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BRIEF CONTENTS
Preface xv
Chapter 1 Introduction: The Nature of Leadership 1

Chapter 2 Nature of Managerial Work 23
Chapter 3 Effective Leadership Behavior 48
Chapter 4 Leading Change and Innovation 76
Chapter 5 Participative Leadership and Empowerment 105
Chapter 6 Leadership Traits and Skills 135
Chapter 7 Contingency Theories and Adaptive Leadership 162
Chapter 8 Power and Influence Tactics 185
Chapter 9 Dyadic Relations and Followers 221
Chapter 10 Leadership in Teams and Decision Groups 247
Chapter 11 Strategic Leadership in Organizations 276
Chapter 12 Charismatic and Transformational Leadership 309
Chapter 13 Ethical, Servant, Spiritual, and Authentic Leadership 340
Chapter 14 Cross-cultural Leadership and Diversity 360
Chapter 15 Developing Leadership Skills 381
Chapter 16 Overview and Integration 404
References 424
Author Index 483
Subject Index 499
vii
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TABLE OF CONTENTS
Preface xv
Chapter 1 INTRODUCTION: THE NATURE OF LEADERSHIP 1

Definitions of Leadership 2
Indicators of Leadership Effectiveness 8
Major Perspectives in Leadership Theory and Research 10
Level of Conceptualization for Leadership Theories 14
Other Bases for Comparing Leadership Theories 18
Organization of the Book 20
Summary 20
Review and Discussion Questions 21
Chapter 2 NATURE OF MANAGERIAL WORK 23

Activity Patterns for Managers 24
Decision Making and Planning by Managers 26
Managerial Roles 29
Demands, Constraints, and Choices 31
Other Determinants of Managerial Work 34
Limitations of the Descriptive Research 39
Guidelines for Managers 40
Summary 44
CASE: Acme Manufacturing Company 45
CHAPTER 3 EFFECTIVE LEADERSHIP BEHAVIOR 48

Ways for Describing Leadership Behavior 48
Major Types of Leadership Behavior 50
Methods for Studying the Effects of Leader Behavior 53
Effects of Task and Relations Behaviors 56
Planning Work Activities 58
Clarifying Roles and Objectives 59
Monitoring Operations and Performance 61
Supportive Leadership 63
Developing Subordinate Skills 65
ix
x Table of Contents
Providing Praise and Recognition 68

Summary 71
CASE: Consolidated Products 73
CASE: Air Force Supply Squadron 74
CHAPTER 4 LEADING CHANGE AND INNOVATION 76

Types of Change in Teams and Organizations 77
Change Processes 78
Reasons for Accepting or Rejecting Change 80
Implementing Change 81
Guidelines for Implementing Change 84
How Visions Influence Change 89
Collective Learning and Innovation 94
Guidelines for Enhancing Learning and Innovation 98
Summary 101
CASE: Ultimate Office Products 102
CHAPTER 5 PARTICIPATIVE LEADERSHIP AND EMPOWERMENT 105

Nature of Participative Leadership 106
Research on Effects of Participative Leadership 109
Normative Decision Model 111
Guidelines for Participative Leadership 115
Delegation 118
Guidelines for Delegating 122
Perceived Empowerment 126
Empowerment Programs 128
Summary 130
CASE: Echo Electronics 132
CASE: Alvis Corporation 133
CHAPTER 6 LEADERSHIP TRAITS AND SKILLS 135

Introduction to the Trait Approach 135
Personality Traits and Effective Leadership 138
Table of Contents xi
Skills and Effective Leadership 148

Managerial Competencies 151
Situational Relevance of Skills 153
Evaluation of the Trait Approach 156
Guidelines for Managers 157
Summary 159
CASE: National Products 160
CHAPTER 7 CONTINGENCY THEORIES AND ADAPTIVE

LEADERSHIP 162
General Description of Contingency Theories 163
Early Contingency Theories 164
Multiple-linkage Model 167
Conceptual Weaknesses in Contingency Theories 173
Research on Contingency Theories 174
Comparative Evaluation of Contingency Theories 175
Guidelines for Adaptive Leadership 177
Guidelines for Managing Immediate Crises 179
Summary 180
CASE: Foreign Auto Shop 182
CHAPTER 8 POWER AND INFLUENCE TACTICS 185

Power and Influence Concepts 185
Power Sources 188
How Power Is Gained or Lost 193
Consequences of Power 195
Guidelines for Using Power 197
Proactive Influence Tactics 201
Effectiveness of Proactive Tactics 206
Guidelines for Specific Tactics 210
Power and Influence Behavior 215
Summary 216
CASE: Restview Hospital 218
CASE: Sporting Goods Store 219
xii Table of Contents
CHAPTER 9 DYADIC RELATIONS AND FOLLOWERS 221

Leader-Member Exchange Theory 222
Leader Attributions About Subordinates 225
Leader Influence on Follower Emotions 227
Guidelines for Correcting Performance Deficiencies 227
Follower Attributions and Implicit Theories 231
Impression Management by Leaders and Followers 234
Follower Contributions to Effective Leadership 236
Self-Management 237
Guidelines for Followers 239
Summary 243
CASE: Cromwell Electronics 244
CASE: American Financial Corporation 245
CHAPTER 10 LEADERSHIP IN TEAMS AND DECISION

GROUPS 247
Determinants of Team Performance 248
Functional Work Teams 254
Cross-functional Teams 255
Self-managed Work Teams 258
Virtual Teams 261
Guidelines for Leading Teams 262
Leading Decision Groups 265
Guidelines for Leading Meetings 268
Summary 272
CASE: Southwest Engineering Services 273
CHAPTER 11 STRATEGIC LEADERSHIP IN ORGANIZATIONS 276

Determinants of Organizational Performance 277
How Leaders Influence Organizational Performance 281
Situations Affecting Strategic Leadership 284
Organizational Culture 286
Research on Effects of Strategic Leadership 289
Table of Contents xiii
Executive Teams 291

Emerging Conceptions of Organizational Leadership 294
Two Key Responsibilities for Top Executives 297
Guidelines for Strategic Leadership 299
Summary 302
CASE: Costco 303
CASE: Turnaround at Nissan 306
CHAPTER 12 CHARISMATIC AND TRANSFORMATIONAL

LEADERSHIP 309
Attribution Theory of Charismatic Leadership 310

Self-Concept Theory of Charismatic Leadership 312
Other Conceptions of Charisma 314
Consequences of Charismatic Leadership 317
Transformational Leadership 321
Research on Charismatic and Transformational
Leadership 324
Comparison of Charismatic and Transformational Leadership 328
Evaluation of the Theories 330
Guidelines for Inspirational Leadership 332
Summary 335
CASE: Astro Airlines 336
CHAPTER 13 ETHICAL, SERVANT, SPIRITUAL, AND AUTHENTIC

LEADERSHIP 340
Conceptions of Ethical Leadership 341

Dilemmas in Assessing Ethical Leadership 342
Determinants and Consequences of Ethical Leadership 344
Theories of Ethical Leadership 347
Evaluation of Ethical Leadership Theories 352
Guidelines for Ethical Leadership 354
Summary 357
CASE: Unethical Leadership at Enron 358
xiv Table of Contents
CHAPTER 14 CROSS-CULTURAL LEADERSHIP AND DIVERSITY 360

Introduction to Cross-cultural Leadership 361
Cultural Value Dimensions and Leadership 365
Evaluation of Cross-cultural Research 368
Gender and Leadership 370
Managing Diversity 376
Summary 378
CASE: Madison, Jones, and Conklin 379
CHAPTER 15 DEVELOPING LEADERSHIP SKILLS 381

Leadership Training Programs 382
Learning from Experience 384
Developmental Activities 385
Facilitating Conditions for Leadership Development 396
Systems Perspective on Leadership Development 398
Summary 401
CASE: Federated Industries 402
CHAPTER 16 OVERVIEW AND INTEGRATION 404

Major Findings About Effective Leadership 404
Multilevel Explanatory Processes 408
Toward an Integrating Conceptual Framework 415
Limitations in Leadership Research 417
Concluding Thoughts 421
References 424
Author Index 483
Subject Index 499
PREFACE
This book is about leadership in organizations. Its primary focus is on managerial leadership as
opposed to parliamentary leadership, leadership of social movements, or emergent leadership in
informal groups. The book presents a broad survey of theory and research on leadership in for-
mal organizations. Topics of special interest are the determinants of leadership effectiveness and
how leadership can be improved.
In this 8th edition, the following improvements were made to make the book easier to un-
derstand and more useful to most readers:
• Most chapters were revised for clarity and understanding (including Chapters 2, 3, 4, 6, 7,
9, 10, 12, 15, and 16).
• The order of Chapters 4 to 12 was modified to improve explanation of related topics.
• Several new examples of effective and ineffective leadership were added to Chapters 4, 6,
11, 13, and 14.
• More practical guidelines for effective leadership were added to Chapters 3, 6, 7, and 8.
• Several new examples were used in Chapters 3, 11, 12, and 14 to explain how research is
conducted.
• Over 100 citations to recent research were added throughout.
The basic structure of most chapters remains the same, but the order of some chapters was
changed and a few topics were moved to a different chapter. Citations to relevant recent literature
were updated, but given the increasing volume of studies on leadership, the citations are still selec-
tive rather than comprehensive. Since the book is not intended to be a history of leadership, it
seemed appropriate to reduce the amount of detail about early research programs and old theories
that are no longer popular, and focus more closely on what we now know about effective leadership.
The content of the book still reflects a dual concern for theory and practice. I have attempted
to satisfy two different audiences with somewhat different preferences. Most academics prefer a
book that explains and evaluates major theories and relevant empirical research. They are more
interested in how well the research was done, what was found, and what additional research is
needed than in the practical applications. Academics tend to be skeptical about the value of pre-
scriptions and guidelines for practitioners and consider them premature in the absence of further
research. In contrast, most practitioners want some immediate answers about what to do and how
to do it in order to be more effective as leaders. They need to deal with the current challenges of
their job and cannot wait for decades until the academics resolve their theoretical disputes and ob-
tain definitive answers. Practitioners are more interested in finding helpful remedies and prescrip-
tions than in finding out how this knowledge was discovered. Readers who desire to improve their
leadership effectiveness will find this edition of the book is even more useful than previous editions.
These different preferences are a one of the reasons for the much-lamented gulf between
scientists and practitioners in management and industrial-organizational psychology. I believe it
is important for managers and administrators to understand the complexity of effective leader-
ship, the source of our knowledge about leadership in organizations, and the limitations of
this knowledge. Likewise, I believe it is important for academics to think more about how their
theories and research can be used to improve the practice of management. Too much of our
leadership research is designed to examine narrow, esoteric questions that only interest a few
other scholars who publish in the same journals.
xv
xvi Preface
Academics will be pleased to find that major theories are explained and evaluated, findings
in empirical research on leadership are summarized, and many references are provided to help
readers find sources of additional information about topics of special interest. The field of lead-
ership is still in a state of ferment, with many continuing controversies about conceptual and
methodological issues. The book addresses these issues whenever feasible. However, the litera-
ture review was intended to be incisive, not comprehensive. Rather than detailing an endless
series of studies like most handbooks of leadership, the book describes major findings about ef-
fective leadership. The current edition reflects significant progress in our understanding of lead-
ership since the first edition was published in 1981.
For practitioners and students who desire to become effective managers, I attempted to
convey a better appreciation of the complexity of managerial leadership, the importance of hav-
ing theoretical knowledge about leadership, and the need to be flexible and pragmatic in applying
this knowledge. The current edition provides many guidelines and recommendations for im-
proving managerial effectiveness, but it is not a “practitioner’s manual” of simple techniques and
secret recipes that guarantee instant success. The purpose of the guidelines is to help the reader
understand the practical implications of the leadership theory and research, not to prescribe ex-
actly how things must be done by a leader. Most of the guidelines are based on a limited amount
of research and they are not infallible or relevant for all situations. Being a flexible, adaptive
leader includes determining which guidelines are relevent for each unique situation.
Most chapters have one or two short cases designed to help the reader gain a better under-
standing of the theories, concepts, and guidelines presented in the chapter. The cases describe
events that occurred in real organizations, but some of the cases were modified to make them
more useful for learning basic concepts and effective practices. For most of the cases, the names
of organizations and individuals were changed to keep the analysis focused on the events that oc-
curred in a defined time period, not on recent events that may involve different leaders and a new
context. The cases ask a reader to analyze behavioral processes, identify examples of effective
and ineffective behavior, and suggest effective ways to handle the situation that is depicted.
An instructor’s manual is available with detailed analyses of the cases and suggestions on
how to use them. The instructor’s manual also includes additional cases, exercises for use in class
(e.g., role plays), and some out-of-class activities that help students to understand how they can
apply the theory and guidelines. Finally, a test bank is available with multiple-choice items on the
major points in each chapter.
The book is widely used in many different countries, and some editions have been translated
into other languages, including Chinese, Korean, Indonesian, Spanish, Greek, Croatian, and
Swedish. With its focus on effective leadership in organizations, the book is especially relevant for
people who expect to become a manager or administrator in the near future, for people who will be
responsible for training or coaching leaders, and for people who will be teaching courses or work-
shops that include leadership as one of the key topics. The book is appropriate for use as the primary
text in an undergraduate or graduate course in leadership. Such courses are found in many different
schools or departments, including business, psychology, sociology, educational administration, public
administration, and health care administration. The book is on the list of required or recommended
readings for students in many doctoral programs in leadership, management, and industrial-
organizational psychology. Finally, the book is also useful for practicing managers and consultants
who are looking for something more than superficial answers to difficult questions about leadership.
Gary Yukl
Albany, New York
June, 2011
Chapter 1
Introduction: The Nature

