preparedness for intercultural communication. Langer’s work identifies

mindfulness as a key behavior conducive to learning in the intercultural context. The

cognitive state of mindfulness is a condition of active awareness, a process of forming new

categories, and viewing situations in new ways. Alternatively, mindlessness occurs when

individuals consider available information and alternatives incompletely, rigidly, and

thoughtlessly. Other cognitive states similar to mindfulness include “openness to change,”

“sense of presence,” and “situational awareness.”

These inter-related concepts (dialogue, values, and cultural issues) emerge as key to

leadership development. Not only are there signs in the popular leadership literature, but

also their importance is underscored by empirical research by respected researchers (for

example, Giles is one of the world’s leading experts on intergroup communication research,

and past president of the International Communication Association; Langer is an eminent

scholar and best-selling author on innovative learning). Leaders' core values and the

promotion of dialogue will impact intercultural competence. As the work place becomes

more diverse, and the world becomes smaller, leaders must be prepared to confront cultural

differences constructively and effectively for the good of all.

 Leadership concepts review, page 19 of 26

Table 5
26 Best Selling Formulaic Leadership Books as of January 2000*

Rank Author Title Date

After 1998

1. Maxwell, J. The 21 irrefutable laws of leadership: Follow them and people will follow you. 1998

2. Blanchard, K. The heart of a leader: Insights on the art of influence. 1999

3. Smith, P. Rules & tools for leaders. 1998

4. Ledeen, M. Machiavelli on modern leadership: Why Machiavelli's iron rules are as timely and 1999
important today as five centuries ago.

5. Wheatley, M Leadership and the new science: Discovering order in a chaotic world 1999

Before 1998

1. Kouzes, J., & Posner, B. The leadership challenge: How to keep getting extraordinary things done in 1996
organizations.

2. Kotter, J Leading change. 1996

3. DePree, M. Leadership is an art. 1990

4. Senge, P. The fifth discipline: The art and practice of the learning organization. 1994

5. Jones, L. Jesus, CEO: Using ancient wisdom for visionary leadership. 1996

6. Blanchard, K. Leadership and the one-minute manager: Increasing effectiveness through situational 1985
leadership.

7. Wess, R. Leadership secrets of Attila the Hun. 1991

8. Tichy, N. The leadership engine: How winning companies build leaders at every level. 1997

9. Bennis, W. On becoming a leader. 1994

10. Toogood, G. The articulate executive: Learn to look, act and sound like a leader. 1997

11. Drucker, P. The effective executive. 1993

12. Heifetz, R. Leadership without easy answers. 1994

13. Bennis, W. Leaders: The strategies for taking charge 1997

14. Quinn, R. E. Deep change: Discovering the leader within. 1996

15. Hesselbein, F. The leader of the future 1997

16. Greenleaf, R.K. Servant leadership: A journey into the nature of legitimate power and greatness. 1997

17. Jaworski, J. Synchronicity: The inner path of leadership. 1998

18. O'Toole, J. Leadership A to Z: A guide for the appropriately ambitious 1998

19. Scholtes, P.R. The leader's handbook: Making things happen, getting things done. 1998

20. Covey, S. R. Principle-Centered leadership. 1992

21. Bolman, L. G. Leading with the soul: An uncommon journey of spirit 1995
* Source: The Ingram Company
 Leadership concepts review, page 20 of 26

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