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Organizational Leadership

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Organizational Leadership

Edited by

John Bratton

Los Angeles London

New Delhi Singapore

Washington DC Melbourne

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SAGE Publications Ltd

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© John Bratton 2020

First published 2020

Editorial Arrangement © John Bratton 2020

Foreword © Paul Gray 2020. Introduction © John Bratton 2020. Chapter 1 © John Bratton 2020. Chapter 2 © John Bratton,

George Boak 2020. Chapter 3 © Joanne Murphy, John Bratton 2020. Chapter 4 © David Denham, John Bratton 2020. Chapter 5 © Roslyn Larkin, John Burgess, Alan Montague 2020. Chapter 6

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© John Bratton 2020. Chapter 7 © John Bratton 2020. Chapter 8 © John Bratton 2020. Chapter 9 © John Bratton 2020. Chapter 10

© Kirsteen Grant 2020. Chapter 11 © Bernadette Scott 2020. Chapter 12 © Peter Watt, George Boak, Jeff Gold 2020. Chapter

13 © John Bratton, Helen Francis 2020. Chapter 14 © Lois Farquharson 2020. Chapter 15 © Colin Lindsay 2020. Chapter 16 © Andrew Bratton 2020. Chapter 17 © Markku Sotarauta 2020.

Apart from any fair dealing for the purposes of research or private study, or criticism or review, as permitted under the Copyright, Designs and Patents Act, 1988, this publication may be reproduced, stored or transmitted in any form, or by any means, only with the prior permission in writing of the publishers, or in the case of reprographic reproduction, in accordance with the terms of licences issued by the Copyright Licensing Agency. Enquiries concerning reproduction outside those terms should be sent to the publishers.

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ISBN 978-1-5264-6011-0

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The honest man, though e’er sae poor,

Is king o’ men for a’ that!

(Robert Burns)

If you want to go fast, go alone. If you want to go far, go together.

(African proverb)

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Praise for Organizational Leadership

‘Organizational Leadership brings together a number of leading scholars to provide a comprehensive perspective on leadership. This text offers an accessible exploration of different aspects of leadership and the many challenges and issues facing contemporary leaders. By analysing and critiquing different leadership theories and practices, Organizational Leadership encourages students to take a critical approach to effectively evaluate how leaders operate.’

Jennifer Robertson, Associate Professor of Human Resource Management, Western University, Canada

‘A book that covers all facets of leadership, in theory and in practice, with a critical approach that will benefit students and practitioners. Its comprehensive coverage of contemporary and timely leadership themes make it a valuable resource for effective people management in today’s diverse and complex workplaces.’

Lori Rilkoff, Human Resources and Safety Director, City of Kamloops, Canada

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Summary of Contents 1. Your Guide to Using this Book 2. About the Contributors 3. Acknowledgements 4. List of Figures 5. List of Tables 6. List of Videos 7. Foreword 8. Introduction 9. Part I Contextualizing Leadership

1. 1 The Nature of Leadership 2. 2 Strategic Management, Innovation and Leadership 3. 3 Power and Leadership 4. 4 Culture and Leadership 5. 5 Ethics and Leadership

10. Part II Leadership Theories 1. 6 Trait, Behaviour and Contingency Theories of

Leadership 2. 7 Charismatic and Transformational Leadership 3. 8 Relational and Distributed Theories of Leadership

11. Part III Managing People and Leadership 1. 9 Human Resource Management and Leadership 2. 10 Talent Management and Leadership 3. 11 Performance Management and Leadership 4. 12 Leadership Development

12. Part IV Contemporary Leadership 1. 13 Followers, Communication and Leadership 2. 14 Gender and Leadership 3. 15 Leadership in Public Sector Organizations 4. 16 Leading Pro-Environmental Change 5. 17 Leadership for Urban and Regional Innovation

13. Bibliography 14. Index

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Detailed Contents Your Guide to Using this Book

In the book you’ll find On the website you’ll find For lecturers

About the Contributors Acknowledgements List of Figures List of Tables List of Videos Foreword Introduction

Objectives of this book A framework for studying leadership The organization of this book

Part I Contextualizing Leadership 1 The Nature of Leadership

Chapter outline Learning outcomes Introduction Defining leadership Leadership and management Mapping the changing study of leadership Critical leadership studies The employment relationship Conclusion Chapter review questions Further reading

2 Strategic Management, Innovation and Leadership Chapter outline Learning outcomes Introduction Strategic management A framework for studying strategy and leadership The nature of innovation The external and internal contexts driving innovation Leaders’ roles in innovation processes Evaluation and criticism

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Conclusion Chapter review questions Further reading

3 Power and Leadership Chapter outline Learning outcomes Introduction Conceptualizing power Different perspectives on power Power and management Conclusion Chapter review questions Further reading

4 Culture and Leadership Chapter outline Learning outcomes Introduction The nature of national cultures Understanding organizational culture Perspectives on organizational culture Organizational culture, climate and leadership Evaluation and criticism Conclusion Chapter review questions Further reading

5 Ethics and Leadership Chapter outline Learning outcomes Introduction The nature of ethical leadership Philosophical approaches to ethical leadership Dimensions of ethical leadership Organizations behaving badly: failures in ethical leadership Context, the rhetoric and reality Whistleblowing: is it responsible behaviour? Millennial leadership, digitization and artificial intelligence Conclusion Chapter review questions

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Further reading Part II Leadership Theories

6 Trait, Behaviour and Contingency Theories of Leadership

Chapter outline Learning outcomes Introduction Leader traits and attributes Leader behaviour and styles Contingency theories of leadership Conclusion Chapter review questions Further reading

7 Charismatic and Transformational Leadership Chapter outline Learning outcomes Introduction The nature of charismatic leadership Neo-theories of charismatic leadership Transformational leadership Critiquing charismatic and transformational leadership Conclusion Chapter review questions Further reading

8 Relational and Distributed Theories of Leadership Chapter outline Learning outcomes Introduction Classical relational studies Contemporary theories of relational leadership Positivist dyadic relational perspectives Social constructionist group-level relational perspectives The growth of distributed leadership Practising distributed and shared leadership Evaluation and criticism Conclusion Chapter review questions Further reading

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Part III Managing People and Leadership 9 Human Resource Management and Leadership

Chapter outline Learning outcomes Introduction The nature of human resource management Scope and functions of human resource management Theorizing human resource management Human resource management and leadership Critiquing the human resource management discourse Conclusion Chapter review questions Further reading

10 Talent Management and Leadership Chapter outline Learning outcomes Introduction The nature of talent and talent management Leading and managing talent The influence of ‘talented followership’ on co- producing leadership Collaborative talent management Critiquing the talent management debate Conclusion Chapter review questions Further reading

11 Performance Management and Leadership Chapter outline Learning outcomes Introduction The nature and purpose of performance management Determinants of employee and organizational performance Historical milestones in the development of performance management The performance management appraisal process Modelling leadership and performance

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Problems of methodology and theory Criticism of individual performance appraisals Conclusion Chapter review questions Further reading

12 Leadership Development Chapter outline Learning outcomes Introduction Leader and leadership development in organizations Reflection and critical thinking for leadership development What capabilities should leaders develop? Approaches to leaders’ development Approaches to the development of leadership in others Conclusion Chapter review questions Further reading

Part IV Contemporary Leadership 13 Followers, Communication and Leadership

Chapter outline Learning outcomes Introduction The nature of followership Follower behaviour and personality Follower behaviour and motivation Dialogic conversation and leadership Conclusion Chapter review questions Further reading

14 Gender and Leadership Chapter outline Learning outcomes Introduction The nature of diversity The glass ceiling, the labyrinth and the glass cliff Gender pay gap Women in global leadership Millennial women and leadership

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Future challenges for practices of gender diversity and inclusion Supporting women to lead Conclusion Chapter review questions Further reading

15 Leadership in Public Sector Organizations Chapter outline Learning outcomes Introduction Problematizing public sector leadership Distinctive challenges associated with public sector leadership The new public management and the rise of transformational leadership Beyond transformational leadership: shared and distributed leadership Challenges of distributed leadership in public sector organizations Leadership and performance in public sector organizations Conclusion Chapter review questions Further reading

16 Leading Pro-Environmental Change Chapter outline Learning outcomes Introduction The nature of environmental sustainability Employees’ pro-environmental behaviours and environmental management systems Environmental leadership, organizational change and culture Creating a sustainable workplace through human resource practices Employee voice in environmental sustainability Critical perspectives on corporate-oriented sustainability Conclusion Chapter review questions

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Further reading 17 Leadership for Urban and Regional Innovation

Chapter outline Learning outcomes Introduction The nature of place-based leadership for urban and regional innovation Regional innovation systems and strategies Placed-based leadership Place-based leaders, knowledge producers and decision makers Generative leadership – a missing link in transformative efforts Criticism and exemplary research for place-based leadership Conclusion Chapter review questions Further reading

Bibliography Index

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Your guide to using this book

Organizational Leadership has been developed with a number of print and online features to help you succeed in your course.

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In the Book You’ll Find:

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Leadership in Action boxes Short case studies demonstrate leadership approaches and concepts in practice and introduce you to examples from around the world.

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Critical Insight boxes Contemporary debates and examples are analysed through different viewpoints and help you to develop your critical thinking skills.

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Pause and Reflect boxes Short activities check your understanding as you progress through each chapter.

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Chapter Review Questions End-of-chapter questions test your knowledge and help you to identify areas for revision.

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Assignment Tasks Longer activities at the end of each chapter develop your research, analytical and problem-solving skills.

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Further Reading Suggested book chapters and journal articles help you to build your bibliography for assignments.

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Case Study An extended case study in each chapter provides a deeper insight into how key leadership issues and ideas manifest in practice.

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On the Website You’ll Find:

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Videos

Watch video conversations with leaders sharing insights into the reality of leadership practice across a diverse range of organizations. Find out about:

how leaders can incorporate social good into their business models leading teams on the front lines in Iraq challenges and opportunities for women in leadership roles fostering a shared organizational culture in a multinational enterprise collective leadership in the NHS and much more!