of Leadership
Learning Objectives
After studying this chapter, you should be able to:
■ Understand the different ways leadership has been defined.
■ Understand the controversy about differences between leadership and management.
■ Understand why it is so difficult to assess leadership effectiveness.
■ Understand the different indicators used to assess leadership effectiveness.
■ Understand what aspects of leadership have been studied the most during the past 50 years.
■ Understand the organization of this book.
Leadership is a subject that has long excited interest among people. The term connotes images
of powerful, dynamic individuals who command victorious armies, direct corporate empires
from atop gleaming skyscrapers, or shape the course of nations. The exploits of brave and clever
leaders are the essence of many legends and myths. Much of our description of history is the
story of military, political, religious, and social leaders who are credited or blamed for important
historical events, even though we do not understand very well how the events were caused or
how much influence the leader really had. The widespread fascination with leadership may
be because it is such a mysterious process, as well as one that touches everyone’s life. Why did
certain leaders (e.g., Gandhi, Mohammed, Mao Tse-tung) inspire such intense fervor and dedi-
cation? How did certain leaders (e.g., Julius Caesar, Alexander the Great) build great empires?
Why did some rather undistinguished people (e.g., Adolf Hitler, Claudius Caesar) rise to posi-
tions of great power? Why were certain leaders (e.g., Winston Churchill, Indira Gandhi) sud-
denly deposed, despite their apparent power and record of successful accomplishments? Why
do some leaders have loyal followers who are willing to sacrifice their lives, whereas other lead-
ers are so despised that subordinates conspire to murder them?
1
2 Chapter 1 • Introduction: The Nature of Leadership
Questions about leadership have long been a subject of speculation, but sci-
entific research on leadership did not begin until the twentieth century. The focus
of much of the research has been on the determinants of leadership effectiveness.
Social scientists have attempted to discover what traits, abilities, behaviors, sources of power, or
aspects of the situation determine how well a leader is able to influence followers and accomplish
task objectives. There is also a growing interest in understanding leadership as a shared pro-
cess in a team or organization and the reasons why this process is effective or ineffective. Other
important questions include the reasons why some people emerge as leaders, and the determi-
nants of a leader’s actions, but the predominant concern has been leadership effectiveness.
Some progress has been made in probing the mysteries surrounding leadership, but many
questions remain unanswered. In this book, major theories and research findings on leader-
ship effectiveness will be reviewed, with particular emphasis on managerial leadership in formal
organizations such as business corporations, government agencies, hospitals, and universi-
ties. This chapter introduces the subject by considering different conceptions of leadership, dif-
ferent ways of evaluating its effectiveness, and different approaches for studying leadership. The
chapter also provides an overview of the book and explains how subjects are organized.
Definitions of Leadership
The term leadership is a word taken from the common vocabulary and incorporated
into the technical vocabulary of a scientific discipline without being precisely redefined. As
a consequence, it carries extraneous connotations that create ambiguity of meaning (Janda,
1960). Additional confusion is caused by the use of other imprecise terms such as power, author-
ity, management, administration, control, and supervision to describe similar phenomena. An
observation by Bennis (1959, p. 259) is as true today as when he made it many years ago:
Always, it seems, the concept of leadership eludes us or turns up in another form to taunt us
again with its slipperiness and complexity. So we have invented an endless proliferation of
terms to deal with it . . . and still the concept is not sufficiently defined.
Researchers usually define leadership according to their individual perspectives and the as-
pects of the phenomenon of most interest to them. After a comprehensive review of the leadership
literature, Stogdill (1974, p. 259) concluded that “there are almost as many definitions of leadership
as there are persons who have attempted to define the concept.” The stream of new definitions has
continued unabated since Stogdill made his observation. Leadership has been defined in terms of
traits, behaviors, influence, interaction patterns, role relationships, and occupation of an adminis-
trative position. Table 1-1 shows some representative definitions presented over the past 50 years.
Most definitions of leadership reflect the assumption that it involves a process whereby in-
tentional influence is exerted over other people to guide, structure, and facilitate activities and rela-
tionships in a group or organization. The numerous definitions of leadership appear to have little
else in common. They differ in many respects, including who exerts influence, the intended pur-
pose of the influence, the manner in which influence is exerted, and the outcome of the influence
attempt. The differences are not just a case of scholarly nit-picking; they reflect deep disagreement
about identification of leaders and leadership processes. Researchers who differ in their concep-
tion of leadership select different phenomena to investigate and interpret the results in different
ways. Researchers who have a very narrow definition of leadership are less likely to discover things
that are unrelated to or inconsistent with their initial assumptions about effective leadership.
Chapter 1 • Introduction: The Nature of Leadership 3
TABLE 1-1 Definitions of Leadership

• Leadership is “the behavior of an individual . . . directing the activities of a group toward a
shared goal” (Hemphill & Coons, 1957, p. 7).
• Leadership is “the influential increment over and above mechanical compliance with the
routine directives of the organization” (Katz & Kahn, 1978, p. 528).
• Leadership is “the process of influencing the activities of an organized group toward goal
achievement” (Rauch & Behling, 1984, p. 46).
• “Leadership is about articulating visions, embodying values, and creating the environment
within which things can be accomplished” (Richards & Engle, 1986, p. 206).
• “Leadership is a process of giving purpose (meaningful direction) to collective effort, and
causing willing effort to be expended to achieve purpose” (Jacobs & Jaques, 1990, p. 281).
• Leadership “is the ability to step outside the culture . . . to start evolutionary change processes
that are more adaptive” (Schein, 1992, p. 2).
• “Leadership is the process of making sense of what people are doing together so that people
will understand and be committed” (Drath & Palus, 1994, p. 4).
• Leadership is “the ability of an individual to influence, motivate, and enable others to contribute
toward the effectiveness and success of the organization . . .” (House et al., 1999, p. 184).
Because leadership has so many different meanings to people, some theorists question
whether it is even useful as a scientific construct (e.g., Alvesson & Sveningsson, 2003; Miner,
1975). Nevertheless, most behavioral scientists and practitioners seem to believe leadership is a real
phenomenon that is important for the effectiveness of organizations. Interest in the subject con-
tinues to increase, and the deluge of articles and books about leadership shows no sign of abating.
Specialized Role or Shared Influence Process?

A major controversy involves the issue of whether leadership should be viewed as a special-
ized role or as a shared influence process. One view is that all groups have role specialization, and
the leadership role has responsibilities and functions that cannot be shared too widely without
jeopardizing the effectiveness of the group. The person with primary responsibility to perform
the specialized leadership role is designated as the “leader.” Other members are called “followers”
even though some of them may assist the primary leader in carrying out leadership functions. The
distinction between leader and follower roles does not mean that a person cannot perform both
roles at the same time. For example, a department manager who is the leader of department
employees is also a follower of higher-level managers in the organization. Researchers who view
leadership as a specialized role are likely to pay more attention to the attributes that determine
selection of designated leaders, the typical behavior of designated leaders, and the effects of this
behavior on other members of the group or organization.
Another way to view leadership is in terms of an influence process that occurs naturally
within a social system and is diffused among the members. Writers with this perspective believe
it is more useful to study “leadership” as a social process or pattern of relationships rather than as
a specialized role. According to this view, various leadership functions may be carried out by dif-
ferent people who influence what the group does, how it is done, and the way people in the group
relate to each other. Leadership may be exhibited both by formally selected leaders and by infor-
mal leaders. Important decisions about what to do and how to do it are made through the use
of an interactive process involving many different people who influence each other. Researchers
who view leadership as a shared, diffuse process, are likely to pay more attention to the complex
influence processes that occur among members, the context and conditions that determine when
and how they occur, the processes involved in the emergence of informal leaders, and the conse-
quences for the group or organization.
Type of Influence Process

Controversy about the definition of leadership involves not only who exercises influence,
but also what type of influence is exercised and the outcome. Some theorists would limit the
definition of leadership to the exercise of influence resulting in enthusiastic commitment by fol-
lowers, as opposed to indifferent compliance or reluctant obedience. These theorists argue that
the use of control over rewards and punishments to manipulate or coerce followers is not really
“leading” and may involve the unethical use of power.
An opposing view is that this definition is too restrictive because it excludes some influ-
ence processes that are important for understanding why a leader is effective or ineffective in a
given situation. How leadership is defined should not predetermine the answer to the research
question of what makes a leader effective. The same outcome can be accomplished with differ-
ent influence methods, and the same type of influence attempt can result in different outcomes,
depending on the nature of the situation. Even people who are forced or manipulated into doing
something may become committed to it if they subsequently discover that it really is the best op-
tion for them and the organization. The ethical use of power is a legitimate concern for leader-
ship scholars, but it should not limit the definition of leadership or the type of influence processes
that are studied.
Purpose of Influence Attempts

Another controversy about which influence attempts are part of leadership involves their
purpose and outcome. One viewpoint is that leadership occurs only when people are influenced
to do what is ethical and beneficial for the organization and themselves. This definition of lead-
ership does not include influence attempts that are irrelevant or detrimental to followers, such as
a leader’s attempts to gain personal benefits at the follower’s expense.
An opposing view would include all attempts to influence the attitudes and behavior of fol-
lowers in an organizational context, regardless of the intended purpose or actual beneficiary. Acts
of leadership often have multiple motives, and it is seldom possible to determine the extent to
which they are selfless rather than selfish. The outcomes of leader actions usually include a mix
of costs and benefits, some of which are unintended, making it difficult to infer purpose. Despite
good intentions, the actions of a leader are sometimes more detrimental than beneficial for fol-
lowers. Conversely, actions motivated solely by a leader’s personal needs sometimes result in un-
intended benefits for followers and the organization. Thus, the domain of leadership processes to
study should not be limited by the leader’s intended purpose.
Influence Based on Reason or Emotions

Most of the leadership definitions listed earlier emphasize rational, cognitive processes. For
many years, it was common to view leadership as a process wherein leaders influence followers to
believe it is in their best interest to cooperate in achieving a shared task objective. Until the 1980s,
few conceptions of leadership recognized the importance of emotions as a basis for influence.
In contrast, some recent conceptions of leadership emphasize the emotional aspects of in-
fluence much more than reason. According to this view, only the emotional, value-based aspects
of leadership influence can account for the exceptional achievements of groups and organizations.
Leaders inspire followers to willingly sacrifice their selfish interests for a higher cause. For exam-
ple, leaders can motivate soldiers to risk their lives for an important mission or to protect their
comrades. The relative importance of rational and emotional processes and how they interact
are issues to be resolved by empirical research, and the conceptualization of leadership should not
exclude either type of process.
Direct and Indirect Leadership

Most theories about effective leadership focus on behaviors used to directly influence
immediate subordinates, but a leader can also influence other people inside the organization,
including peers, bosses, and people at lower levels who do not report to the leader. Some theo-
rists make a distinction between direct and indirect forms of leadership to help explain how a
leader can influence people when there is no direct interaction with them (Hunt, 1991; Lord &
Maher, 1991; Yammarino, 1994).
A chief executive officer (CEO) has many ways to influence people at lower levels in the or-
ganization. Direct forms of leadership involve attempts to influence followers when interacting
with them or using communication media to send messages to them. Examples include send-
ing memos or reports to employees, sending e-mail messages, presenting speeches on television,
holding meetings with small groups of employees, and participating in activities involving em-
ployees (e.g., attending orientation or training sessions, company picnics). Most of these forms
of influence can be classified as direct leadership.
Indirect leadership has been used to describe how a chief executive can influence people
at lower levels in the organization who do not interact directly with the leader (Bass, Waldman,
Avolio, & Bebb, 1987; Waldman & Yammarino, 1999; Yammarino, 1994). One form of indirect
leadership by a CEO is called “cascading.” It occurs when the direct influence of the CEO is trans-
mitted down the authority hierarchy of an organization from the CEO to middle managers, to lower-
level managers, to regular employees. The influence can involve changes in employee attitudes,
beliefs, values, or behaviors. For example, a CEO who sets a good example of ethical and sup-
portive behavior may influence similar behavior by employees at lower levels in the organization.
Another form of indirect leadership involves influence over formal programs, management
systems, and structural forms (Hunt, 1991; Lord & Maher, 1991; Yukl & Lepsinger, 2004). Many
large organizations have programs or management systems intended to influence the attitudes,
skills, behavior, and performance of employees. Examples include programs for recruitment,
selection, and promotion of employees. Structural forms and various types of programs can be
used to increase control, coordination, efficiency, and innovation. Examples include formal rules
and procedures, specialized subunits, decentralized product divisions, standardized facilities, and
self-managed teams. In most organizations only top executives have sufficient authority to im-
plement new programs or change the structural forms (see Chapter 11).
A third form of indirect leadership involves leader influence over the organization cul-
ture, which is defined as the shared beliefs and values of members (Schein, 1992; Trice & Beyer,
1991). Leaders may attempt either to strengthen existing cultural beliefs and values or to change
them. There are many ways for leaders to influence an organization’s culture. Some ways involve
direct influence (e.g., communicating a compelling vision or leading by example), and some in-
volve forms of indirect influence, such as changing the organizational structure, reward systems,
and management programs (see Chapter 11). For example, a CEO can implement programs to re-
cruit, select, and promote people who share the same values (Giberson, Resick, & Dickson, 2005).
The interest in indirect leadership is useful to remind scholars that leadership influence is
not limited to the types of observable behavior emphasized in many leadership theories. However,
it is important to remember that a simple dichotomy does not capture the complexity involved in
these influence processes. Some forms of influence are not easily classified as either direct or
indirect leadership. Moreover, direct and indirect forms of influence are not mutually exclusive,
and when used together in a consistent way, it is possible to magnify their effects (see Chapter 11).
Leadership or Management
There is a continuing controversy about the difference between leadership and manage-
ment. It is obvious that a person can be a leader without being a manager (e.g., an informal leader),
and a person can be a manager without leading. Indeed, some people with the job title “manager”
do not have any subordinates (e.g., a manager of financial accounts). Nobody has proposed that
managing and leading are equivalent, but the degree of overlap is a point of sharp disagreement.
Some writers contend that leadership and management are qualitatively different and mutu-
ally exclusive (e.g., Bennis & Nanus, 1985; Zaleznik, 1977). The most extreme distinction assumes
that management and leadership cannot occur in the same person. For these writers, leaders and
managers differ with regard to their values and personalities. Managers value stability, order, and ef-
ficiency, and they are impersonal, risk-averse, and focused on short-term results. Leaders value flex-
ibility, innovation, and adaptation; they care about people as well as economic outcomes, and they
have a longer-term perspective with regard to objectives and strategies. Managers are concerned
about how things get done, and they try to get people to perform better. Leaders are concerned with
what things mean to people, and they try to get people to agree about the most important things to
be done. Bennis and Nanus (1985, p. 21) proposed that “managers are people who do things right,
and leaders are people who do the right thing.” However, the empirical research does not support
the assumption that people can be sorted neatly into these two extreme stereotypes. Moreover, the
stereotypes imply that managers are generally ineffective. The term manager is an occupational title
for a large number of people, and it is insensitive to denigrate them with a negative stereotype.
Other scholars view leading and managing as distinct processes or roles, but they do not as-
sume that leaders and managers are different types of people (Bass, 1990; Hickman, 1990; Kotter,
1988; Mintzberg, 1973; Rost, 1991). How the two processes are defined varies somewhat, de-
pending on the scholar. For example, Mintzberg (1973) described leadership as one of the 10
managerial roles (see Chapter 2). Leadership includes motivating subordinates and creating fa-
vorable conditions for doing the work. The other nine roles (e.g., resource allocator, negotiator)
involve distinct managing responsibilities, but leadership is viewed as an essential managerial
role that pervades the other roles.
Kotter (1990) proposed that managing seeks to produce predictability and order, where-
as leading seeks to produce organizational change. Both roles are necessary, but problems can
occur if an appropriate balance is not maintained. Too much emphasis on the managing role can
discourage risk taking and create a bureaucracy without a clear purpose. Too much emphasis on
the leadership role can disrupt order and create change that is impractical. According to Kotter,
the importance of leading and managing depends in part on the situation. As an organization
becomes larger and more complex, managing becomes more important. As the external envi-
ronment becomes more dynamic and uncertain, leadership becomes more important. Both roles
are important for executives in large organizations with a dynamic environment. When Kotter
surveyed major large companies in a dynamic environment, he found very few had executives
who were able to carry out both roles effectively.
Rost (1991) defined management as an authority relationship that exists between a man-
ager and subordinates to produce and sell goods and services. He defined leadership as a
multidirectional influence relationship between a leader and followers with the mutual purpose
of accomplishing real change. Leaders and followers influence each other as they interact in non-
coercive ways to decide what changes they want to make. Managers may be leaders, but only if
they have this type of influence relationship. Rost proposed that leading was not necessary for a
manager to be effective in producing and selling goods and services. However, leading is essen-
tial when major changes must be implemented in an organization, because authority is seldom a
sufficient basis for gaining commitment from subordinates or for influencing other people whose
cooperation is necessary, such as peers and outsiders.
Defining managing and leading as distinct roles, processes, or relationships may obscure
more than it reveals if it encourages simplistic theories about effective leadership. Most scholars
seem to agree that success as a manager or administrator in modern organizations also involves
leading. How to integrate the two processes has emerged as a complex and important issue in
organizational literature (Yukl & Lepsinger, 2005). The answer will not come from debates about
ideal definitions. Questions about what to include in the domain of essential leadership pro-
cesses should be explored with empirical research, not predetermined by subjective judgments.
A Working Definition of Key Terms

It is neither feasible nor desirable at this point in the development of the discipline to
attempt to resolve the controversies over the appropriate definition of leadership. Like all con-
structs in social science, the definition of leadership is arbitrary and subjective. Some definitions
are more useful than others, but there is no single “correct” definition that captures the essence of
leadership. For the time being, it is better to use the various conceptions of leadership as a source
of different perspectives on a complex, multifaceted phenomenon.
In research, the operational definition of leadership depends to a great extent on the pur-
pose of the researcher (Campbell, 1977). The purpose may be to identify leaders, to determine
how they are selected, to discover what they do, to discover why they are effective, or to deter-
mine whether they are necessary. As Karmel (1978, p. 476) notes, “It is consequently very dif-
ficult to settle on a single definition of leadership that is general enough to accommodate these
many meanings and specific enough to serve as an operationalization of the variable.” Whenever
feasible, leadership research should be designed to provide information relevant to a wide range
of definitions, so that over time it will be possible to compare the utility of different conceptions
and arrive at some consensus on the matter.
In this book, leadership is defined broadly in a way that takes into account several things
that determine the success of a collective effort by members of a group or organization to accom-
plish meaningful tasks. The following definition is used:
Leadership is the process of influencing others to understand and agree about what needs to
be done and how to do it, and the process of facilitating individual and collective efforts to
accomplish shared objectives.
The definition includes efforts not only to influence and facilitate the current work of the
group or organization, but also to ensure that it is prepared to meet future challenges. Both di-
rect and indirect forms of influence are included. The influence process may involve only a sin-
gle leader or it may involve many leaders. Table 1-2 shows the wide variety of ways leaders can
influence the effectiveness of a group or organization.
In this book, leadership is treated as both a specialized role and a social influence process.
More than one individual can perform the role (i.e., leadership can be shared or distributed), but
TABLE 1-2 What Leaders Can Influence

• The choice of objectives and strategies to pursue.
• The motivation of members to achieve the objectives.
• The mutual trust and cooperation of members.
• The organization and coordination of work activities.
• The allocation of resources to activities and objectives.
• The development of member skills and confidence.
• The learning and sharing of new knowledge by members.
• The enlistment of support and cooperation from outsiders.
• The design of formal structure, programs, and systems.
• The shared beliefs and values of members.
some role differentiation is assumed to occur in any group or organization. Both rational and emo-
tional processes are viewed as essential aspects of leadership. No assumptions are made about the
actual outcome of the influence processes, because the evaluation of outcomes is difficult and sub-
jective. Thus, the definition of leadership is not limited to processes that necessarily result in “suc-
cessful” outcomes. How leadership processes affect outcomes is a central research question that
should not be biased by the definition of leadership. The focus is clearly on the process, not the per-
son, and they are not assumed to be equivalent. Thus, the terms leader, manager, and boss are used
interchangeably in this book to indicate people who occupy positions in which they are expected
to perform the leadership role, but without any assumptions about their actual behavior or success.
The terms subordinate and direct report are used interchangeably to denote someone whose
primary work activities are directed and evaluated by the focal leader. Some writers use the term
staff as a substitute for subordinate, but this practice creates unnecessary confusion. The term con-
notes a special type of advisory position, and most subordinates are not staff advisors. Moreover,
the term staff is used both as a singular and plural noun, which creates a lot of unnecessary con-
fusion. The term associate has become popular in business organizations as another substitute
for subordinate, because it conveys a relationship in which employees are valued and supposedly
empowered. However, this vague term fails to differentiate between a direct authority relationship
and other types of formal relationships (e.g., peers, partners). To clarify communication, this text
continues to use the term subordinate to denote the existence of a formal authority relationship.
The term follower is used to describe a person who acknowledges the focal leader as
the primary source of guidance about the work, regardless of how much formal authority the
leader actually has over the person. Unlike the term subordinate, the term follower does not pre-
clude leadership processes that can occur even in the absence of a formal authority relation-
ship. Followers may include people who are not direct reports (e.g., coworkers, team members,
partners, outsiders). However, the term follower is not used to describe members of an organi-
zation who completely reject the formal leader and seek to remove the person from office; such
people are more appropriately called “rebels” or “insurgents.”
Indicators of Leadership Effectiveness

Like definitions of leadership, conceptions of leader effectiveness differ from one writer to
another. The criteria selected to evaluate leadership effectiveness reflect a researcher’s explicit or
implicit conception of leadership. Most researchers evaluate leadership effectiveness in terms of
the consequences of influence on a single individual, a team or group, or an organization.
One very relevant indicator of leadership effectiveness is the extent to which the perfor-
mance of the team or organization is enhanced and the attainment of goals is facilitated (Bass,
2008; Kaiser, Hogan & Craig, 2008). Examples of objective measures of performance include
sales, net profits, profit margin, market share, return on investment, return on assets, productiv-
ity, cost per unit of output, costs in relation to budgeted expenditures, and change in the value of
corporate stock. Subjective measures of effectiveness include ratings obtained from the leader’s
superiors, peers, or subordinates.
Follower attitudes and perceptions of the leader are another common indicator of leader
effectiveness, and they are usually measured with questionnaires or interviews. How well does
the leader satisfy the needs and expectations of followers? Do they like, respect, and admire the
leader? Do they trust the leader and perceive him or her to have high integrity? Are they strongly
committed to carrying out the leader’s requests, or will they resist, ignore, or subvert them? Does
the leader improve the quality of work life, build the self-confidence of followers, increase their
skills, and contribute to their psychological growth and development? Follower attitudes, percep-
tions, and beliefs also provide an indirect indicator of dissatisfaction and hostility toward the
leader. Examples of such indicators include absenteeism, voluntary turnover, grievances, com-
plaints to higher management, requests for transfer, work slowdowns, and deliberate sabotage of
equipment and facilities.
Leader effectiveness is occasionally measured in terms of the leader’s contribution to the
quality of group processes, as perceived by followers or by outside observers. Does the leader en-
hance group cohesiveness, member cooperation, member commitment, and member confidence
that the group can achieve its objectives? Does the leader enhance problem solving and decision
making by the group, and help to resolve disagreements and conflicts in a constructive way? Does
the leader contribute to the efficiency of role specialization, the organization of activities, the ac-
cumulation of resources, and the readiness of the group to deal with change and crises?
A final type of criterion for leadership effectiveness is the extent to which a person has a
successful career as a leader. Is the person promoted rapidly to positions of higher authority?
Does the person serve a full term in a leadership position, or is he or she removed or forced to
resign? For elected positions in organizations, is a leader who seeks reelection successful?
It is difficult to evaluate the effectiveness of a leader when there are so many alternative
measures of effectiveness, and it is not clear which measure is most relevant. Some research-
ers attempt to combine several measures into a single, composite criterion, but this approach
requires subjective judgments about how to assign a weight to each measure. Multiple criteria
are especially troublesome when they are negatively correlated. A negative correlation means
that trade-offs occur among criteria, such that as one increases, others decrease. For example,
increasing sales and market share (e.g., by reducing price and increasing advertising) may result
in lower profits. Likewise, an increase in production output (e.g., by inducing people to work
faster) may reduce product quality or employee satisfaction.
Immediate and Delayed Outcomes

Some outcomes are more immediate than others. For example, the immediate result of an
influence attempt is whether followers are willing to do what the leader asks, but a delayed effect
is how well followers actually perform the assignment. The effects of a leader can be viewed as
a causal chain of variables, with each “mediating variable” explaining the effects of the preceding
one on the next one. An example is provided in Figure 1-1. The farther along in the causal chain,
the longer it takes for the effect to occur. For criteria at the end of the causal chain, there is a con-
siderable delay (months or years) before the effects of the leader’s actions are evident. Moreover,
Inspiring Follower
vision effort
Quality + Unit
Productivity profits
Training + Follower
Coaching skills
FIGURE 1-1 Causal Chain of Effects from Two Types of Leader Behavior
these end-result criteria are more likely to be influenced by extraneous events (e.g., the economy,
market conditions). When the delay is long and there is considerable “contamination” of end-
result criteria by extraneous events, then these criteria may be less useful for assessing leadership
effectiveness than more immediate outcomes.
In many cases, a leader has both immediate and delayed effects on the same criterion. The
two types of effects may be consistent or inconsistent. When they are inconsistent, the imme-
diate outcome may be very different from the delayed outcomes. For example, profits may be
increased in the short run by eliminating costly activities that have a delayed effect on profits,
such as equipment maintenance, research and development, investments in new technology, and
employee skill training. In the long run, the net effect of cutting these essential activities is likely
to be lower profits because the negative consequences slowly increase and eventually outweigh
any benefits. The converse is also true: increased investment in these activities is likely to reduce
immediate profits but increase long-term profits.
What Criteria to Use?