See the full list of videos on pages XXIX–XXX.

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Case Studies Read SAGE Business Cases to find out about leadership in practice around the world:

Sydney Brian-Peters: A Case Study in Gender and Leadership Issues Transformational Leadership—Steve Jobs Now What? Now Who? A Mexican Small Family Business in Transition Leader–Member Exchange Theory: Barack Obama The BMW Group’s Journey to Leadership in Sustainable Development Practice

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Further Reading Access SAGE journal articles to delve deeper into the field of leadership and prepare for assignments.

Online resources can be accessed at https://study.sagepub.com/bratton. See inside the front cover of this book for your access code.

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For Lecturers A selection of tried and tested teaching resources have been developed to accompany this text and support your course. Visit https://study.sagepub.com/bratton to set up or use your instructor login and access:

A video teaching guide with notes and questions to help you make the most of the video conversations in class. PowerPoint slides that can be adapted and edited to suit your own teaching needs. Testbank questions offering a variety of multiple choice questions to use with your students. SAGE business cases to use in class or as material for homework.

All resources have been designed and formatted to upload easily into your LMS or VLE. Visit https://study.sagepub.com/bratton for more details.

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About the Contributors

John Bratton holds visiting professorships at both Strathclyde University, Glasgow, and at Edinburgh Napier University, Scotland. He has more than 30 years’ experience of teaching a range of organizational behaviour, leadership and HRM courses, at both undergraduate and graduate levels, mainly in the UK and Canada, but also in Finland and Singapore. His research interests traverse the sociology of work and management. In addition to editing this book, John is author of Japanization at Work: Managerial Studies in the 1990s; co-author of Workplace Learning: A Critical Introduction (2004); co-author of Organizational Leadership (with Keith Grint and Debra Nelson) (2005); co-author of Human Resource Management: Theory and Practice (with Jeff Gold) (2017), now in its sixth edition; co-author of Capitalism and Classical Social Theory (with David Denham) (2019), now in its third edition, and author of Work and Organizational Behaviour (2020), now in its fourth edition.

George Boak is a Senior Lecturer in Leadership and Innovation at York St John University. He has worked on aspects of individual and organizational development for 30 years, with managers and professionals from a wide range of public sector and large private sector companies in manufacturing, banking and energy, as well as with smaller companies. He currently works with experienced managers and professionals on York Business School’s executive MBA programmes.

John Burgess is Professor of Human Resource Management at RMIT University, Melbourne, Australia. His recent research has included human capacity development in Asia, employment conditions in the aged care sector, HRM programmes of multinational enterprises, graduate work readiness and transitional labour markets.

Andrew Bratton

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is a Lecturer in Human Resource Management at Queen Margaret University, Edinburgh. He previously worked as a Knowledge Transfer Partnership (KTP) Associate in Business Process Improvement and Knowledge Management, at the University of Strathclyde, in a Microsoft technology consultancy company. His research interests include innovative and sustainable workplaces, change management and employee voice. His current research centres on knowledge management and the application of lean and agile practices in small and medium-sized enterprises.

David Denham, prior to his retirement, was Senior Lecturer in Sociology at Wolverhampton University, where he has subsequently been, until 2018, Honorary Research Fellow within the Faculty of Social Sciences. He has taught a wide variety of sociology courses over a career of 35 years. David has published articles on the sociology of law, criminology, and the sociology of sport, and is co-author with Lorraine Wolhunter and Neil Olley of Victimology: Victimization and Victim’s Rights and co- author (with John Bratton) of Capitalism and Classical Social Theory (3rd edn) (2019).

Lois Farquharson is the Deputy Dean (Education & Professional Practice) in The Faculty of Management and The Business School at Bournemouth University. As an experienced leader, she demonstrates a strong scholarly and practice-based understanding of delivering effective diversity and inclusion in dynamic organizational contexts. Her areas of research and knowledge exchange work are focused on leadership practice, change management, socio-emotional intelligence and good practice HRM. She is also a certified facilitator for the Strengths Deployment Inventory (SDi), the Emotional Quotient Inventory (EQi) and Appreciative Inquiry (AI).

Helen Francis is Professor of People and Organization at Edinburgh Napier Business School and holds honorary professorships at St Andrews University and at the University of Strathclyde. Helen started her career in personnel management and industrial relations. When she moved into academia she completed a PhD in the role of language and strategic

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change. She has played key roles in research, teaching and commercial developments in public, private and not-for profit sectors. Helen has published in a wide range of academic and practitioner journals/textbooks, calling for the pursuit of more ‘balanced’ HR agendas. She is a Fellow of the Chartered Institute of Personnel and Development.

Jeff Gold is Professor of Organization Learning at York and Leeds Business Schools. He is a strong advocate of the need for actionable knowledge that is rigorously developed but relevant for practice. He has designed and delivered a wide range of seminars, programmes and workshops on talent management and development, change, strategic learning, futures and foresight, management and leadership development, with a particular emphasis on participation and distribution. He has worked closely with organizations such as Skipton Building Society, Hallmark Cards, the NHS, the Police Service, Leeds Bradford Boiler Company and a host of others. He is the co-author of CIPD’s Leadership and Management Development (with Richard Thorpe and Alan Mumford), The Gower Handbook of Leadership and Management Development (with Richard Thorpe and Alan Mumford), Human Resource Development (with Julie Beardwell, Paul Iles, Rick Holden and Jim Stewart) and Human Resource Management (with John Bratton), both published by Palgrave.

Kirsteen Grant is Associate Professor of Work and Employment at Edinburgh Napier University. Kirsteen draws on complementary backgrounds in organizational practice and academia. She has worked extensively in areas of organizational, professional, leadership and talent development. Her research interests centre on professional, responsible and precarious work; the changing nature and expectations of work; leadership; talent management; and workplace skills utilization. Kirsteen is passionate about bridging the gap between academic research and professional practice. She is a Chartered Fellow of the Chartered Institute of Personnel and Development (CIPD) and Senior Fellow of the Higher Education Academy (HEA).

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Roslyn Larkin is a Human Resource Management/Employment Relations lecturer at the University of Newcastle, Australia. Current research interests include ethical leadership, knowledge management in clusters, ethical AI across industry and university graduate destinations.

Colin Lindsay is Professor of Work and Employment Studies at the University of Strathclyde, Scotland. He has published more than 50 books and peer-reviewed articles on public policy and management and public governance issues. At the University of Strathclyde, he teaches at undergraduate, postgraduate and doctoral level on public management and employment studies.

Alan Montague is Programme Director for the Masters of Human Resource Management at RMIT University, Melbourne, Australia. Alan’s research, experience and publications are linked to skill/vocational shortages, government policies relating to the links between education and industry, and employment/education programme policy development. Leadership and workforce planning, critical commentary on corporate ethics and the impact of artificial intelligence on organizations and jobs are the focus of more recent work.

Joanne Murphy is a Senior Lecturer in Queen’s University Management School, Belfast, and Academic Director of Queen’s University William J. Clinton Leadership Institute. Her research focuses on how public, private and third-sector organizations, situated in environments of violent conflict, manage and function during violence and can contribute to building peace. She has published widely on issues of change, leadership and extreme contexts. Her new monograph, Managing in Conflict and Transition, is due for publication in 2020.

Bernadette Scott is a Senior Lecturer at Glasgow School for Business and Society (Glasgow Caledonian University). In an academic career spanning 28 years, she has designed and led many business programmes at home and overseas and is currently working with the African Leadership College in Mauritius to

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deliver Business Management education. Her PhD looks at employability and talent management and how these concepts have an impact on graduates. She is regularly asked to contribute to global trade publications, and recent journal outputs have looked at graduate employment and graduate talent management.

Markku Sotarauta is Professor of Regional Development Studies in the Faculty of Management and Business at Tampere University, Finland. He specializes in leadership, innovation systems and policies, and institutional entrepreneurship in city and regional development. Markku has published widely on these issues in international journals and edited books. His latest publication, Leadership and the City: Power, Strategy and Networks in the Making of Knowledge Cities (2018), is published by Routledge. He has worked with the Finnish Parliament, many Finnish ministries, Sweden’s Innovation Agency as well as cities and regions in Finland and in other countries.

Peter Watt is Senior Lecturer in Management and Organization and Director of Research at York Business School, York St John University. His research explores the cultural, philosophical and theological underpinnings of managerial and organizational practice and thought.

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Acknowledgements

The initial idea for this book originated from Kirsty Smy, Senior Commissioning Editor, of SAGE Publications, who suggested I should develop a proposal. The scope of the book was informed by discussions with Kirsteen Grant, of Edinburgh Napier University. The editorial work that ensued was far more challenging than I had anticipated and I would like to take this opportunity to acknowledge numerous individuals for their commitment to the project and help in bringing it to a successful conclusion. I am indebted to the other chapter authors who have contributed to this book. Each brought their own research and perspective of leadership to their chapter. Collectively, I believe they have helped to produce a distinctive book that offers undergraduates a readable, context-sensitive, nuanced and reflexive approach to studying contemporary leadership.