There is no simple answer to the question of how to evaluate leadership effectiveness. The
selection of appropriate criteria depends on the objectives and values of the person making the
evaluation, and people have different values. For example, top management may prefer different
criteria than other employees, customers, or shareholders. To cope with the problems of incompat-
ible criteria, delayed effects, and the preferences of different stakeholders, it is usually best to include
a variety of criteria in research on leadership effectiveness and to examine the impact of the leader
on each criterion over an extended period of time. Multiple conceptions of effectiveness, like mul-
tiple conceptions of leadership, serve to broaden our perspective and enlarge the scope of inquiry.
Major Perspectives in Leadership Theory and Research

The attraction of leadership as a subject of research and the many different conceptions
of leadership have created a vast and bewildering literature. Attempts to organize the literature
according to major approaches or perspectives show only partial success. One of the more use-
ful ways to classify leadership theory and research is according to the type of variable that is
emphasized the most. Three types of variables that are relevant for understanding leadership
effectiveness include (1) characteristics of leaders, (2) characteristics of followers, and (3) charac-
teristics of the situation. Examples of key variables within each category are shown in Table 1-3.
Figure 1-2 depicts likely causal relationships among the variables.
TABLE 1-3 Key Variables in Leadership Theories

Characteristics of the Leader
• Traits (motives, personality)
• Values, integrity, and moral development
• Confidence and optimism
• Skills and expertise
• Leadership behavior
• Influence tactics
• Attributions about followers
• Mental models (beliefs and assumptions)
Characteristics of the Followers
• Traits (needs, values, self-concepts)
• Confidence and optimism
• Skills and expertise
• Attributions about the leader
• Identification with the leader
• Task commitment and effort
• Satisfaction with job and leader
• Cooperation and mutual trust
Characteristics of the Situation
• Type of organizational unit
• Size of organizational unit
• Position power and authority of leader
• Task structure and complexity
• Organizational culture
• Environmental uncertainty and change
• External dependencies and constraints
• National cultural values
Follower
Leader traits Leader Influence Performance
attitudes and
and skills behavior processes outcomes
behavior
Situational
variables
FIGURE 1-2 Causal Relationships Among the Primary Types of Leadership Variables
Most leadership theories emphasize one category more than the others as the primary
basis for explaining effective leadership, and leader characteristics have been emphasized most
often over the past half-century. Another common practice is to limit the focus to one type of
leader characteristic, namely traits, behavior, or power. To be consistent with most of the leader-
ship literature, the theories and empirical research reviewed in this book are classified into the
following five approaches: (1) the trait approach, (2) the behavior approach, (3) the power-influ-
ence approach, (4) the situational approach, and (5) the integrative approach. Each approach is
described briefly in the following sections.
Trait Approach
One of the earliest approaches for studying leadership was the trait approach. This
approach emphasizes attributes of leaders such as personality, motives, values, and
skills. Underlying this approach was the assumption that some people are natural leaders,
endowed with certain traits not possessed by other people. Early leadership theories attrib-
uted managerial success to extraordinary abilities such as tireless energy, penetrating intuition,
uncanny foresight, and irresistible persuasive powers. Hundreds of trait studies conducted
during the 1930s and 1940s sought to discover these elusive qualities, but this massive research
effort failed to find any traits that would guarantee leadership success. One reason for the
failure was a lack of attention to mediating variables in the causal chain that could explain how
traits could affect a delayed outcome such as group performance or leader advancement. The
predominant research method was to look for a significant correlation between individual
leader attributes and a criterion of leader success, without examining any explanatory pro-
cesses. However, as evidence from better designed research slowly accumulated over the years,
researchers made progress in discovering how leader attributes are related to leadership behav-
ior and effectiveness. A more recent trait approach examines leader values that are relevant for
explaining ethical leadership.
Behavior Approach
The behavior approach began in the early 1950s after many researchers became discour-
aged with the trait approach and began to pay closer attention to what managers actually do
on the job. One line of research examines how managers spend their time and the typical pat-
tern of activities, responsibilities, and functions for managerial jobs. Some of the research
also investigates how managers cope with demands, constraints, and role conflicts in their
jobs. Most research on managerial work uses descriptive methods of data collection such as
direct observation, diaries, job description questionnaires, and anecdotes obtained from inter-
views. Although this research was not designed to directly assess effective leadership, it provides
useful insights into this subject. Leadership effectiveness depends in part on how well a manager
resolves role conflicts, copes with demands, recognizes opportunities, and overcomes constraints.
Another subcategory of the behavior approach focuses on identifying leader ac-
tions or decisions with observable aspects and relating them to indicators of effective leader-
ship. The preferred research method involves a survey field study with a behavior description
questionnaire. In the past 50 years, hundreds of survey studies examined the correlation between
leadership behavior and various indicators of leadership effectiveness. A much smaller number
of studies used laboratory experiments, field experiments, or critical incidents to determine how
effective leaders differ in behavior from ineffective leaders.
Power-Influence Approach
Power-influence research examines influence processes between leaders and other
people. Like most research on traits and behavior, some of the power-influence research takes a
leader-centered perspective with an implicit assumption that causality is unidirectional (leaders
act and followers react). This research seeks to explain leadership effectiveness in terms of the
amount and type of power possessed by a leader and how power is exercised. Power is viewed
as important not only for influencing subordinates, but also for influencing peers, superiors, and
people outside the organization, such as clients and suppliers. The favorite methodology has
been the use of survey questionnaires to relate leader power to various measures of leadership
effectiveness.
Other power-influence research used questionnaires and descriptive incidents to determine
how leaders influence the attitudes and behavior of followers. The study of influence tactics can
be viewed as a bridge linking the power-influence approach and the behavior approach. The use
of different influence tactics is compared in terms of their relative effectiveness for getting people
to do what the leader wants.
Participative leadership is concerned with power sharing and empowerment of followers,
but it is firmly rooted in the tradition of behavior research as well. Many studies used question-
naires to correlate subordinate perceptions of participative leadership with the criteria of leader-
ship effectiveness such as subordinate satisfaction, effort, and performance. Laboratory and field
experiments compared autocratic and participative leadership styles. Finally, descriptive case
studies of effective managers examined how they use consultation and delegation to give people
a sense of ownership for decisions.
Situational Approach
The situational approach emphasizes the importance of contextual factors that influence
leadership processes. Major situational variables include the characteristics of followers, the
nature of the work performed by the leader’s unit, the type of organization, and the nature of
the external environment. This approach has two major subcategories. One line of research is
an attempt to discover the extent to which leadership processes are the same or unique across
different types of organizations, levels of management, and cultures. The primary research
method is a comparative study of two or more situations. The dependent variables may be
managerial perceptions and attitudes, managerial activities and behavior patterns, or influence
processes.
The other subcategory of situational research attempts to identify aspects of the situation
that “moderate” the relationship of leader attributes (e.g., traits, skills, behavior) to leadership ef-
fectiveness. The assumption is that different attributes will be effective in different situations, and
that the same attribute is not optimal in all situations. Theories describing this relationship are
sometimes called “contingency theories” of leadership. A more extreme form of situational theory
(“leadership substitutes”) identifies the conditions that can make hierarchical leadership redundant
and unnecessary.
Integrative Approach
An integrative approach involves more than one type of leadership variable. In recent
years, it has become more common for researchers to include two or more types of leadership
variables in the same study, but it is still rare to find a theory that includes all of them (i.e., traits,
behavior, influence processes, situational variables, and outcomes). An example of the integra-
tive approach is the self-concept theory of charismatic leadership, which attempts to explain why
the followers of some leaders are willing to exert exceptional effort and make personal sacrifices
to accomplish the group objective or mission.
Level of Conceptualization for Leadership Theories

Another way to classify leadership theories is in terms of the “level of conceptualiza-
tion” or type of constructs used to describe leaders and their influence on others. Leadership
can be described as (1) an intra-individual process, (2) a dyadic process, (3) a group process, or
(4) an organizational process. The levels can be viewed as a hierarchy, as depicted in Figure 1-3.
What level is emphasized will depend on the primary research question, the type of criterion vari-
ables used to evaluate leadership effectiveness, and the type of mediating processes used to explain
leadership influence. Typical research questions for each level are listed in Table 1-4. The four
levels of conceptualization, and their relative advantages and disadvantages, are described next.
Intra-Individual Processes
Because most definitions of leadership involve influence processes between individu-
als, leadership theories that describe only leader attributes are rare. Nevertheless, a number of
researchers used psychological theories of personality traits, values, skills, motivation, and cogni-
tion to explain the decisions and behavior of an individual leader. Roles, behaviors, or decision
styles are also used for describing and comparing leaders. Examples can be found in theories
about the nature of managerial work and the requirements for different types of leadership posi-
tions (see Chapter 2). Individual traits and skills are also used to explain a person’s motivation to
seek power and positions of authority (see Chapter 6), and individual values are used to explain
ethical leadership and the altruistic use of power (see Chapter 13).
Knowledge of intra-individual processes and taxonomies of leadership roles, behaviors,
and traits provide insights that are helpful for developing better theories of effective leader-
ship. However, the potential contribution of the intra-individual approach to leadership is lim-
ited, because it does not explicitly include what most theorists consider to be the essential process
of leadership, namely influencing others such as subordinates, peers, bosses, and outsiders.
Dyadic Processes
The dyadic approach focuses on the relationship between a leader and another individual
who is usually a subordinate or another type of follower. The need to influence direct reports
is shared by leaders at all levels of authority from chief executives to department managers
Organization
Group
Dyadic
Individual
FIGURE 1-3 Levels of Conceptualization for Leadership Processes

TABLE 1-4 Research Questions at Different Levels of Conceptualization

Intra-Individual Theories
• How leader traits and values influence leadership behavior
• How leader skills are related to leader behavior
• How leaders make decisions
• How leaders manage their time
• How leaders are influenced by role expectations and constraints
• How leaders react to feedback and learn from experience
• How leaders can use self-development techniques
Dyadic Theories
• How a leader influences subordinate motivation and task commitment
• How a leader facilitates the work of a subordinate
• How a leader interprets information about a subordinate
• How a leader develops a subordinate’s skills and confidence
• How a leader influences subordinate loyalty and trust
• How a leader uses influence tactics with a subordinate, peer, or boss
• How a leader and a subordinate influence each other
• How a leader develops a cooperative exchange relationship with a subordinate
Group-Level Theories
• How different leader-member relations affect each other and team performance
• How leadership is shared in the group or team
• How leaders organize and coordinate the activities of team members
• How leaders influence cooperation and resolve disagreements in the team or unit
• How leaders influence collective efficacy and optimism for the team or unit
• How leaders influence collective learning and innovation in the team or unit
• How leaders influence collective identification of members with the team or unit
• How unit leaders obtain resources and support from the organization and other units
Organizational-Level Theories
• How top executives influence members at other levels
• How leaders are selected at each level (and implications of the process for the firm)
• How leaders influence organizational culture
• How leaders influence the efficiency and the cost of internal operations
• How leaders influence human relations and human capital in the organization
• How leaders make decisions about competitive strategy and external initiatives
• How conflicts among leaders are resolved in an organization
• How leaders influence innovation and major change in an organization
and work crew supervisors. The explanation of leader influence is usually in terms of how the
leader causes the subordinate to be more motivated and more capable of accomplishing task
assignments. These theories usually focus on leadership behavior as the source of influence,
and on changes in the attitudes, motivation, and behavior of an individual subordinate as the
influence process. Reciprocal influence between the leader and follower may be included in
the theory, but it is usually less important than the explanation of leader influence over the
follower.
An example of a dyadic leadership theory is the leader-member exchange (LMX) theory

described in Chapter 9, which describes how dyadic relationships evolve over time and take dif-
ferent forms, ranging from a casual exchange to a cooperative alliance with shared objectives and
mutual trust. Although the LMX theory recognizes that the leader has multiple dyadic relation-
ships, the focus is clearly on what happens within a single relationship. Much of the research on
power and influence tactics (see Chapter 8) is also conceptualized in terms of dyadic processes. Most
theories of transformational and charismatic leadership were initially conceptualized primarily at
the dyadic level (see Chapter 12).
Since real leaders seldom have only a single subordinate, some assumptions are necessary
to make dyadic explanations relevant for explaining a leader’s influence on the performance of
a group or work unit. One assumption is that subordinates have work roles that are similar and
independent. Subordinates may not be homogeneous with regard to skills and motives, but they
have similar jobs. There is little potential for subordinates to affect each other’s job performance,
and group performance is the sum of the performances by individuals. An example of mini-
mum interdependence is a district sales unit in which sales representatives work separately and
independently of each other and sell the same product in different locations or to different cus-
tomers. However, when there is high interdependence among group members, a high need for
collective learning, and strong external dependencies, a group-level theory is needed to explain
how leadership can influence group performance.
The dyadic theories do not include some leadership behaviors that are necessary to facili-
tate collective performance by a team or organization. Moreover, some of the dyadic behaviors
that are effective in terms of dyadic influence will be ineffective with regard to team perfor-
mance or organizational performance. For example, attempts to develop a closer relationship
with one subordinate (e.g., by providing more benefits) may be dysfunctional if they create per-
ceptions of inequity by other subordinates. Efforts to empower individual subordinates may
create problems when it is necessary to have a high degree of coordination among all of the
subordinates. The extra time needed by a leader to maximize performance by an individual
subordinate (e.g., providing intensive coaching) may be more effectively used to deal with prob-
lems that involve the team or work group (e.g., obtaining necessary resources, facilitating coop-
eration and coordination).
Another limitation of most dyadic theories is inadequate attention to the context. In most
dyadic theories of effective leadership, aspects of the situation are likely to be treated as modera-
tor variables that constrain or enhance leader influence on individual subordinates. The dyadic
theories underestimate the importance of the context for determining what type of leadership is
necessary to enhance collective performance by multiple subordinates.
Group Processes
When effective leadership is viewed from a group-level perspective, the focus is on the
influence of leaders on collective processes that determine team performance. The explanatory
influence processes include determinants of group effectiveness that can be influenced by leaders,
and they usually involve all members of a group or team, not only a single subordinate. Examples
of these collective explanatory processes include how well the work is organized to utilize per-
sonnel and resources, how committed members are to perform their work roles effectively, how
confident members are that the task can be accomplished successfully (“potency”), and the extent
to which members trust each other and cooperate in accomplishing task objectives. The leader-
ship behaviors identified in dyadic theories are still relevant for leadership in teams, but other
behaviors are also important.
Behavioral theories describing leadership processes in various types of groups and teams
are discussed in Chapter 10, and leadership in executive teams is discussed in Chapter 11. Much
of a manager’s time is spent in formal and informal meetings, and the leadership processes that
make group meetings more effective are also described in Chapter 10. Another key research
question in the group approach is to explain why some members are more influential than others,
and how leaders are selected. An example of a theory dealing with these questions is the “social
exchange theory” discussed in Chapter 8.
As compared to the dyadic theories, most group-level theories provide a much better ex-
planation of effective leadership in teams with interactive members, but these theories also have
limitations. The need to describe leader influence on member motivation is usually recognized,
but the theory may not include psychological processes that are useful for explaining this influ-
ence. The need to influence people and processes outside of the team is usually recognized, but
external relationships are usually viewed from the perspective of the team. The focus is on the
efforts of leaders to improve team performance (e.g., by getting more resources), but the impli-
cations of leader actions for other subunits or the larger organization are seldom explicitly con-
sidered. Shared leadership is more likely to be included in a group-level theory than in a dyadic
theory, but distributed leadership by multiple formal leaders is seldom explicitly included, even
though it is common in some types of teams (e.g., military combat units with a commander and
an executive officer).
Organizational Processes
The group approach provides a better understanding of leadership effectiveness than dyadic
or intra-individual approaches, but it has some important limitations. A group usually exists in
a larger social system, and its effectiveness cannot be understood if the focus of the research is
limited to the group’s internal processes. The organizational level of analysis describes leadership
as a process that occurs in a larger “open system” in which groups are subsystems (Fleishman
et al., 1991; Katz & Kahn, 1978; Mumford, 1986).
The survival and prosperity of an organization depends on adaptation to the environment
and the acquisition of necessary resources. A business organization must be able to market its
products and services successfully. Adaptation is improved by anticipating consumer needs and
desires, assessing the actions and plans of competitors, evaluating likely constraints and threats
(e.g., government regulation, input scarcity, hostile actions by enemies), and identifying market-
able products and services that the organization has unique capabilities to provide. Some exam-
ples of activities relevant for adaptation include gathering and interpreting information about the
environment, identifying threats and opportunities, developing an effective strategy for adapting
to the environment, negotiating agreements that are favorable to the organization, influencing
outsiders to have a favorable impression of the organization and its products, and gaining coop-
eration and support from outsiders upon whom the organization is dependent. These activities
are aspects of “strategic leadership.”
Survival and prosperity also depend on the efficiency of the transformation process used
by the organization to produce its products and services. Efficiency is increased by finding
more rational ways to organize and perform the work, and by deciding how to make the best use
of available technology, resources, and personnel. Some examples of leadership responsibilities
include designing an appropriate organizational structure, determining authority relationships,
and coordinating operations across specialized subunits of the organization. Strategic leader-
ship in organizations is described in Chapter 11.
As compared to dyadic or group-level theories of leadership, organization-level theories

usually provide a better explanation of financial performance. Distributed leadership is less
likely to be ignored in an organization-level theory, because it is obvious that an organization
has many designated leaders whose actions must be coordinated. Management practices and
systems (e.g., human resource management, operations management, strategic management)
are also ignored or downplayed in dyadic and team leadership theories, but in theories of or-
ganizational leadership the need to integrate leading and managing is more obvious (Yukl &
Lepsinger, 2004). More attention is likely for subjects such as organizational structure and cul-
ture, organizational change, executive succession, and influence processes between the CEO and
the top management team or board of directors. A limitation of most theories of organizational
leadership is that they do not explain influence processes for individual leaders (except some-
times for the chief executive), or influence processes within teams (except in some cases the
top-management team).
Multi-level Theories
Multi-level theories include constructs from more than one level of explanation (Klein,
Dansereau, & Hall, 1994; Rousseau, 1985). For example, the independent and dependent varia-
bles are at the same level of conceptualization, but moderator variables are at a different level. An
even more complex type of multi-level theory may include leader influence on explanatory pro-
cesses at more than one level and reciprocal causality among some of the variables. Multi-level
theories of effective leadership provide a way to overcome the limitations of single-level theories,
but it is very difficult to develop a multi-level theory that is parsimonious and easy to apply. The
level of conceptualization has implications for the measures and methods of analysis used to
test a theory, and multi-level theories are usually more difficult to test than single-level theories
(Yammarino, Dionne, Chun, & Dansereau, 2005). Despite the difficulties, there is growing inter-
est in developing and testing multi-level theories of leadership. Efforts to develop multi-level
theories, similarities in explanatory processes at different levels, and approaches for multi-level
analysis are described in Chapter 16.
Other Bases for Comparing Leadership Theories

Key variables and level of conceptualization are not the only ways to compare leader-
ship theories. This section briefly describes three other types of distinctions commonly used
in the leadership literature: (1) leader-centered versus follower-centered theory, (2) universal ver-
sus contingency theory, and (3) descriptive versus prescriptive theory. Each type of distinction
is better viewed as a continuum along which a theory can be located, rather than as a sharp
dichotomy. For example, it is possible for a theory to have some descriptive elements as well as
some prescriptive elements, some universal elements as well as some contingency elements, and
an equal focus on leaders and followers.
Leader-Centered or Follower-Centered Theory

The extent to which a theory is focused on either the leader or followers is another use-
ful way to classify leadership theories. Most leadership theories emphasize the characteristics
and actions of the leader without much concern for follower characteristics. The leader-focus is
strongest in theory and research that identifies traits, skills, or behaviors that contribute to leader
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DANCE ON STILTS AT THE GIRLS’ UNYAGO, NIUCHI
Newala, too, suffers from the distance of its water-supply—at least

the Newala of to-day does; there was once another Newala in a lovely
valley at the foot of the plateau. I visited it and found scarcely a trace
of houses, only a Christian cemetery, with the graves of several
missionaries and their converts, remaining as a monument of its
former glories. But the surroundings are wonderfully beautiful. A
thick grove of splendid mango-trees closes in the weather-worn
crosses and headstones; behind them, combining the useful and the
agreeable, is a whole plantation of lemon-trees covered with ripe
fruit; not the small African kind, but a much larger and also juicier
imported variety, which drops into the hands of the passing traveller,
without calling for any exertion on his part. Old Newala is now under
the jurisdiction of the native pastor, Daudi, at Chingulungulu, who,
as I am on very friendly terms with him, allows me, as a matter of
course, the use of this lemon-grove during my stay at Newala.
FEET MUTILATED BY THE RAVAGES OF THE “JIGGER”
(Sarcopsylla penetrans)
The water-supply of New Newala is in the bottom of the valley,