On behalf of all the chapter authors, I would like to thank the following reviewers for their invaluable feedback:

Linda Alker, Principal Lecturer, Manchester Metropolitan University Jane Boeske, Associate Lecturer, University of Southern Queensland Carol Bond, Lecturer, RMIT University Dave Chesley, Senior Lecturer, Leeds Beckett University Dean Horsman, Senior Lecturer, Leeds Becket University Heather Kent, Teaching Fellow, University of Sussex Frank Meier, PhD Fellow, Copenhagen Business School Pamella Murray, Senior Lecturer, University of Worcester Jan Myers, Associate Professor, Newcastle Business School Emma Roberts, former Associate Head of School (Learning & Teaching), Leeds Trinity University Sandra Romenska, Senior Lecturer and Deputy Head of School, St Andrews University Nataliya Rumyantseva, Senior Lecturer, University of Greenwich

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Jon Salkeld, Principal Lecturer and Director of Corporate and UK Partnerships, Anglia Ruskin University Norbert Steigenberger, Associate Professor, Jonkoping University Geoff Thomas, Professor, University of Surrey

I would also like to thank all the participants who gave their time and shared their experience and perspective on leadership during the production of the book’s leadership videos. These videos will not only accompany the book but form part of SAGE’s wider leadership video collection, providing students with a glimpse into the reality of leadership, beyond the rhetoric often learned in the lecture hall. Thank you to Adam Foskett, Helen Francis, Peter Goddard, Paul Gray, Sarah Hawkins, Stephen Moir, Beverley Petrossian, Paul Stanley, Catherine Thomson, Diane Vincent and Erinn Woodside. Additionally, I would like to thank Pamela McCloskey and Carmen Chai for developing the book’s other online resources.

I am most grateful to the team at SAGE Publications for making this book possible. In particular, I am beholden to our Development Editor, Laura Walmsley, for her encouragement and support over the length of the project, and good advice for improving the book. I thank, too, the cover designer, Francis Kenney for working with me to produce such a symbolic and eye- catching cover for the book. I also appreciate Ruth Stitt, Sarah Cooke and Martha Cunneen.

John Bratton, Edinburgh

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List of Figures 0.1 Leadership as an interconnected process 5 1.1 The classic Fayolian management cycle 17 2.1 The three traditional poles of a strategic plan 37 2.2 A framework for linking management strategy and leadership 38 2.3 Stages of the innovation process 49 4.1 The three levels of organizational culture 86 4.2 Climate as an artefact of organizational culture 88 6.1 A diagrammatic representation of the leadership grid 136 7.1 The augmented effect of transformational leadership 161 8.1 The incremental effect of group size on relationships 173 8.2 A taxonomy of relational theories 176 8.3 The vertical dyad 177 8.4 Relational leadership processes 182 8.5 Practising distributed/shared and team leadership 187 9.1 Kolb’s experiential cycle of learning 203 9.2 A framework for studying key HR policies and practices 206 9.3 The Harvard model of HRM 209 11.1 The performance management cycle 249 11.2 A framework for determinants of performance management 251 12.1 Informal and planned leadership development 271 13.1 A two-dimensional taxonomy of follower behaviour 298 13.2 Expectancy theory 305 13.3 Shein’s ‘road map’ of conversation 308 13.4 Balancing advocacy and inquiry 309 16.1 A strategy for creating a sustainable workplace 370 17.1 The relationship between place leaders, other actors and regional development and innovation 396

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List of Tables 1.1 Competing definitions of organizational leadership 14 1.2 Summary of cited distinction between management and leadership 20 1.3 Development of the main theories of leadership 22 3.1 Traditional and non-traditional conceptualizations of power 65 5.1 Assessing the ethical behaviour in work organizations 111 5.2 Classifying ethical behaviour in organizations 111 6.1 Key Attributes Related to Leadership Effectiveness 129 6.2 Path–goal theory in action 140 6.3 Situational leadership in action 142 8.1 The traditional and high-performance team models 185 9.1 The Storey model of HRM 211 9.2 HRM and transformational leadership behaviours 214 11.1 A hierarchical taxonomy of meta and specific behaviours 258 12.1 Revans’ classic principles of action learning 281 13.1 Howell and Mendez’s three perspectives on followership 292 13.2 The Big Five personality model 295 13.3 The Myers-Briggs personality model 296 13.4 A classification of motivation theories 301 13.5 Comparison of Maslow’s and Alderfer’s needs theories 303 13.6 Kantor’s model of structural dynamics 310 13.7 Paradoxical tensions 313 16.1 Different concepts of involvement and participation 376

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List of Videos You can find the following short video conversations online at: https://study.sagepub.com/bratton

Chapter 1: The Nature of Leadership with Professor Mats Alvesson, Lund University 12 Chapter 2: Strategic Management, Innovation and Leadership with Paul Stanley, CEO of Global Navigation Solutions 36 Chapter 3: Power and Leadership with Sara Hawkins, Founder and Director of Projekt 42 58 Chapter 4: Culture and Leadership with Peter Goddard, CEO of Myrseside Management 80 Chapter 5: Ethics and Leadership with Professor Mollie Painter, Nottingham Trent University 104 Chapter 6: Trait, Behaviour and Contingency Theories of Leadership with Erinn Woodside, V.P. of Development at Invisible Technologies Inc. 126 Chapter 7: Charismatic and Transformational Leadership with Professor Marianna Fotaki, the University of Warwick 150 Chapter 8: Relational and Distributed Theories of Leadership with Paul Gray, former CEO of NHS Scotland 172 Chapter 9: HRM and Leadership with Diane Vincent, former Director of People and Organisational Development for the Scottish Fire and Rescue Service 198 Chapter 10: Talent Management and Leadership with Stephen Moir, Executive Director of Resources for the City of Edinburgh Council 224 Chapter 11: Performance Management and Leadership with Stephen Moir, Executive Director of Resources for the City of Edinburgh Council 246 Chapter 12: Leadership Development with Beverley Petrossian and Adam Foskett from Skipton Building Society 268

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Chapter 13: Followers, Communications and Leadership with Professor Helen Francis and Catherine Thomson from Edinburgh Napier University 290 Chapter 14: Gender and Leadership with Diane Vincent, former Director of People and Organisational Development for the Scottish Fire and Rescue Service 318 Chapter 15: Leadership in Public Sector Organizations with Paul Gray, former CEO of NHS Scotland 340 Chapter 16: Leading Pro-Environmental Change with Professor Mollie Painter, Nottingham Trent University 360 Chapter 17: Leading Urban and Regional Innovation with Paul Stanley, CEO of Global Navigation Solutions 386

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Foreword

Paul Gray It is a great privilege to have been asked to provide a foreword to this book, which tackles a complex subject, in a complex world.

The world in which we live assails our senses – not just the senses of sight, sound, taste, touch and smell, but also our sense of balance, our sense of right and wrong, our sense of justice and equity. And in service of others, leaders can help to make sense of the world, not just by acute observations and definitions, but also by offering models and insights which help those around them to flourish in a context which is volatile, uncertain, complex and ambiguous – often shortened to VUCA.1

1 Author’s note: the acronym VUCA was by some accounts first used in 1987, drawing on the leadership theories of Warren Bennis and Burt Nanus – to describe the volatility, uncertainty, complexity and ambiguity of conditions and situations. The US Army War College introduced the concept of VUCA to describe the multilateral world emerging from the end of the Cold War.

But the definition of the context is insufficient in itself – such a world is a demanding world. The key lies in responding to these demands, and more significantly, in enabling others to develop their capacity to respond effectively in that environment. What then is the leader’s role in offering a source of stability, and a means to make progress? My experience suggests that the answer could lie in values, understanding, connection and agility. In a demanding context, delivery is crucial – and delivery rooted in values and a thirst for understanding will be more likely to draw energy, knowledge and ideas from connections, and to demonstrate agility in its response.

Such an approach requires acceptance – not mere acknowledgement – by leaders that they do not have all of the answers, and that the answers they do have may not be the best

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ones. Effective leadership recognizes the central role of followers. It requires a willingness to engage in dialogue, and in doing so to embrace diversity, and to accept challenge to received wisdom. It requires humility – including the ability of the leader to accept a follower role when they are not the person best placed to lead on a particular issue. It does not absolve leaders of the responsibility to take hard decisions, including decisions about how to respond when an individual or group does not act in accordance with agreed values.

In a world where connection and collaboration are increasingly crucial, leaders also need to accept that they are accountable – and they should be willing to be held to account publicly. But in being held to account, it is much more compelling to adopt an assets-based approach. Such an approach says what can be achieved in a complex context, despite the constraints, by recognizing, valuing and drawing on all of the connections, experiences and resources available. The alternative is to adopt a deficit model, whereby we explain what cannot be achieved because of the constraints or the complexity. That choice between assets and deficits is a key leadership decision: an assets-based approach by its very nature requires collaboration. It also requires good governance; it requires good delegation; it requires transparent decision making – there is sometimes a sense that collective or collaborative leadership disperses or dilutes accountability, whereas in fact it works best when accountability is clearest.

Over my professional career, I have seen a substantial body of research and commentary focused on the central role of leaders, and how they engage and influence people. It remains relatively novel (although it is becoming less so) to see leadership expressed as a collective endeavour involving leaders and followers in a shared relationship, with shared values and shared goals. Organizational Leadership critically examines why, and how, the focus of leadership studies is shifting towards followership. In doing so, it explores many aspects and modes of leadership; it seeks to do so in a way that is well researched, soundly based and impartial. It acknowledges complexity and is clear that one size does not fit all. It should prompt the reader to

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think about how leadership is exercised to best effect in the current context, and for that it is to be warmly welcomed.

Paul Gray was Director General Health & Social Care, and Chief Executive NHS Scotland, from December 2013 to February 2019; he was also a member of the Scottish Government’s Corporate Board. NHS Scotland has an annual budget of £13 bn, serves a population of 5.4 million citizens, and employs 160,000 people. From 2009 to 2013, he held a number of other Director General roles within government.

Paul is also an Honorary Professor at the University of Glasgow College of Medical, Veterinary and Life Sciences, a Senior Faculty Member at the Royal College of Physicians (Edinburgh) Quality Governance Collaborative, an Advisor to Care Opinion, and a coach and mentor to a number of senior public sector executives.

Learn more from Paul’s leadership experience by watching his videos for Chapter 8, Relational and Distributed Theories of Leadership and Chapter 15, Leadership in Public Sector Organizations.

Visit https://study.sagepub.com/bratton.