some 1,600 feet lower down. The way is not only long and fatiguing,
but the water, when we get it, is thoroughly bad. We are suffering not
only from this, but from the fact that the arrangements at Newala are
nothing short of luxurious. We have a separate kitchen—a hut built
against the boma palisade on the right of the baraza, the interior of
which is not visible from our usual position. Our two cooks were not
long in finding this out, and they consequently do—or rather neglect
to do—what they please. In any case they do not seem to be very
particular about the boiling of our drinking-water—at least I can
attribute to no other cause certain attacks of a dysenteric nature,
from which both Knudsen and I have suffered for some time. If a
man like Omari has to be left unwatched for a moment, he is capable
of anything. Besides this complaint, we are inconvenienced by the
state of our nails, which have become as hard as glass, and crack on
the slightest provocation, and I have the additional infliction of
pimples all over me. As if all this were not enough, we have also, for
the last week been waging war against the jigger, who has found his
Eldorado in the hot sand of the Makonde plateau. Our men are seen
all day long—whenever their chronic colds and the dysentery likewise
raging among them permit—occupied in removing this scourge of
Africa from their feet and trying to prevent the disastrous
consequences of its presence. It is quite common to see natives of
this place with one or two toes missing; many have lost all their toes,
or even the whole front part of the foot, so that a well-formed leg
ends in a shapeless stump. These ravages are caused by the female of
Sarcopsylla penetrans, which bores its way under the skin and there
develops an egg-sac the size of a pea. In all books on the subject, it is
stated that one’s attention is called to the presence of this parasite by
an intolerable itching. This agrees very well with my experience, so
far as the softer parts of the sole, the spaces between and under the
toes, and the side of the foot are concerned, but if the creature
penetrates through the harder parts of the heel or ball of the foot, it
may escape even the most careful search till it has reached maturity.
Then there is no time to be lost, if the horrible ulceration, of which
we see cases by the dozen every day, is to be prevented. It is much
easier, by the way, to discover the insect on the white skin of a
European than on that of a native, on which the dark speck scarcely
shows. The four or five jiggers which, in spite of the fact that I
constantly wore high laced boots, chose my feet to settle in, were
taken out for me by the all-accomplished Knudsen, after which I
thought it advisable to wash out the cavities with corrosive
sublimate. The natives have a different sort of disinfectant—they fill
the hole with scraped roots. In a tiny Makua village on the slope of
the plateau south of Newala, we saw an old woman who had filled all
the spaces under her toe-nails with powdered roots by way of
prophylactic treatment. What will be the result, if any, who can say?
The rest of the many trifling ills which trouble our existence are
really more comic than serious. In the absence of anything else to
smoke, Knudsen and I at last opened a box of cigars procured from
the Indian store-keeper at Lindi, and tried them, with the most
distressing results. Whether they contain opium or some other
narcotic, neither of us can say, but after the tenth puff we were both
“off,” three-quarters stupefied and unspeakably wretched. Slowly we
recovered—and what happened next? Half-an-hour later we were
once more smoking these poisonous concoctions—so insatiable is the
craving for tobacco in the tropics.
Even my present attacks of fever scarcely deserve to be taken
seriously. I have had no less than three here at Newala, all of which
have run their course in an incredibly short time. In the early
afternoon, I am busy with my old natives, asking questions and
making notes. The strong midday coffee has stimulated my spirits to
an extraordinary degree, the brain is active and vigorous, and work
progresses rapidly, while a pleasant warmth pervades the whole
body. Suddenly this gives place to a violent chill, forcing me to put on
my overcoat, though it is only half-past three and the afternoon sun
is at its hottest. Now the brain no longer works with such acuteness
and logical precision; more especially does it fail me in trying to
establish the syntax of the difficult Makua language on which I have
ventured, as if I had not enough to do without it. Under the
circumstances it seems advisable to take my temperature, and I do
so, to save trouble, without leaving my seat, and while going on with
my work. On examination, I find it to be 101·48°. My tutors are
abruptly dismissed and my bed set up in the baraza; a few minutes
later I am in it and treating myself internally with hot water and
lemon-juice.
Three hours later, the thermometer marks nearly 104°, and I make
them carry me back into the tent, bed and all, as I am now perspiring
heavily, and exposure to the cold wind just beginning to blow might
mean a fatal chill. I lie still for a little while, and then find, to my
great relief, that the temperature is not rising, but rather falling. This
is about 7.30 p.m. At 8 p.m. I find, to my unbounded astonishment,
that it has fallen below 98·6°, and I feel perfectly well. I read for an
hour or two, and could very well enjoy a smoke, if I had the
wherewithal—Indian cigars being out of the question.
Having no medical training, I am at a loss to account for this state
of things. It is impossible that these transitory attacks of high fever
should be malarial; it seems more probable that they are due to a
kind of sunstroke. On consulting my note-book, I become more and
more inclined to think this is the case, for these attacks regularly
follow extreme fatigue and long exposure to strong sunshine. They at
least have the advantage of being only short interruptions to my
work, as on the following morning I am always quite fresh and fit.
My treasure of a cook is suffering from an enormous hydrocele which
makes it difficult for him to get up, and Moritz is obliged to keep in
the dark on account of his inflamed eyes. Knudsen’s cook, a raw boy
from somewhere in the bush, knows still less of cooking than Omari;
consequently Nils Knudsen himself has been promoted to the vacant
post. Finding that we had come to the end of our supplies, he began
by sending to Chingulungulu for the four sucking-pigs which we had
bought from Matola and temporarily left in his charge; and when
they came up, neatly packed in a large crate, he callously slaughtered
the biggest of them. The first joint we were thoughtless enough to
entrust for roasting to Knudsen’s mshenzi cook, and it was
consequently uneatable; but we made the rest of the animal into a
jelly which we ate with great relish after weeks of underfeeding,
consuming incredible helpings of it at both midday and evening
meals. The only drawback is a certain want of variety in the tinned
vegetables. Dr. Jäger, to whom the Geographical Commission
entrusted the provisioning of the expeditions—mine as well as his
own—because he had more time on his hands than the rest of us,
seems to have laid in a huge stock of Teltow turnips,[46] an article of
food which is all very well for occasional use, but which quickly palls
when set before one every day; and we seem to have no other tins
left. There is no help for it—we must put up with the turnips; but I
am certain that, once I am home again, I shall not touch them for ten
years to come.
Amid all these minor evils, which, after all, go to make up the
genuine flavour of Africa, there is at least one cheering touch:
Knudsen has, with the dexterity of a skilled mechanic, repaired my 9
× 12 cm. camera, at least so far that I can use it with a little care.
How, in the absence of finger-nails, he was able to accomplish such a
ticklish piece of work, having no tool but a clumsy screw-driver for
taking to pieces and putting together again the complicated
mechanism of the instantaneous shutter, is still a mystery to me; but
he did it successfully. The loss of his finger-nails shows him in a light
contrasting curiously enough with the intelligence evinced by the
above operation; though, after all, it is scarcely surprising after his
ten years’ residence in the bush. One day, at Lindi, he had occasion
to wash a dog, which must have been in need of very thorough
cleansing, for the bottle handed to our friend for the purpose had an
extremely strong smell. Having performed his task in the most
conscientious manner, he perceived with some surprise that the dog
did not appear much the better for it, and was further surprised by
finding his own nails ulcerating away in the course of the next few
days. “How was I to know that carbolic acid has to be diluted?” he
mutters indignantly, from time to time, with a troubled gaze at his
mutilated finger-tips.
Since we came to Newala we have been making excursions in all
directions through the surrounding country, in accordance with old
habit, and also because the akida Sefu did not get together the tribal
elders from whom I wanted information so speedily as he had
promised. There is, however, no harm done, as, even if seen only
from the outside, the country and people are interesting enough.
The Makonde plateau is like a large rectangular table rounded off
at the corners. Measured from the Indian Ocean to Newala, it is
about seventy-five miles long, and between the Rovuma and the
Lukuledi it averages fifty miles in breadth, so that its superficial area
is about two-thirds of that of the kingdom of Saxony. The surface,
however, is not level, but uniformly inclined from its south-western
edge to the ocean. From the upper edge, on which Newala lies, the
eye ranges for many miles east and north-east, without encountering
any obstacle, over the Makonde bush. It is a green sea, from which
here and there thick clouds of smoke rise, to show that it, too, is
inhabited by men who carry on their tillage like so many other
primitive peoples, by cutting down and burning the bush, and
manuring with the ashes. Even in the radiant light of a tropical day
such a fire is a grand sight.
Much less effective is the impression produced just now by the
great western plain as seen from the edge of the plateau. As often as
time permits, I stroll along this edge, sometimes in one direction,
sometimes in another, in the hope of finding the air clear enough to
let me enjoy the view; but I have always been disappointed.
Wherever one looks, clouds of smoke rise from the burning bush,
and the air is full of smoke and vapour. It is a pity, for under more
favourable circumstances the panorama of the whole country up to
the distant Majeje hills must be truly magnificent. It is of little use
taking photographs now, and an outline sketch gives a very poor idea
of the scenery. In one of these excursions I went out of my way to
make a personal attempt on the Makonde bush. The present edge of
the plateau is the result of a far-reaching process of destruction
through erosion and denudation. The Makonde strata are
everywhere cut into by ravines, which, though short, are hundreds of
yards in depth. In consequence of the loose stratification of these
beds, not only are the walls of these ravines nearly vertical, but their
upper end is closed by an equally steep escarpment, so that the
western edge of the Makonde plateau is hemmed in by a series of
deep, basin-like valleys. In order to get from one side of such a ravine
to the other, I cut my way through the bush with a dozen of my men.
It was a very open part, with more grass than scrub, but even so the
short stretch of less than two hundred yards was very hard work; at
the end of it the men’s calicoes were in rags and they themselves
bleeding from hundreds of scratches, while even our strong khaki
suits had not escaped scatheless.
NATIVE PATH THROUGH THE MAKONDE BUSH, NEAR

MAHUTA
I see increasing reason to believe that the view formed some time
back as to the origin of the Makonde bush is the correct one. I have
no doubt that it is not a natural product, but the result of human
occupation. Those parts of the high country where man—as a very
slight amount of practice enables the eye to perceive at once—has not
yet penetrated with axe and hoe, are still occupied by a splendid
timber forest quite able to sustain a comparison with our mixed
forests in Germany. But wherever man has once built his hut or tilled
his field, this horrible bush springs up. Every phase of this process
may be seen in the course of a couple of hours’ walk along the main
road. From the bush to right or left, one hears the sound of the axe—
not from one spot only, but from several directions at once. A few
steps further on, we can see what is taking place. The brush has been
cut down and piled up in heaps to the height of a yard or more,
between which the trunks of the large trees stand up like the last
pillars of a magnificent ruined building. These, too, present a
melancholy spectacle: the destructive Makonde have ringed them—
cut a broad strip of bark all round to ensure their dying off—and also
piled up pyramids of brush round them. Father and son, mother and
son-in-law, are chopping away perseveringly in the background—too
busy, almost, to look round at the white stranger, who usually excites
so much interest. If you pass by the same place a week later, the piles
of brushwood have disappeared and a thick layer of ashes has taken
the place of the green forest. The large trees stretch their
smouldering trunks and branches in dumb accusation to heaven—if
they have not already fallen and been more or less reduced to ashes,
perhaps only showing as a white stripe on the dark ground.
This work of destruction is carried out by the Makonde alike on the
virgin forest and on the bush which has sprung up on sites already
cultivated and deserted. In the second case they are saved the trouble
of burning the large trees, these being entirely absent in the
secondary bush.
After burning this piece of forest ground and loosening it with the
hoe, the native sows his corn and plants his vegetables. All over the
country, he goes in for bed-culture, which requires, and, in fact,
receives, the most careful attention. Weeds are nowhere tolerated in
the south of German East Africa. The crops may fail on the plains,
where droughts are frequent, but never on the plateau with its
abundant rains and heavy dews. Its fortunate inhabitants even have
the satisfaction of seeing the proud Wayao and Wamakua working
for them as labourers, driven by hunger to serve where they were
accustomed to rule.
But the light, sandy soil is soon exhausted, and would yield no
harvest the second year if cultivated twice running. This fact has
been familiar to the native for ages; consequently he provides in
time, and, while his crop is growing, prepares the next plot with axe
and firebrand. Next year he plants this with his various crops and
lets the first piece lie fallow. For a short time it remains waste and
desolate; then nature steps in to repair the destruction wrought by
man; a thousand new growths spring out of the exhausted soil, and
even the old stumps put forth fresh shoots. Next year the new growth
is up to one’s knees, and in a few years more it is that terrible,
impenetrable bush, which maintains its position till the black
occupier of the land has made the round of all the available sites and
come back to his starting point.
The Makonde are, body and soul, so to speak, one with this bush.
According to my Yao informants, indeed, their name means nothing
else but “bush people.” Their own tradition says that they have been
settled up here for a very long time, but to my surprise they laid great
stress on an original immigration. Their old homes were in the
south-east, near Mikindani and the mouth of the Rovuma, whence
their peaceful forefathers were driven by the continual raids of the
Sakalavas from Madagascar and the warlike Shirazis[47] of the coast,
to take refuge on the almost inaccessible plateau. I have studied
African ethnology for twenty years, but the fact that changes of
population in this apparently quiet and peaceable corner of the earth
could have been occasioned by outside enterprises taking place on
the high seas, was completely new to me. It is, no doubt, however,
correct.
The charming tribal legend of the Makonde—besides informing us
of other interesting matters—explains why they have to live in the
thickest of the bush and a long way from the edge of the plateau,
instead of making their permanent homes beside the purling brooks
and springs of the low country.
“The place where the tribe originated is Mahuta, on the southern
side of the plateau towards the Rovuma, where of old time there was
nothing but thick bush. Out of this bush came a man who never
washed himself or shaved his head, and who ate and drank but little.
He went out and made a human figure from the wood of a tree
growing in the open country, which he took home to his abode in the
bush and there set it upright. In the night this image came to life and
was a woman. The man and woman went down together to the
Rovuma to wash themselves. Here the woman gave birth to a still-
born child. They left that place and passed over the high land into the
valley of the Mbemkuru, where the woman had another child, which
was also born dead. Then they returned to the high bush country of
Mahuta, where the third child was born, which lived and grew up. In
course of time, the couple had many more children, and called
themselves Wamatanda. These were the ancestral stock of the
Makonde, also called Wamakonde,[48] i.e., aborigines. Their
forefather, the man from the bush, gave his children the command to
bury their dead upright, in memory of the mother of their race who
was cut out of wood and awoke to life when standing upright. He also
warned them against settling in the valleys and near large streams,
for sickness and death dwelt there. They were to make it a rule to
have their huts at least an hour’s walk from the nearest watering-
place; then their children would thrive and escape illness.”
The explanation of the name Makonde given by my informants is
somewhat different from that contained in the above legend, which I
extract from a little book (small, but packed with information), by
Pater Adams, entitled Lindi und sein Hinterland. Otherwise, my
results agree exactly with the statements of the legend. Washing?
Hapana—there is no such thing. Why should they do so? As it is, the
supply of water scarcely suffices for cooking and drinking; other
people do not wash, so why should the Makonde distinguish himself
by such needless eccentricity? As for shaving the head, the short,
woolly crop scarcely needs it,[49] so the second ancestral precept is
likewise easy enough to follow. Beyond this, however, there is
nothing ridiculous in the ancestor’s advice. I have obtained from
various local artists a fairly large number of figures carved in wood,
ranging from fifteen to twenty-three inches in height, and
representing women belonging to the great group of the Mavia,
Makonde, and Matambwe tribes. The carving is remarkably well
done and renders the female type with great accuracy, especially the
keloid ornamentation, to be described later on. As to the object and
meaning of their works the sculptors either could or (more probably)
would tell me nothing, and I was forced to content myself with the
scanty information vouchsafed by one man, who said that the figures
were merely intended to represent the nembo—the artificial
deformations of pelele, ear-discs, and keloids. The legend recorded
by Pater Adams places these figures in a new light. They must surely
be more than mere dolls; and we may even venture to assume that
they are—though the majority of present-day Makonde are probably
unaware of the fact—representations of the tribal ancestress.
The references in the legend to the descent from Mahuta to the
Rovuma, and to a journey across the highlands into the Mbekuru
valley, undoubtedly indicate the previous history of the tribe, the
travels of the ancestral pair typifying the migrations of their
descendants. The descent to the neighbouring Rovuma valley, with
its extraordinary fertility and great abundance of game, is intelligible
at a glance—but the crossing of the Lukuledi depression, the ascent
to the Rondo Plateau and the descent to the Mbemkuru, also lie
within the bounds of probability, for all these districts have exactly
the same character as the extreme south. Now, however, comes a
point of especial interest for our bacteriological age. The primitive
Makonde did not enjoy their lives in the marshy river-valleys.
Disease raged among them, and many died. It was only after they
had returned to their original home near Mahuta, that the health
conditions of these people improved. We are very apt to think of the
African as a stupid person whose ignorance of nature is only equalled
by his fear of it, and who looks on all mishaps as caused by evil
spirits and malignant natural powers. It is much more correct to
assume in this case that the people very early learnt to distinguish
districts infested with malaria from those where it is absent.
This knowledge is crystallized in the
ancestral warning against settling in the
valleys and near the great waters, the
dwelling-places of disease and death. At the
same time, for security against the hostile
Mavia south of the Rovuma, it was enacted
that every settlement must be not less than a
certain distance from the southern edge of the
plateau. Such in fact is their mode of life at the
present day. It is not such a bad one, and
certainly they are both safer and more
comfortable than the Makua, the recent
intruders from the south, who have made USUAL METHOD OF
good their footing on the western edge of the CLOSING HUT-DOOR
plateau, extending over a fairly wide belt of
country. Neither Makua nor Makonde show in their dwellings
anything of the size and comeliness of the Yao houses in the plain,
especially at Masasi, Chingulungulu and Zuza’s. Jumbe Chauro, a
Makonde hamlet not far from Newala, on the road to Mahuta, is the
most important settlement of the tribe I have yet seen, and has fairly
spacious huts. But how slovenly is their construction compared with
the palatial residences of the elephant-hunters living in the plain.
The roofs are still more untidy than in the general run of huts during
the dry season, the walls show here and there the scanty beginnings
or the lamentable remains of the mud plastering, and the interior is a
veritable dog-kennel; dirt, dust and disorder everywhere. A few huts
only show any attempt at division into rooms, and this consists
merely of very roughly-made bamboo partitions. In one point alone
have I noticed any indication of progress—in the method of fastening
the door. Houses all over the south are secured in a simple but
ingenious manner. The door consists of a set of stout pieces of wood
or bamboo, tied with bark-string to two cross-pieces, and moving in
two grooves round one of the door-posts, so as to open inwards. If
the owner wishes to leave home, he takes two logs as thick as a man’s
upper arm and about a yard long. One of these is placed obliquely
against the middle of the door from the inside, so as to form an angle
of from 60° to 75° with the ground. He then places the second piece
horizontally across the first, pressing it downward with all his might.
It is kept in place by two strong posts planted in the ground a few
inches inside the door. This fastening is absolutely safe, but of course
cannot be applied to both doors at once, otherwise how could the
owner leave or enter his house? I have not yet succeeded in finding
out how the back door is fastened.
MAKONDE LOCK AND KEY AT JUMBE CHAURO