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Introduction

John Bratton Contemporary management parlance emphasizes that leaders provide vision, ignite creativity, and nurture and support innovation. Leaders are engines of change. While preparing this book, we have observed the political drama in London over Britain’s withdrawal from the European Union (EU) – the Brexit negotations. In this context, businesses and political pundits invoke the need for leadership with special urgency as, at the time of writing, there is no clarity about what Britain’s relationship will be with the EU, its largest trading partner, after 31 January 2020. Political leadership, or its absence, is widely acknowledged to be negatively affecting the economy. As political leaders haggle over the terms of Britain’s exit from the EU, in a rare demonstration of unity by Britain’s business lobby and trade unions, the Confederation of British Industry (CBI) and the Trades Union Congress (TUC) warned that the UK faced a ‘national emergency’ (Peel et al., 2019: 1).

Contemporary leadership theory has drawn on an intellectual heritage from organizational studies, and today leadership is considered to be one of the more foundational topics in management education. An obvious question you may ask is, ‘What makes an effective leader?’. Suffice to say, opinion is divided. There is a substantial body of literature that highlights the importance of the charisma and ability of an individual leader to inspire others to fulfil strategic goals. While others posit that regardless of the quality of the individual leader, vision building, innovation and change fail without committed and engaged followers. From this perspective, effective leadership is not singular but shared, a collective and cooperative phenomenon that acknowledges the central role followers play in the leadership process (Northouse, 2019). Leaders and followers together create the leadership relationship. The process of followership, rather than having perceived negative connotations, offers more agency

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to followers through a combination of direct and indirect forms of ‘voice’ (Emmott, 2015).

Other writers, on the other hand, suggest that leadership can only be understood in the context of the wider social-cultural, economic, political and environmental factors which influence, if not determine, the way leaders act, and that mediating processes help explain leader–follower behaviours. The discourse on leadership theory and practice must be considered in the context of changes in work organizations of significant magnitude including, but not limited to, trends in work–family patterns, diversity in organizations, new thinking on human resource management (HRM), globalization, and the development of complex inter-organizational and buyer–supplier relationships (Bendl et al., 2017; Harvey, 2005; Puranam, 2018; Stiglitz, 2017).

Additional to these contextual changes, as a student of leadership you find yourself confronting humanity’s greatest challenge: climate change (Klein, 2015). Work organizations are cited to be amongst the largest contributors to the warming of planet Earth. It is in this context of the need to lower carbon emissions and protect the environment, that researchers are showing a growing interest in pro-environmental leadership. Here pro-environmental leadership is conceptualized as a process in which leaders influence others to realize a vision of organizational sustainability without compromising the ecosystem. The research focus on pro- environmental leadership includes investigating how leaders influence workplace low-carbon initiatives, the characteristics of pro-environmental leaders, and the leadership behaviours that influence followers’ pro-environmental behaviours (Robertson and Barling, 2015).

It is within work organizations that work is structured, jobs designed, employees rewarded, and the employment relationship is fashioned. As the ‘architects of employment’ (Rubery, 2006: 33), an organization consists of a recurrent set of human relationships between leaders and followers, including reporting relationships, patterns of decision making and communication and other behaviour patterns, both ‘official’ and ‘unofficial’ (Donaldson, 1999). It is ultimately dependent upon goal-directed ‘human

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collaboration’, ranging from a leader–follower dyad to leader– leader relations between multinational corporations. The idea of interdependence and collaboration suggests that the leadership process is reliant on a confluence of leaders, followers and context (Bastardoza and Van Vugt, 2019). This holistic perspective theorizes that followers are co-producers of leadership. That is to say, ‘The follower is teacher to the leader’ (Grint, 2005: 105). Effective leadership is therefore conceptualized not so much as a set of innate personality traits, competencies or charisma but as the readiness of leaders to engage, listen and learn from their followers. Thus, in recent years, researchers have shown more interest in what is known as ‘follower-centric’ models that see two-way learning embedded in the leader–follower relationship.

Conceptualizing leadership as a human process within an employment relationship illustrates the potential of some HRM practices to nurture effective followership whereby an employee or employees accept the influence of leaders to accomplish a common goal. The premise developed in this book is that a combination of HRM variables (or ‘clusters’ of HR practices) can help to mediate the positive effect of leaders’ influence over both individual-level and group-level outcomes (e.g. follower commitment, job satisfaction, performance), as well as creativity and innovation (Shalley et al., 2004). The distinctive feature of HRM is its assumption that improved performance is achieved through changing people’s behaviour in the organization (Guest, 1997). Improved individual and group performance hinges on, amongst other things, shaping follower behaviour through rewards, performance management, training and a positive organizational culture. In evaluating the HRM-performance relation, Purcell and Kinnie (2007) draw attention to the frequently experienced gap between ‘espoused’ management practices and their enactment. They observe that ‘HR practice measures may be acting as proxies for these wider variables of leadership, culture, and management behaviour’ (2007: 543).

As you will hopefully see through the chapters in Part III, the way HRM has been conceptualized avers HRM shares common theoretical concepts and goals with the process of leadership.

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Both disciplines predominantly focus on understanding how, and why, followers behave in the organization, how people are managed and how leaders can influence, mobilize and leverage human capability to enhance individual and organizational performance.

In planning this book, I have opted to use an inclusive conceptualization of effective leadership that pays attention to the context, therefore we propose leadership in organizations as influenced by four factors: strategy, power, culture, and ethical considerations. In addition, while this book includes chapters examining the attributes, competentences and behaviour of leaders, it also includes chapters examining the dynamics between the process of leading and the process of following. It further probes whether and how leaders might influence innovation and change and how HRM theory and practice contribute to our understanding of leadership and followership processes. The book aims to review and critically evaluate the theory and practice of leadership and to provide critical insights into the interlocking dimensions of leadership, organizational behaviour and people management.

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Objectives of this Book This book provides you with an in-depth examination of leadership and how it applies to managing people in organizations. The idea for the book stems from a research project funded by the Alberta Government, Canada. This research explored leadership through a series of case studies involving the Calgary Police Service, PanCanadian Petroleum, Banff Springs Hotel, The Body Shop (UK) and Volvo (Sweden). These case studies gave insight into the comparative perspectives on leadership in private and public sector organizations and within different national cultures.

Organizational Leadership has been written specifically to fulfill the needs of undergraduate and postgraduate business students for an accessible, critical and engaging analysis of leadership. In so doing, it emphasizes the perceived importance of leadership in managing people and change across different contexts in both private and public organizations and, largely overlooked, in promoting innovation, pro-environmental change and urban and regional development.

Work organizations are multi-level in nature and, in organizational studies, levels of analysis refer to entities of interest in research (Klein and Kozlowski, 2000). Organizational Leadership examines how leaders affect their organization’s performance through two levels of influence at individual and organizational, and two types of influence relationships inside and outwith the organization (Portugal and Yukl, 1994), as well as ‘theory to practice’ by considering how strategic issues influence relationships and management practices. At the individual level of influence, leaders use their social interactions to influence individual employees and groups of employees. At the organizational level, leaders change HR practices, structure and culture to indirectly influence individuals and groups. Turning to the types of influence, leaders seek to influence and motivate employees inside the organization (senior colleagues, line managers, other subordinates) and external bodies (e.g. customers, suppliers, governments) – see Part IV. The conception of leadership that we advance in the book

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is context sensitive, expansive and connected to corporate strategy; and one that profoundly shapes the employment relationship.

You will find this book relies less heavily on US cases and examples by placing more weight on UK, European, South African, Far East and Australian material, contexts and leaders. Moreover, you will find that international issues relevant to leadership are discussed and analysed in ‘Leadership in Action’ features in order to avoid a Western-centric approach, which will help UK and non-UK students to relate to and operate ethically in different contexts and cultures.

This book is desgined to improve your critical thinking skills. It will not only help you to evaluate leadership theories but also to think critically about how leaders operate in practice. This is an extension of Karen Legge’s (2005) memorable ‘rhetorics and realities’ approach to examining HRM. Each chapter explains and critiques leadership theories and actual practices, but will include pedagogical features to encourage students to question, to be critical and to seek multi-causality when analysing leadership.

Specifically this book will help you to:

demonstrate an awareness of how leadership behaviours and practices are shaped, if not determined, by the external business environment and by internal factors in the organization; critically examine the continuum between classical and modern theories of leadership, and understand the effect of leadership on followers, and organizational outcomes. The critical study of the leadership canon helps students to understand the connections between theory and practice, and conflict and cooperation between people in the workplace; analyse the role of HRM and leadership in promoting organizational outcomes in the areas of talent management, performance management and leadership development; critically examine contemporary leadership theories including followership, gender and leadership, and the role of leadership in public sector organizations and in promoting

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pro-environment behaviours and urban and regional innovation.

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A Framework for Studying Leadership The process perspective espoused in this book conceptualizes leadership, not simply as a position, but as a dynamic relational phenomenon residing in a specific organizational context. In consequence, it implies that a leader affects and is affected by followers and the context. Studying organizational leadership systematically, therefore, involves a close examination of three interlocking factors: context, leader and followers (see Figure 0.1). These, in turn, influence the leadership relationship and can affect organizational effectiveness. This conceptual framework allows us to compare, across a consistent set of dimensions, the multitude of ways researchers and practitioners have defined leadership and the different approaches that they have brought to the study of leadership.

Figure 0.1 Leadership as an interconnected process

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As will be explained, the context part of the model refers to those external drivers of change – social, technology, economic, political, legal, ecological (STEPLE) – as well as organizational design and strategy considerations inside the organization. Time is context, too – what is effective at one period of time, dealing with one set of circumstances, may not be effective in another (Mumford, 2010). Context is not only constantly changing, but also strongly influences the leader–follower dichotomy and the asymmetrical power relationship embedded within the organization and capitalist society. Importantly, the differences in understandings of leadership may differ depending on organizational culture and climate and between national cultures. These, and other studies, challenge the idea of a universal leadership model, and have implications for leadership practices and development.

The leader part of the model examines a cluster of lasting themes found in the literature, specifically what the leader contributes as an individual to the leadership process. Much of the research examines the ‘attributes’, behaviours and ‘dynamic’ capabilities said to be required of leaders. By extension, some writers recognize the importance of power in the leadership equation and, importantly, the dynamic nature of the employment relationship.

The followers part of the model refers to those employees leaders seek to influence. They may be managers or non-managers. In early leadership literature, followers are studied – if they are studied at all – as either passive recipients of leaders’ diktats or as embodiments of individual personalities or as sources of psychological needs or problems. We eschew this perspective in favour of a sociological approach which emphasizes how the three fundamentals of the social world – class, gender and race – effect, though they do not determine, the character of leader– follower relations in the contemporary workplace .

The emergent opinion is that followers are a critical component of the leadership process. Follower-centric theories and the followership process focus on follower attributes relevant to the leadership process, including the importance of values, attitudes, self-identity and leader–follower dynamics. They examine the

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active role followers play as co-producers of leadership, with leader and followers influencing each other through their behaviours and actions. Leader–follower relations are inherently cooperative and consensual, or defiant and conflictual (Budd, 2004) and focus attention on the indeterminacy of the employment contract and the performance of others. The framework put forward in this book provides an inclusive explanation of the leadership process; a complex, ongoing relational construct with others, located within a nexus of interconnected economic and socio-cultural factors which shape the practice of management and the employment relationship.

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The Organization of This Book Organizational Leadership is divided into four parts, which of course are interconnected, and 17 chapters.

Part I explains the closely connected concepts of management and leadership before contextualizing leadership behaviour and action by examining the external and internal forces that influence the behaviour of leaders and followers, power, national culture and ethics.

Part II reviews and critically analyses a selected number of traditional and contemporary theories of leadership, including trait, behaviour, contingency, charisma and transformative, relational and distributed.

Part III shifts the focus, this time to analyse how the complementary field of HRM informs and directs the way leadership and management are practised and how they impact on employees and organizational performance outcomes.

Part IV turns attention to the followership process and explores how such factors as individuals’ attributes, levels of competence, learning and communication styles, gender and race affect the way people understand and respond to one another in order to act together. The other chapters look at some contemporary leadership issues by examining public sector organizations, leading pro-environmental change and urban and regional innovation.

Finally, I would like to thank the other contributors to this book. Each has brought their own research and perspective of leadership to their chapter. Collectively, I believe they have helped to produce a distinctive book that offers the reader a context- sensitive, nuanced and reflexive approach to studying leadership.

John Bratton, Edinburgh

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Part I Contextualizing Leadership

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1 The Nature of Leadership

John Bratton

‘Anybody who feels called upon to lead is a leader. Leadership is also difficult. If it were easy, everyone would do it.’ (Bonang Mohale, 2018: 3)

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Chapter Outline Introduction Defining leadership Leadership and management Mapping the changing study of leadership Critical leadership studies The employment relationship Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain the nature of leadership and the apparent difference between leadership and management; explain the essence of classical and contemporary trends in leadership theories; discuss how the trends in leadership theories are connected to changes in global capitalism’s and competing theories of organizational design; explain the importance of the employment relationship in the process of leadership.

video

To learn more about critical leadership perspectives, don’t forget to watch the video conversation for this chapter online.

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Introduction Many of today’s challenges, from catastrophic climate breakdown – floods, droughts, famine, forced migration – to global inequality, are complex and the public look to leaders for solutions or for someone to blame when crises present themselves. Two decades ago, it was held that dynamic leaders were to be found in the corporate world. Sir Richard Branson and the late Steve Jobs, for example, were held up as people possessing vision and the right personal qualities to be ‘real’ leaders. The public’s largely positive perception of business leaders changed after the historic 2007–08 global financial crisis (GFC). Post-2008, following a series of corporate scandals and fraud, and alongside austerity, job insecurity, falling real wages and global inequality (Milanovic, 2016), the public no longer seem to have confidence in, or high regard for, corporate leaders (Stewart, 2015).

Despite all this, leadership is still considered to be a defining topic in management, which is perhaps why there has been so much written about organizational leadership. Typical media coverage includes reporting the leadership achievements of Sybil Taylor, founder of Canadian Steam Whistle Brewing, which in 2011 received the Excellence in Corporate Responsibility Award, the Minister’s Award for Environmental Excellence, and Canada’s Greenest Employers. Media interest has also focused on South African Siza Mzimela, who in 2010 was appointed the first female Chief Executive Officer of South African Airways. Mzimela served on the Oprah Winfrey Leadership Academy board and has been listed as one of the most powerful women in African business. The leadership behaviours of Taylor and Mzimela offer a counterpoint to that exhibited by Travis Kalanick, CEO of Uber, accused of verbally berating an Uber employee, or that of Sir Philip Green, chairperson of Arcadia Group, accused of making inappropriate sexual comments to female employees. Green’s egregious leadership also came under intense scrutiny following the collapse of retailer BHS. Following an inquiry, it was concluded that BHS’s leaders engaged in ‘wilful or reckless behaviour’ relating to the company’s £571m pension deficit (Editorial, Financial Times,

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2019). Leaders like Travis Kalanick and Philip Green illustrate that not all those holding top management positions are effective leaders, and when we face near-constant change in global business and climate breakdown it’s what sets leaders apart from nonleaders.

In this book, we critically examine the role of leaders in managing organizational change and people across different settings in for- profit and non-profit organizations and, in an area that is less frequently studied, in promoting innovation and pro-environmental change in the context of managerial rationales, constraints and opportunities. In this chapter, we begin by exploring the ways in which academics have defined leadership and the difference between leadership and management. Its purpose is to provide a map of how theories of leadership have been contested and changed across space and time. We end the chapter by exploring the nature and significance of the employment relationship to understanding leadership.

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Defining Leadership Scholars have collectively searched for the meaning of leadership since the beginning of western civilization. The first serious attempt to develop a theory of leadership can be found in Plato’s The Republic, 2000 years ago (Grint, 1997b). In the 16th century, Machiavelli’s The Prince attached great importance to the role of leaders in shaping societal events. Over the centuries, English history has been replete with examples illustrating the central role of individual leaders as depicted by the exploits of Lord Nelson at the Battle of Trafalgar, Lord Kitchener on the Somme, and Winston Churchill in the Second World War. One important reason for this enduring interest in leadership is the very common assumption that ‘great’ leaders profoundly shape events in society.

The rise of organizational leadership studies follows the growth of industrial capitalism. In the 20th century, research on leadership was driven by both the military and manufacturing demands of two world wars, the development of the capitalist global economy and, more exactly, the preoccupation of organizations and government with competitiveness. Over the last half-century, the number of articles and books published is a measure of the interest in leadership. The number of articles on leadership published in English-language management journals increased from 136 in 1970–71, to 168,633 in 2015 (Storey, 2016). In 2003, Amazon Books UK offered 14,139 books with the word ‘leadership’ in the title (Grint, 2011: 1). In 2019, using the same database, the number had mushroomed to over 30,000.

Despite the burgeoning growth of interest in studying leadership, grappling with its precise meaning can best be characterized as juggling a bar of wet soap. Indeed, four decades ago, Burns (1978: 2) observed that ‘the concept of leadership eludes us or turns up in another form to taunt us again with its slipperiness and complexity’. Stogdill (1974: 259) famously concluded that there are ‘almost as many definitions of leadership as there are persons who have attempted to define the concept.’ As Table 1.1 shows,

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researchers around the English-speaking world have conceptualized leadership as a matter of individual attributes, as particular behaviour, as a power relation, as a process, and as combinations of these variables.

Table 1.1 Competing definitions of organizational leadership

Table 1.1 Competing definitions of organizational leadership

Focus Definition

Traits Interaction between specific traits of one person and other traits of the many, in such a way that the course of action of the many is changed by the one (Bogardus, 1934: 3).

Behaviour

Leadership may be defined as the behaviour of an individual while he [sic] is involved in directing group activities (Hemphill and Coons, 1957: 7).

Leadership … acts by persons which influence other persons in a shared direction (Seeman, 1960: 53).

Power

Leadership is a particular type of power relationship characterized by a group member’s perception that another group member has the right to prescribe behaviour patterns for the former regarding his [sic] activity as a member of a particular group (Janda, 1960: 358).

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Focus Definition

Process

Leadership is the reciprocal process of mobilizing by persons with certain motives and values, various economic, political, and other resources, in a context of competition and conflict, in order to realize goals independently or mutually held by both leaders and followers (Burns, 1978: 425).

Leadership is a formal or informal contextually rooted and goal-influencing process that occurs between a leader and a follower, groups of followers, or institutions (Antonakis and Day, 2018: 5).

These representative definitions define the dimensions of leadership differently, away from ‘leader-centric’ notions of powerful white men with innate traits to reconsider leadership as a holistic process underscoring a social relationship between the leader and followers and relational dynamics. The concept of influence features in many definitions of leadership. For example, House et al. (1999: 184) proposes that leadership is ‘the ability of an individual to influence, motivate and enable others to contribute toward the effectiveness and success of the organization.’ Leadership involves both direct and indirect forms of influence. Direct leadership describes how leaders attempts to influence others they interact with, for example when chairing a meeting or presenting a report. Indirect leadership describes how leaders influence employees at lower levels of the organization who do not interact directly with the leader. For example, a CEO who supports environmental initiatives can indirectly influence subordinates’ workplace pro-environmental behaviours. Although the concept of influence highlights the social relationship between the leader and the follower, that relationship is not necessarily characterized by control (Bass, 1990a). This is because of the indeterminate nature of the employment relationship that makes motivating and managing individual performance an ongoing theme of leadership (Bratton, 2020).

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The concept of reciprocal process features in most popular definitions of leadership. Thus, Yukl (2013: 23) defines leadership as ‘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’.