This is the general way of closing a house. The Makonde at Jumbe
Chauro, however, have a much more complicated, solid and original
one. Here, too, the door is as already described, except that there is
only one post on the inside, standing by itself about six inches from
one side of the doorway. Opposite this post is a hole in the wall just
large enough to admit a man’s arm. The door is closed inside by a
large wooden bolt passing through a hole in this post and pressing
with its free end against the door. The other end has three holes into
which fit three pegs running in vertical grooves inside the post. The
door is opened with a wooden key about a foot long, somewhat
curved and sloped off at the butt; the other end has three pegs
corresponding to the holes, in the bolt, so that, when it is thrust
through the hole in the wall and inserted into the rectangular
opening in the post, the pegs can be lifted and the bolt drawn out.[50]
MODE OF INSERTING THE KEY
With no small pride first one householder and then a second

showed me on the spot the action of this greatest invention of the
Makonde Highlands. To both with an admiring exclamation of
“Vizuri sana!” (“Very fine!”). I expressed the wish to take back these
marvels with me to Ulaya, to show the Wazungu what clever fellows
the Makonde are. Scarcely five minutes after my return to camp at
Newala, the two men came up sweating under the weight of two
heavy logs which they laid down at my feet, handing over at the same
time the keys of the fallen fortress. Arguing, logically enough, that if
the key was wanted, the lock would be wanted with it, they had taken
their axes and chopped down the posts—as it never occurred to them
to dig them out of the ground and so bring them intact. Thus I have
two badly damaged specimens, and the owners, instead of praise,
come in for a blowing-up.
The Makua huts in the environs of Newala are especially
miserable; their more than slovenly construction reminds one of the
temporary erections of the Makua at Hatia’s, though the people here
have not been concerned in a war. It must therefore be due to
congenital idleness, or else to the absence of a powerful chief. Even
the baraza at Mlipa’s, a short hour’s walk south-east of Newala,
shares in this general neglect. While public buildings in this country
are usually looked after more or less carefully, this is in evident
danger of being blown over by the first strong easterly gale. The only
attractive object in this whole district is the grave of the late chief
Mlipa. I visited it in the morning, while the sun was still trying with
partial success to break through the rolling mists, and the circular
grove of tall euphorbias, which, with a broken pot, is all that marks
the old king’s resting-place, impressed one with a touch of pathos.
Even my very materially-minded carriers seemed to feel something
of the sort, for instead of their usual ribald songs, they chanted
solemnly, as we marched on through the dense green of the Makonde
bush:—
“We shall arrive with the great master; we stand in a row and have
no fear about getting our food and our money from the Serkali (the
Government). We are not afraid; we are going along with the great
master, the lion; we are going down to the coast and back.”
With regard to the characteristic features of the various tribes here
on the western edge of the plateau, I can arrive at no other
conclusion than the one already come to in the plain, viz., that it is
impossible for anyone but a trained anthropologist to assign any
given individual at once to his proper tribe. In fact, I think that even
an anthropological specialist, after the most careful examination,
might find it a difficult task to decide. The whole congeries of peoples
collected in the region bounded on the west by the great Central
African rift, Tanganyika and Nyasa, and on the east by the Indian
Ocean, are closely related to each other—some of their languages are
only distinguished from one another as dialects of the same speech,
and no doubt all the tribes present the same shape of skull and
structure of skeleton. Thus, surely, there can be no very striking
differences in outward appearance.
Even did such exist, I should have no time
to concern myself with them, for day after day,
I have to see or hear, as the case may be—in
any case to grasp and record—an
extraordinary number of ethnographic
phenomena. I am almost disposed to think it
fortunate that some departments of inquiry, at
least, are barred by external circumstances.
Chief among these is the subject of iron-
working. We are apt to think of Africa as a
country where iron ore is everywhere, so to
speak, to be picked up by the roadside, and
where it would be quite surprising if the
inhabitants had not learnt to smelt the
material ready to their hand. In fact, the
knowledge of this art ranges all over the
continent, from the Kabyles in the north to the
Kafirs in the south. Here between the Rovuma
and the Lukuledi the conditions are not so
favourable. According to the statements of the
Makonde, neither ironstone nor any other
form of iron ore is known to them. They have
not therefore advanced to the art of smelting
the metal, but have hitherto bought all their
THE ANCESTRESS OF
THE MAKONDE
iron implements from neighbouring tribes.
Even in the plain the inhabitants are not much
better off. Only one man now living is said to
understand the art of smelting iron. This old fundi lives close to
Huwe, that isolated, steep-sided block of granite which rises out of
the green solitude between Masasi and Chingulungulu, and whose
jagged and splintered top meets the traveller’s eye everywhere. While
still at Masasi I wished to see this man at work, but was told that,
frightened by the rising, he had retired across the Rovuma, though
he would soon return. All subsequent inquiries as to whether the
fundi had come back met with the genuine African answer, “Bado”
(“Not yet”).
BRAZIER
Some consolation was afforded me by a brassfounder, whom I

came across in the bush near Akundonde’s. This man is the favourite
of women, and therefore no doubt of the gods; he welds the glittering
brass rods purchased at the coast into those massive, heavy rings
which, on the wrists and ankles of the local fair ones, continually give
me fresh food for admiration. Like every decent master-craftsman he
had all his tools with him, consisting of a pair of bellows, three
crucibles and a hammer—nothing more, apparently. He was quite
willing to show his skill, and in a twinkling had fixed his bellows on
the ground. They are simply two goat-skins, taken off whole, the four
legs being closed by knots, while the upper opening, intended to
admit the air, is kept stretched by two pieces of wood. At the lower
end of the skin a smaller opening is left into which a wooden tube is
stuck. The fundi has quickly borrowed a heap of wood-embers from
the nearest hut; he then fixes the free ends of the two tubes into an
earthen pipe, and clamps them to the ground by means of a bent
piece of wood. Now he fills one of his small clay crucibles, the dross
on which shows that they have been long in use, with the yellow
material, places it in the midst of the embers, which, at present are
only faintly glimmering, and begins his work. In quick alternation
the smith’s two hands move up and down with the open ends of the
bellows; as he raises his hand he holds the slit wide open, so as to let
the air enter the skin bag unhindered. In pressing it down he closes
the bag, and the air puffs through the bamboo tube and clay pipe into
the fire, which quickly burns up. The smith, however, does not keep
on with this work, but beckons to another man, who relieves him at
the bellows, while he takes some more tools out of a large skin pouch
carried on his back. I look on in wonder as, with a smooth round
stick about the thickness of a finger, he bores a few vertical holes into
the clean sand of the soil. This should not be difficult, yet the man
seems to be taking great pains over it. Then he fastens down to the
ground, with a couple of wooden clamps, a neat little trough made by
splitting a joint of bamboo in half, so that the ends are closed by the
two knots. At last the yellow metal has attained the right consistency,
and the fundi lifts the crucible from the fire by means of two sticks
split at the end to serve as tongs. A short swift turn to the left—a
tilting of the crucible—and the molten brass, hissing and giving forth
clouds of smoke, flows first into the bamboo mould and then into the
holes in the ground.
The technique of this backwoods craftsman may not be very far
advanced, but it cannot be denied that he knows how to obtain an
adequate result by the simplest means. The ladies of highest rank in
this country—that is to say, those who can afford it, wear two kinds
of these massive brass rings, one cylindrical, the other semicircular
in section. The latter are cast in the most ingenious way in the
bamboo mould, the former in the circular hole in the sand. It is quite
a simple matter for the fundi to fit these bars to the limbs of his fair
customers; with a few light strokes of his hammer he bends the
pliable brass round arm or ankle without further inconvenience to
the wearer.
SHAPING THE POT
SMOOTHING WITH MAIZE-COB
CUTTING THE EDGE