Some critical accounts also view leadership as a dialectical process, but with a focus on economic power (Clegg and Dunkerly, 1980). The question ‘What is economic power, and who has it’? is not academic. It is highly relevant for understanding leader–follower relations and behaviour. Economic power is the ability of an individual to influence or control others to do something they would not otherwise do through the deliberate use of economic assets, such as payment, financial reward or promotion leading to higher pay. The economic power wielded by employers such as film producer Harvey Weinstein is the power to offer a film contract or payment. It is the offering or the removal of economic assets that influence or control how people behave or misbehave in organizations. See ‘Leadership in Action’ below for an example of economic power.

In reviewing the different ways leadership is defined, several points are worth emphasizing. First, the meaning of leadership is contested. The absence of a consensus is partly a language problem. It is much like the words ‘love’, ‘beauty’ and ‘happiness’ – while each of us intuitively knows what these words mean, they can have different meanings for different people. Second, the notion of leadership carries unrelated connotations that create ambiguity. This is because terms such as ‘authority’ and ‘management’ are used to describe similar social phenomena. Third, the way leadership is defined and understood is strongly influenced by an individual’s philosophical and theoretical standpoint. Thus, broadly, there are those who view leadership through a psychological prism, as the consequence of a set of characteristics possessed by a ‘leader’ and an individual agency, whilst others view leadership through a sociological prism, as a social process that emerges from the relationship between a leader and a follower – a dyadic relationship – and group social relationships.

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Fourth, and related, notions of ‘shared objectives’ and ‘shared aspiration’ reflect a unitary view of organizations and the role of leaders therein: seeing the organization as a single entity with one goal and claiming that individual employees, managers and organizational interests are one and the same. Applying a critical eye to these differences, Grint (2005) observes that leadership is a contested concept because there is disagreement on whether leadership is derived from personal qualities (i.e. traits), or whether a leader persuades others through a process (i.e. leader– follower interaction), or whether leadership is primarily embodied in the position a leader occupies within the organization.

Despite the widely acknowledged differences in conceptualizing leadership, we need a definition because how it is defined has implications for how we study leadership and formal organizations, and therefore how we understand management in the context of the global economy. For the purposes of this book, we use the following definition:

Organizational leadership is a process of influencing within an employment relationship involving ongoing human interaction with others wherein those others consent to achieve a goal.

This definition captures key elements common to many definitions. First, organizational leadership is a dialectical process (act) embedded in a context of both cooperation and structural conflict, which may affect the style of leadership adopted. Process also implies that a leader affects and is affected by the ‘psychological contract’, a metaphor for a perceived set of expectations and understandings between employees and employers, an important concept in people management (Rousseau, 1995). Second, leadership is an influencing process occurring both directly and indirectly among others within formal employment relations. Third, the influence process may involve only a single leader, such as a CEO, or it may encompass numerous leaders within the organization. Fourth, it is ultimately concerned with achieving a particular goal, and goal achievement will be a measure of its effectiveness.

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Leadership and Management The difference between management and leadership has long been debated. For many critics, ‘leadership’ is a new label to describe aspects of management. The mainstream discourse has long praised leaders for their ability to ‘ignite’ change and ‘excite’ followers. We can grasp the difference between management and leadership by addressing the questions ‘What do managers do?’ and ‘What do leaders do?’. Both require us to understand the concept of ‘role’, which is a key idea in sociological theory because of the social expectations attached to particular social positions, such as a manager or a doctor in a hospital (Scott and Marshall, 2015). Sociological analyses can reveal enduring gender roles, for example. Moreover, individuals have multiple roles, also known as a role set, which can lead to role conflict. A role set in an organizational setting is an expected set of activities or behaviours stemming from the position.

Thinking of multiple roles played by individuals both inside and outside the workplace, the professor teaching your leadership course, for example, has numerous roles: as well as a teacher, he or she is also a researcher, is likely to be an administrator with responsibility for coordinating a programme within the school, and, if they have been in academia for a while, may mentor junior colleagues. As part of this role set, your professor may also represent colleagues on the governing body of the university or as a union representative at employer–union meetings. Outside the university, the same individual may have the role of partner or spouse or parent, and act as chairperson of a neighbourhood community group. In the role of union representive or chairperson of a community group, your professor might well therefore be practising exemplary leadership by role and challenging the status quo or leading change.

A manager therefore can undertake a diverse range of roles within an organization. It is important to note here that more than one individual can perform a leadership role. That is, leadership can be shared or distributed within the organization. The opportunity to

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perform certain roles will depend on the manager’s position in the organization’s hierarchy, the nature of the work undertaken and the level of education of her or his co-workers. For example, managerial and leadership activities in ‘creative milieus’ and in ‘research-intensive’ environments are unlikely to replicate the managerial and leadership activities undertaken in a warehouse employing unskilled manual workers (Sundgren and Styhre, 2006).

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The role of managers The role of managers has been the subject of thorough examination by management theorists and there is no need to explore them at great length here. In mainstream management literature, there is agreement that the role of managers is central to achieving control and direction. Critical studies, on the other hand, emphasize that managers’ work deals with uncertainties, resistance and conflicts. The pioneer of ‘scientific management’, Frederick W. Taylor (1911), documented the role of managers in terms of analysing and designing work systems that minimize skill requirements while maximizing management control over the workforce. These principles have had an enduring influence on management research and practice throughout the 20th century. Henri Fayol (1949), a French businessman, identified four key roles performed by managers: planning, organizing, directing and controlling. This is sometimes called the ‘PDOC’ tradition (see Figure 1.1).

Figure 1.1 The classic Fayolian management cycle

For Fayol, planning meant studying the future and drawing up a plan of action; organizing meant coordinating both the material and the people aspects of the organization; directing referred to ensuring that all efforts were focused on a common goal; and controlling meant that all workplace activities were to be carried out according to specific rules and orders. The Fayolian

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management cycle portrays the role of the manager in a positive way, and, despite claims that it presents an idealized image of the manager, surveys of managerial work exhibit striking parallels with the Fayolian management cycle (Hales, 1986).

Other studies have offered an alternative picture of what managers do. They include three sets of behaviours: interpersonal, informational and decisional (Mintzberg, 1989). There are three different interpersonal roles – figurehead, leader and liaison – that arise directly from the manager’s formal authority. The manager’s three informational roles – monitor, disseminator and spokesperson – flow from the interpersonal roles. Finally, it is suggested that managers perform four decision- making roles, those of entrepreneur, disturbance handler, resource allocator and negotiator.

Pause and reflect

This classic account of management identifies ‘directing’ as a key management activity. Do you think all employees would appreciate being ‘directed’? If not, why?

Managerial work has also been conceptualized as an interconnected three-dimensional model consisting of activities, contingencies and processes (Squires, 2001). Activities such as planning, organizing, directing and controlling are impacted by internal and external contingencies; for example, internal corporate strategy and external regulatory factors that impinge on the manager. This model also incorporates processes, which are the various means by which managers communicate ideas, gain acceptance of them and motivate others to implement the ideas through change. These processes are highly relevant to the leadership process as they are dependent on cooperative relationships. Thus, the current wisdom offers a more complex picture of what managers do that helps us to be aware of the ‘totality of management’ (2001: 482).

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Critical studies have challenged the universality of managerial behaviour, and have emphasized the importance of factoring into the analysis of management diversity, including gender, race, sexuality and consideration of the cultural mores that prevail. As highlighted in the ‘Leadership in Action’ feature below, research has exposed an alternative, less flattering picture of managerial behaviour: bullying and sexual harassment. Such abusive behaviour is caused by a power imbalance and is not the result of individual deviant behaviour; neither is it a new phenomenon. Indeed, it is argued that bullying is part of the management repertoire of ‘getting things done’ through people, and reflects the significance of a power imbalance.

Leadership in Action: Bullying and harassment as an instrument of control?

Mainstream leadership scholars curiously have little to say explicity about economic power and its effect on leader–follower relations. Leaders have the economic power to persuade others through economic assets or values. Implicit in the employment relationship is also the power of fear – the power to initiate discipline or dismissal. A manager or leader can compel employees to do something by threatening one’s employment status or livelihood. The power held by managers and leaders is evident in media and research reports. Take, for example, the company Sports Direct:

Sports Direct owner, Mike Ashley … ran a warehouse ruled by fear. Where men too scared to call in sick instead went in and suffered a stroke. Where ambulances were called out to deal with births and miscarriages – including a woman who gave birth in the loos. All this happened at one of the key sites of the Ashley business. (Chakraborty, 2016)

In the context of meeting performance targets, bullying may be interpreted as a tool of managerial control, part of a manager’s repertoire of ‘getting things done’ (Beale and Hoel, 2011). Corporate executives have also lost their sheen through reports of sexual harassment. Take, for example, the allegations of sexual impropriety against film producer Harvey Weinstein in 2017:

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An article in the New Yorker alleged that Weinstein, once the most powerful man in Hollywood, had forced himself on three women, made aggressive sexual advances towards the actors Mira Sorvino and Patricia Arquette and groped, masturbated and exposed himself in front of others. Actors Gwyneth Paltrow and Angelina Jolie said Weinstein had sexually harassed them (Ellis-Petersen, 2017a) … Weinstein auditioned an 18-year-old Romola Garai, the actor known for Atonement, wearing only a dressing gown in an encounter at the Savoy Hotel that the British actor described as humiliating and ‘an abuse of power’ (Ellis- Petersen, 2017a) … Léa Seydoux, star of the film Spectre, alleged that when she first met Weinstein ‘he flirted and stared at me as if I was a piece of meat … He was using his power to get sex’ (Ellis-Petersen, 2017c).

Cases of sexual harassment ignite arguments about power. In terms of leader–follower relations, power is the capacity to exercise control or influence over others. The exercise of power by powerful men over vulnerable women is not a Hollywood idiosyncrasy. Nor is economic power an abstract concept for it impacts the lives of people within and outside the workplace.

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Reflective questions 1. Have you ever experienced or witnessed bullying or sexual

hararassment in an academic setting or in the workplace? 2. Do you agree that bullying and sexual harassment are an

abuse of power? Why or why not?

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Sources Chakraborty, A. (2016) ‘Mike Ashley has pocketed millions from treating people like battery hens’, Guardian, 7 June.

Ellis-Petersen, H. (2017a) ‘Weinstein denies three separate rape allegations’, Guardian, 11 October, p. 1.

Ellis-Petersen, H. (2017b) ‘Romola Garai: “I felt violated by Weinstein”’, Guardian, 10 October, p. 1.

Ellis-Petersen, H. (2017c) ‘Weinstein jumped on me. I had to defend myself’, Guardian, 12 October, p. 1.

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To explore this topic further see: Beale, D. and Hoel, H. (2011) ‘Workplace bullying and the employment relationship: exploring questions of prevention, control and context’, Work, Employment and Society, 25 (1): 5–18.

Bratton, J. (2010) ‘Power, politics and conflict’, in J. Bratton, P. Sawchuck, C. Forshaw, M. Callinan and M. Corbett (eds), Work and Organizational Behaviour (2nd edn). Basingstoke: Palgrave Macmillan, pp. 370–96.

Hearn, J. (2012) Theorizing Power. London: Macmillan International.

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The role of leaders Although it is stating the obvious to observe that ‘managing’ and ‘leading’ can potentially coexist in the same individual, mainstream leadership scholars, since Zaleznik’s (1977) seminal contribution, have argued that managers and leaders are in effect different and that leadership and management are different. Table 1.2 summarizes the cited differences between the roles performed by managers and leaders.

Table 1.2 Summary of cited distinctions between management and leadership

Table 1.2 Summary of cited distinctions between management and leadership

Management Leadership

Acting as the figurehead Establishing direction

Liaising with other managers Communicating direction

Developing subordinates Encouraging emotion

Planning Empowering others

Handling conflicts Influencing

Negotiating Challenging the status quo

Monitoring information Motivating and inspiringothers

Directing subordinates Modelling the direction

Allocating resources Building a team

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Management Leadership

Produces potential predictability Produces radical change

Source: based on Hales, 1986; Kotter, 2012; and Kouzes and Posner, 1997

Contrasting the role of managers and leaders, five broad areas of difference have been identified. First, allegedly, leaders establish direction, align people with that vision, model the direction and motivate and inspire them to make it happen despite obstacles. Therefore, it is said that a leader creates a vision as well as the strategy to achieve the vision. In contrast, the manager’s key role is to choose the means to implement the vision that the leader formulates.

Second, it is contended that leaders operate at a emotional level, seeking to appeal to followers’ emotions, whereas managers operate logically and value rationality. Third, it is alleged that leaders encourage empowerment. That is, they ‘enable others to act’ (Kouzes and Posner, 1997: 12). In contrast, managers, by the very nature of their role, encourage compliance. Fourth, it is contended that leadership is a value-laden activity, whereas management is not. Studying environmental leadership, Robertson and Barling (2015), for example, point to the significance of personal values that extend beyond self-interest in predicting the actions of pro-environmental leaders.

Fifth, it is argued that leaders have a different attitude towards organizational change. Leaders are change agents associated with ‘episodic’ (Weick and Quinn, 1999) or ‘revolutionary’ (Burke, 2014) organizational change, whereas managers opt for more ‘continuous’ or ‘evolutionary’ change that is ongoing, evolving and cumulative. For Kouzes and Posner (1997: 9), exemplary leadership entails ‘challenging the process’. Finally, Grint (2005: 15) posits that leadership is the equivalent of vuja dé (never seen before), whereas management is the equivalent of déjà vu (seen or experienced before).

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Pause and reflect

1. Recall an organization where you have worked or a group of which you were a member (e.g. a group to complete a module assignment).

2. To what extent were you a leader and a follower? Did the leader change at any time and, if so, why?

3. Do managers where you work or have worked, or group members exhibit managerial or leadership behaviours? Explain.

It is important to recognize that while a manager is a person who has a formal title and authority, a leader is a person who has the ability and opportunity to influence others and may be either a manager or non-manager. As Bernard Bass (1990a) observed, not all managers lead and not all leaders manage, and an employee, without being a formal manager, may be a leader. Individual managers will vary in terms of their capacity or inclination to engage in the leadership process. Importantly, negatively stereotyping managers as administrators or bureaucrats mired in the status quo neglects empirically-based evidence that shows successful managers to be good leaders, and successful leaders to be also good managers (Yukl, 2013).

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Mapping the Changing Study of Leadership We have seen that leadership as a field of study has produced a voluminous amount of literature, both about what it is leaders should do, and about what leaders actually do. The former contains theories for leaders, while the latter involves theories of leadership. Theories for leaders are primarily normative, directed at providing ‘how to’ prescriptions for improving leadership effectiveness. Theories of leadership, on the other hand, are primarily analytical, directed at better understanding leadership processes, explaining why they vary in different circumstances and the ‘platforms’ (ship) that leaders create to enable others to act as leaders (Antonacopulou and Bento, 2016; Ford, 2015).

As we map the major theories of leadership, it is important to understand that leadership scholars necessarily take their view of their research, in part, from their academic field of study, from their view of the world, and the changing context of capitalism in which other people live and work. Leadership theories over time have, therefore, been informed by a theoretical inheritance, not only drawn from psychology and sociology, but also by multiple theorizing of the contextual forces influencing the management of organizations. Thus, as with the discourse of organizational theory (Reed, 1999), the discourse of leadership theory must be considered as a historically contested arena of concepts and theories, infused more recently with the belief that free markets should guide economic activity, sometimes referred to as ‘neoliberalism’, which seeks to gain recognition and acceptance in the management of organizations.

The sheer diversity of leadership theories can sometimes mean that recognizable trends or patterns are obscured. To navigate through the myriad theories, we have divided leadership research into five major categories: trait, behaviour, contingency, charisma/transformative and shared/distributed leadership (Bryman, 1999).

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Table 1.3 shows the major leadership schools and the time period in which the theory attracted most research attention (Antonakis and Day, 2018). In mapping developments in theory, it is important to recognize that research focus and preferred leadership paradigms evidently diverge across time and space. The trajectory of leadership theory is not linear, but rather follows endless swings between leader-centric and follower-centric models often premised on new thinking about work design and organizational change. Therefore, theories of leadership and disruptive organizational change are inseparably intertwined (Parry, 2011).

Table 1.3 Development of the main theories of leadership Table 1.3 Development of the main theories of leadership

Time Theory Selective Author(s)

1920s – 1950s

Trait Bogardus (1934); Bird (1940); Stogdill (1948); Judge et al. (2009)

1950s – 1960s

Behaviour Hemphill and Coons (1957);Blake and Mouton (1964)

1970s – 1980s

Contingency and Situational

Fiedler (1967); Hersey and Blanchard (1969)

Social exchange

Dansereau et al. (1975); Graen and Uhl-Bien (1995)

1990s – 2000s

Charisma and Transformative

House (1977); Conger and Kanungo (1998); Antonakis (2011)

Burns (1978); Bryman (1992); Kouzes and Posner (1997)

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Time Theory Selective Author(s)

Servant Greenleaf (1977); Graham(1991); Eva et al. (2019)

Authentic George (2003); Walumbwa et al.(2008)

Competencies Boyatzis (1982); Mumford et al.(2000); Sotarauta (2005)

Psychodynamic DeBoard (1978); De Vries (2006)

Relational Kerr and Jermier (1978); Graenand Uhl-Bien (2005)

Distributed Benne and Sheats (1948); Tichy (1997); Gronn (2002); Bolton (2011)

Empowered Sims Jr. et al. (2009); Amundsenand Martinsen (2014

The premise is that as the context of capitalism changed (from Fordist mass-production to team systems and flexible specialization), leadership fashion shifted from an active focus on the leader to the role followers play in the leadership process – from a leader-centric to a follower-centric focus. However, this argument for identifible patterns of leadership across time is both contestable and complicated by researchers invoking contingencies, external and internal events or circumstances which are possible but cannot be predicted with certainty (e.g. disruptive technology) to explain preferred styles of organizational leadership.

Reviews of leadership theories have been undertaken by numerous leadership academics, including Bernard Bass et al. (2008) and Antonakis et al. (2004), and there is no need to repeat

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the findings here. The aim of this section is to provide a road-map through the literature as a precursor to more detailed coverage in the theory chapters, noting the shifts in focus, and to identify the connections to leadership practice discussed in other chapters in this book.

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Leader-centred perspectives The earliest studies of leadership date back to the ‘Great Man’ theories from 19th-century Victorian Britain. This perspective focused on iconic leaders – often military figures or politicians – who allegedly possessed innate qualities shaped by masculine traditions and Anglo-Saxon values and attitudes. To put it another way, elitist, sexist, misogynous, xenophobic and racist. An early leader-centric study identified over 75 traits to distinguish leaders from non-leaders and successful leaders from failures (e.g. Stogdill, 1948). This approach is predicated on the belief that individuals who occupy leadership positions possess superior qualities or attributes as compared to traits possessed by non- leaders. Leader traits and attributes are looked at in detail in Chapter 6. We should note that statistical studies that seek to measure critical human traits, such as intelligence, in order to predict leadership effectiveness, have given trait theory something of a renaissance (e.g. Judge et al., 2004).

In the 1970s, scholars shifted attention to leadership competencies. Like trait theory, these contributions take a leader- centred perspective on leadership. However, unlike the trait approach, the competencies model views leadership as a set of developable competencies or skills, which suggests that many managers and non-managers have the potential for leadership. Research has focused on defining distinct clusters of competencies that leaders and managers should possess. Critical competencies would include decision-making skills, interpersonal skills (e.g. listening and speaking) and social intelligence (SI), which is having the ability to understand social dynamics and situations (see e.g. Mumford et al., 2000; Sotarauta, 2005).