FINISHING THE BOTTOM
LAST SMOOTHING BEFORE

BURNING
FIRING THE BRUSH-PILE

LIGHTING THE FARTHER SIDE OF
THE PILE
TURNING THE RED-HOT VESSEL
NYASA WOMAN MAKING POTS AT MASASI

Pottery is an art which must always and everywhere excite the
interest of the student, just because it is so intimately connected with
the development of human culture, and because its relics are one of
the principal factors in the reconstruction of our own condition in
prehistoric times. I shall always remember with pleasure the two or
three afternoons at Masasi when Salim Matola’s mother, a slightly-
built, graceful, pleasant-looking woman, explained to me with
touching patience, by means of concrete illustrations, the ceramic art
of her people. The only implements for this primitive process were a
lump of clay in her left hand, and in the right a calabash containing
the following valuables: the fragment of a maize-cob stripped of all
its grains, a smooth, oval pebble, about the size of a pigeon’s egg, a
few chips of gourd-shell, a bamboo splinter about the length of one’s
hand, a small shell, and a bunch of some herb resembling spinach.
Nothing more. The woman scraped with the
shell a round, shallow hole in the soft, fine
sand of the soil, and, when an active young
girl had filled the calabash with water for her,
she began to knead the clay. As if by magic it
gradually assumed the shape of a rough but
already well-shaped vessel, which only wanted
a little touching up with the instruments
before mentioned. I looked out with the
MAKUA WOMAN closest attention for any indication of the use
MAKING A POT. of the potter’s wheel, in however rudimentary
SHOWS THE a form, but no—hapana (there is none). The
BEGINNINGS OF THE embryo pot stood firmly in its little
POTTER’S WHEEL
depression, and the woman walked round it in
a stooping posture, whether she was removing
small stones or similar foreign bodies with the maize-cob, smoothing
the inner or outer surface with the splinter of bamboo, or later, after
letting it dry for a day, pricking in the ornamentation with a pointed
bit of gourd-shell, or working out the bottom, or cutting the edge
with a sharp bamboo knife, or giving the last touches to the finished
vessel. This occupation of the women is infinitely toilsome, but it is
without doubt an accurate reproduction of the process in use among
our ancestors of the Neolithic and Bronze ages.
There is no doubt that the invention of pottery, an item in human
progress whose importance cannot be over-estimated, is due to
women. Rough, coarse and unfeeling, the men of the horde range
over the countryside. When the united cunning of the hunters has
succeeded in killing the game; not one of them thinks of carrying
home the spoil. A bright fire, kindled by a vigorous wielding of the
drill, is crackling beside them; the animal has been cleaned and cut
up secundum artem, and, after a slight singeing, will soon disappear
under their sharp teeth; no one all this time giving a single thought
to wife or child.
To what shifts, on the other hand, the primitive wife, and still more
the primitive mother, was put! Not even prehistoric stomachs could
endure an unvarying diet of raw food. Something or other suggested
the beneficial effect of hot water on the majority of approved but
indigestible dishes. Perhaps a neighbour had tried holding the hard
roots or tubers over the fire in a calabash filled with water—or maybe
an ostrich-egg-shell, or a hastily improvised vessel of bark. They
became much softer and more palatable than they had previously
been; but, unfortunately, the vessel could not stand the fire and got
charred on the outside. That can be remedied, thought our
ancestress, and plastered a layer of wet clay round a similar vessel.
This is an improvement; the cooking utensil remains uninjured, but
the heat of the fire has shrunk it, so that it is loose in its shell. The
next step is to detach it, so, with a firm grip and a jerk, shell and
kernel are separated, and pottery is invented. Perhaps, however, the
discovery which led to an intelligent use of the burnt-clay shell, was
made in a slightly different way. Ostrich-eggs and calabashes are not
to be found in every part of the world, but everywhere mankind has
arrived at the art of making baskets out of pliant materials, such as
bark, bast, strips of palm-leaf, supple twigs, etc. Our inventor has no
water-tight vessel provided by nature. “Never mind, let us line the
basket with clay.” This answers the purpose, but alas! the basket gets
burnt over the blazing fire, the woman watches the process of
cooking with increasing uneasiness, fearing a leak, but no leak
appears. The food, done to a turn, is eaten with peculiar relish; and
the cooking-vessel is examined, half in curiosity, half in satisfaction
at the result. The plastic clay is now hard as stone, and at the same
time looks exceedingly well, for the neat plaiting of the burnt basket
is traced all over it in a pretty pattern. Thus, simultaneously with
pottery, its ornamentation was invented.
Primitive woman has another claim to respect. It was the man,
roving abroad, who invented the art of producing fire at will, but the
woman, unable to imitate him in this, has been a Vestal from the
earliest times. Nothing gives so much trouble as the keeping alight of
the smouldering brand, and, above all, when all the men are absent
from the camp. Heavy rain-clouds gather, already the first large
drops are falling, the first gusts of the storm rage over the plain. The
little flame, a greater anxiety to the woman than her own children,
flickers unsteadily in the blast. What is to be done? A sudden thought
occurs to her, and in an instant she has constructed a primitive hut
out of strips of bark, to protect the flame against rain and wind.
This, or something very like it, was the way in which the principle
of the house was discovered; and even the most hardened misogynist
cannot fairly refuse a woman the credit of it. The protection of the
hearth-fire from the weather is the germ from which the human
dwelling was evolved. Men had little, if any share, in this forward
step, and that only at a late stage. Even at the present day, the
plastering of the housewall with clay and the manufacture of pottery
are exclusively the women’s business. These are two very significant
survivals. Our European kitchen-garden, too, is originally a woman’s
invention, and the hoe, the primitive instrument of agriculture, is,
characteristically enough, still used in this department. But the
noblest achievement which we owe to the other sex is unquestionably
the art of cookery. Roasting alone—the oldest process—is one for
which men took the hint (a very obvious one) from nature. It must
have been suggested by the scorched carcase of some animal
overtaken by the destructive forest-fires. But boiling—the process of
improving organic substances by the help of water heated to boiling-
point—is a much later discovery. It is so recent that it has not even
yet penetrated to all parts of the world. The Polynesians understand
how to steam food, that is, to cook it, neatly wrapped in leaves, in a
hole in the earth between hot stones, the air being excluded, and
(sometimes) a few drops of water sprinkled on the stones; but they
do not understand boiling.
To come back from this digression, we find that the slender Nyasa
woman has, after once more carefully examining the finished pot,
put it aside in the shade to dry. On the following day she sends me
word by her son, Salim Matola, who is always on hand, that she is
going to do the burning, and, on coming out of my house, I find her
already hard at work. She has spread on the ground a layer of very
dry sticks, about as thick as one’s thumb, has laid the pot (now of a
yellowish-grey colour) on them, and is piling brushwood round it.
My faithful Pesa mbili, the mnyampara, who has been standing by,
most obligingly, with a lighted stick, now hands it to her. Both of
them, blowing steadily, light the pile on the lee side, and, when the
flame begins to catch, on the weather side also. Soon the whole is in a
blaze, but the dry fuel is quickly consumed and the fire dies down, so
that we see the red-hot vessel rising from the ashes. The woman
turns it continually with a long stick, sometimes one way and
sometimes another, so that it may be evenly heated all over. In
twenty minutes she rolls it out of the ash-heap, takes up the bundle
of spinach, which has been lying for two days in a jar of water, and
sprinkles the red-hot clay with it. The places where the drops fall are
marked by black spots on the uniform reddish-brown surface. With a
sigh of relief, and with visible satisfaction, the woman rises to an
erect position; she is standing just in a line between me and the fire,
from which a cloud of smoke is just rising: I press the ball of my
camera, the shutter clicks—the apotheosis is achieved! Like a
priestess, representative of her inventive sex, the graceful woman
stands: at her feet the hearth-fire she has given us beside her the
invention she has devised for us, in the background the home she has
built for us.
At Newala, also, I have had the manufacture of pottery carried on
in my presence. Technically the process is better than that already
described, for here we find the beginnings of the potter’s wheel,
which does not seem to exist in the plains; at least I have seen
nothing of the sort. The artist, a frightfully stupid Makua woman, did
not make a depression in the ground to receive the pot she was about
to shape, but used instead a large potsherd. Otherwise, she went to
work in much the same way as Salim’s mother, except that she saved
herself the trouble of walking round and round her work by squatting
at her ease and letting the pot and potsherd rotate round her; this is
surely the first step towards a machine. But it does not follow that
the pot was improved by the process. It is true that it was beautifully
rounded and presented a very creditable appearance when finished,
but the numerous large and small vessels which I have seen, and, in
part, collected, in the “less advanced” districts, are no less so. We
moderns imagine that instruments of precision are necessary to
produce excellent results. Go to the prehistoric collections of our
museums and look at the pots, urns and bowls of our ancestors in the
dim ages of the past, and you will at once perceive your error.
MAKING LONGITUDINAL CUT IN
BARK
DRAWING THE BARK OFF THE LOG
REMOVING THE OUTER BARK

BEATING THE BARK
WORKING THE BARK-CLOTH AFTER BEATING, TO MAKE IT

SOFT
MANUFACTURE OF BARK-CLOTH AT NEWALA

To-day, nearly the whole population of German East Africa is
clothed in imported calico. This was not always the case; even now in
some parts of the north dressed skins are still the prevailing wear,
and in the north-western districts—east and north of Lake
Tanganyika—lies a zone where bark-cloth has not yet been
superseded. Probably not many generations have passed since such
bark fabrics and kilts of skins were the only clothing even in the
south. Even to-day, large quantities of this bright-red or drab
material are still to be found; but if we wish to see it, we must look in
the granaries and on the drying stages inside the native huts, where
it serves less ambitious uses as wrappings for those seeds and fruits
which require to be packed with special care. The salt produced at
Masasi, too, is packed for transport to a distance in large sheets of
bark-cloth. Wherever I found it in any degree possible, I studied the
process of making this cloth. The native requisitioned for the
purpose arrived, carrying a log between two and three yards long and
as thick as his thigh, and nothing else except a curiously-shaped
mallet and the usual long, sharp and pointed knife which all men and
boys wear in a belt at their backs without a sheath—horribile dictu!
[51]
Silently he squats down before me, and with two rapid cuts has
drawn a couple of circles round the log some two yards apart, and
slits the bark lengthwise between them with the point of his knife.
With evident care, he then scrapes off the outer rind all round the
log, so that in a quarter of an hour the inner red layer of the bark
shows up brightly-coloured between the two untouched ends. With
some trouble and much caution, he now loosens the bark at one end,
and opens the cylinder. He then stands up, takes hold of the free
edge with both hands, and turning it inside out, slowly but steadily
pulls it off in one piece. Now comes the troublesome work of
scraping all superfluous particles of outer bark from the outside of
the long, narrow piece of material, while the inner side is carefully
scrutinised for defective spots. At last it is ready for beating. Having
signalled to a friend, who immediately places a bowl of water beside
him, the artificer damps his sheet of bark all over, seizes his mallet,
lays one end of the stuff on the smoothest spot of the log, and
hammers away slowly but continuously. “Very simple!” I think to
myself. “Why, I could do that, too!”—but I am forced to change my
opinions a little later on; for the beating is quite an art, if the fabric is
not to be beaten to pieces. To prevent the breaking of the fibres, the
stuff is several times folded across, so as to interpose several
thicknesses between the mallet and the block. At last the required
state is reached, and the fundi seizes the sheet, still folded, by both
ends, and wrings it out, or calls an assistant to take one end while he
holds the other. The cloth produced in this way is not nearly so fine
and uniform in texture as the famous Uganda bark-cloth, but it is
quite soft, and, above all, cheap.
Now, too, I examine the mallet. My craftsman has been using the
simpler but better form of this implement, a conical block of some
hard wood, its base—the striking surface—being scored across and
across with more or less deeply-cut grooves, and the handle stuck
into a hole in the middle. The other and earlier form of mallet is
shaped in the same way, but the head is fastened by an ingenious
network of bark strips into the split bamboo serving as a handle. The
observation so often made, that ancient customs persist longest in
connection with religious ceremonies and in the life of children, here
finds confirmation. As we shall soon see, bark-cloth is still worn
during the unyago,[52] having been prepared with special solemn
ceremonies; and many a mother, if she has no other garment handy,
will still put her little one into a kilt of bark-cloth, which, after all,
looks better, besides being more in keeping with its African
surroundings, than the ridiculous bit of print from Ulaya.
MAKUA WOMEN

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Chapter 1 Introduction: The Nature of Leadership 1

Chapter 1 INTRODUCTION: THE NATURE OF LEADERSHIP 1

Chapter 2 NATURE OF MANAGERIAL WORK 23

CHAPTER 3 EFFECTIVE LEADERSHIP BEHAVIOR 48

Providing Praise and Recognition 68

CHAPTER 4 LEADING CHANGE AND INNOVATION 76

CHAPTER 5 PARTICIPATIVE LEADERSHIP AND EMPOWERMENT 105

CHAPTER 6 LEADERSHIP TRAITS AND SKILLS 135

Skills and Effective Leadership 148

CHAPTER 7 CONTINGENCY THEORIES AND ADAPTIVE

CHAPTER 8 POWER AND INFLUENCE TACTICS 185

CHAPTER 9 DYADIC RELATIONS AND FOLLOWERS 221

CHAPTER 10 LEADERSHIP IN TEAMS AND DECISION

CHAPTER 11 STRATEGIC LEADERSHIP IN ORGANIZATIONS 276

Executive Teams 291

CHAPTER 12 CHARISMATIC AND TRANSFORMATIONAL

Attribution Theory of Charismatic Leadership 310

CHAPTER 13 ETHICAL, SERVANT, SPIRITUAL, AND AUTHENTIC

Conceptions of Ethical Leadership 341

CHAPTER 14 CROSS-CULTURAL LEADERSHIP AND DIVERSITY 360

CHAPTER 15 DEVELOPING LEADERSHIP SKILLS 381

CHAPTER 16 OVERVIEW AND INTEGRATION 404

Introduction: The Nature

TABLE 1-1 Definitions of Leadership

Specialized Role or Shared Influence Process?

Type of Influence Process

Purpose of Influence Attempts

Influence Based on Reason or Emotions

Direct and Indirect Leadership

A Working Definition of Key Terms

TABLE 1-2 What Leaders Can Influence

Indicators of Leadership Effectiveness

Immediate and Delayed Outcomes

What Criteria to Use?

Major Perspectives in Leadership Theory and Research

TABLE 1-3 Key Variables in Leadership Theories

Level of Conceptualization for Leadership Theories

FIGURE 1-3 Levels of Conceptualization for Leadership Processes

TABLE 1-4 Research Questions at Different Levels of Conceptualization

An example of a dyadic leadership theory is the leader-member exchange (LMX) theory

As compared to dyadic or group-level theories of leadership, organization-level theories

Other Bases for Comparing Leadership Theories

Leader-Centered or Follower-Centered Theory

Newala, too, suffers from the distance of its water-supply—at least

The water-supply of New Newala is in the bottom of the valley,

NATIVE PATH THROUGH THE MAKONDE BUSH, NEAR

MAKONDE LOCK AND KEY AT JUMBE CHAURO

MODE OF INSERTING THE KEY

With no small pride first one householder and then a second

Some consolation was afforded me by a brassfounder, whom I

SMOOTHING WITH MAIZE-COB

CUTTING THE EDGE

LAST SMOOTHING BEFORE

FIRING THE BRUSH-PILE

TURNING THE RED-HOT VESSEL

NYASA WOMAN MAKING POTS AT MASASI

DRAWING THE BARK OFF THE LOG

REMOVING THE OUTER BARK

WORKING THE BARK-CLOTH AFTER BEATING, TO MAKE IT

MANUFACTURE OF BARK-CLOTH AT NEWALA

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