In the 1950s, the early inconclusive research on trait theory shifted attention to the behavioural styles of leaders. The leadership behaviour perspective focuses on what leaders do (i.e. leadership), and in particular on how they behave towards followers. Research distilled two clusters of leadership behaviours. One cluster captures task-oriented behaviours (e.g. assigning work and job redesign activities), referred to as initiating

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structure. The other cluster represents people-oriented behaviours (e.g. showing respect and support for followers), referred to as consideration. It was posited that the most effective behavioural style is when leaders exhibit high levels of both task-oriented and people-oriented behaviours. While research on behavioural theories of leadership declined in the 1970s, recently leadership behaviours in organizations to promote low-carbon initatives have been subjected to considerable empirical scrutiny. Leaders’ supportive behaviours, for example, have been shown to be an important element of pro-environmental leadership (Robertson and Barling, 2015).

The late 1990s witnessed the rise of the ‘new leadership’ model, so-called because the writers viewed leaders as managers of meaning rather than authorizing influence (Bryman, 1996: 30). Research shifted to charismatic attributes, and other mental characteristics of leaders. Individuals celebrated as ‘leaders’ according to this approach are those able to persuade employees to exert exceptional effort and make personal sacrifices to accomplish the group’s goal. House’s (1977) theory of charismatic leadership inspired another leader-centric approach called transformative leadership (see Chapter 7). Here, individuals celebrated as ‘leaders’ are those who can make sense of a crisis and threat, are able to evaluate the strengths and opportunities of the organization within that environment, and have the capabilities to formulate, communicate and mobilize support for a compelling ‘vision’ for the organization.

Critical Insight: The constructivist perspective to knowledge making

An important object of Organizational Leadership is to help you develop critical thinking skills when reading other texts in leadership and management and related fields. To do this effectively, you need to be aware that all academic writing should be considered not only as a source of information and meaning as defined by the author, but also as a text revealing something about the author’s standpoint on organizational leadership and power relations in society. Knowledge should be viewed in the context of power, and consequently the

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relationship between writers, readers and texts (including this one) has to be understood as sites at which different meanings, interpretations and perspectives take place. Reinharz (1988) posits that most academic writing reflects a dominant perspective that is capitalist, racist and androcentric in orientation. To help you prepare for this journey through the leadership discourse, read Grint (1997b: 1–10) and Charmaz (2000).

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Activity Working on your own, or with a group, look through recent academic journals and select a leadership article:

1. What dominant assumptions underlie the article? 2. To what extent are gender, race and class conflict discussed by

the author? 3. How does the author explain the constructivist perspective to

knowledge making? 4. Explain the notion that the author has been both a producer

and a product of the text.

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Contingency and situational perspectives The contingency or ‘if–then’ approach to understanding leadership became fashionable in the early 1970s, and is associated with the seminal work of Field and House (1990). It is based on the idea that the most effective leadership style depends upon the leader, the capability of followers, and specific situational factors determine rational decision making and how a leader behaves. Effective leadership, it is posited, will depend upon situational variables such as the characteristics of followers, the nature of the work to be performed and the external environment. Contingency theory will be discussed further in Chapter 6. A variant, situational leadership theory (Hersey and Blanchard, 1969) is probably one of the best-known contingency models. Understanding the situational factors in which leadership is embedded is an important theoretical development for advancing a more holistic understanding of leadership.

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Follower-centric perspectives In the 1990s, another strand of leadership theory emerged that swung the pendulum from leader-centric towards a more holistic follower-centric approach (Shamir et al., 2007). Studies of ‘followership’ fall into three main categories: leader–follower relations, follower attributes and follower outcomes such as change, as a result of leadership behaviours (Bligh and Kohles, 2008). The early work on leader–member exchange (LMX) conceptualized leadership as a reciprocal influence process that is centred on the dyadic interaction, a relationship of two, which can develop in leader–follower relationships (Graen and Uhl-Bien, 1995). Moreover, follower-centric theories suggest that employees are not a passive homogeneous group to be acted on by leaders, but rather potentially dynamic, each acting in a self-determining manner within the employment relationship (Brown, 2018).

In the 2000s, the demands for strategic alignment and coherence in increasingly complex organizational structures gave rise to new preferred models variously called distributed (e.g. Gronn, 2002a) and empowered (Amundsen and Martinsen, 2015) leadership. Empowering leadership, for example, is a process of sharing power, and allocating autonomy and responsibilities to employees, work teams, or collectives through a specific set of leader behaviours for employees to enhance internal motivation and organizational performance (Cheong et al., 2019). Within the follower-centric genre, distributed or empowered theories proposed that gifted leaders ‘lead from behind’ by empowering workers (Spillane and Diamond, 2007). Distributed leadership also echoes the notion of ‘leading quietly’ (Mintzberg and Lampel, 1999) and ‘servant leadership’ (Greenleaf, 1977, 1996), observes Alimo-Metcalfe and Alban-Metcalfe (2005). Distributed leadership is premised on assumptions about group synergy, learning and developing followers. Therefore, leadership potentially resides in every employee who, in one way or another, takes on the role of leader in a group or team, and is not confined to those with formal senior leadership roles.

The evident shifts in research interest and preferred forms of leadership are not random but are linked to the formation of

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particular corporate strategies, which are often a response to perceived and actual changes in organizational design and global capitalism. Different leadership theories reflect two management logics. The first is the logic of direct, process-based control, in which the focus is on efficiency and cost containment. The second is the logic of indirect behavioural outcomes, in which the focus is on leaders engaging followers’ intellectual capital, commitment and cooperation.

In the context of mid-20th century mass production and scientific management, therefore, leaders acted as repositories of knowledge and had direct control over production formerly wielded by craft workers. These conditions provided the impetus for leader-centric models in the West. That theories of leadership should give disproportionate prominence to the personality, priorities and achievements of primarily white upper-class men reveals as much about cultural mores as they do about their subject (Salaman, 2016). Fast-forward three decades, and concerns about Japanese imports and evidence-based research on the benefits of empowered work teams (Bratton, 1992) see leadership theories emphasize that emotional processes and symbolic actions by leaders are as important as rational processes. The study of ‘followership’ evolved as a strategy to solve a range of cooperation and coordination problems in work groups (Bastardoza and Van Vugt, 2019). In the context of work reorganization based on Japanese management practices, such as work teams and just-in-time, follower-centric models of leadership captured the zeitgeist of the 1990s (see Chapter 8).

Image 1.1 1950s mass production provided the impetus for leader-centric models. Fast- forward three decades, and the benefits of work teams encouaraged follower-centric styles of leadership.

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Competitiveness travails and leadership theory-building are closely intertwined, serving to reinforce each other. To effectively evaluate theories of leadership, it is important to understand the philosophy or ‘worldview’ of the researchers and the assumptions underpinning their research. Today, in the second decade of the 21st century, there is growing acknowledgment in the literature of the need to adopt more holistic approaches to understanding leadership and its relationships with various outcomes of interest. The charismatic, ideological and pragmatic (CIP) model of leadership, for example, is based on the varied cognitive processes of leaders, but it also recognizes the significance of followers and context (Lovelace et al., 2019). However, there is, in parallel, a return of leader-centric approaches, because charisma is ‘too important’ to leave to arbitrary processes or weak institutions (Antonakis and Day, 2018: 75). That inspirational leader-centric models are again avant-garde must be seen in the context of wider social-economic factors: the rise of ‘meritocratic extremism’ (Piketty, 2014), a popular culture overtly in thrall to celebrities, and media exposure of high-profile corporate leaders that projects a fabricated image of charismatics as ‘wealth creators’ (Mazzucato, 2013) and rewards them with high ‘tournament-like’ salaries and bonuses.

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Critical Leadership Studies The prevailing and dominant leadership literature reviewed in this chapter take a functionalist approach to leading people. Functionalism assumes that organizations are unitary wholes, characterized by compliance, consensus and order. In contrast, critical leadership studies (CLS) denote theoretical perspectives that share a common concern to critique mainstream orthodoxies and the power relations through which leadership dynamics are frequently rationalized, often reproduced and sometimes resisted (Collinson, 2011). CLS embraces multiple approaches informed by an eclectic set of theoretical traditions and ideas (Prasad et al., 2018), though typically critical academics view organizations as arenas of domination, inequality, tension and conflict. The focus is on power, subordination and expliotation. To adopt a critical perspective is to ‘decolonise’ (Gopal, 2017) prevailing narratives, and to ask difficult questions of society and ultimately of ourselves. Critical studies address the intersection of class, gender and race in work, organizational design and power structures that is the reality of organizational life.

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Power, leadership and ideology The German sociologist Max Weber (1921/1968: 53) defined power as ‘the probability that one actor within a social relationship will be in a position to carry out his [sic] own will despite resistance, regardless of the basis on which this probability rests.’ It is about having the means to enforce your will over others, even against opposition. For Weber, power stemed from owning and controlling the means of production, but it was also derived from the knowledge of operational systems. A CIPD report (2017b: 42) defined power in the workplace as ‘the capacity of employees to leverage influence about the terms of their employment relationship’. The authors observe that developments in capitalism have shifted the balance of employment power away from workers towards employers. Power is not an abstract concept, but has real repercussions for the lives of people within and outwith organizations.

Writers have emphasized that power can be exercised at various levels, from a dyadic relationship to leaders enforcing their will on an entire organization (Antonakis and Day, 2018: 275). At the dyadic level, employment power features strongly in the alleged cases of misogynistic abuse, sexual harassment, sexual assault and rape (Elgot and Mason, 2017) by powerful men in Hollywood, politics and the workplace. In 2013, the exercise of power at an organizational level was demonstrated at the Grangemouth petrochemical plant in Scotland. There, the workers had to capitulate to all of the employer’s demands to avoid the company, INEOS, closing the plant (Bratton, 2015a: 371).

Power can operate at a societal level too. It is posited that dominant theories of leadership create a set of ideas and practices, which constitutes the dominant thinking in universities and society not only about forms of work and employment relationships but also the relationship between business and society. It is similarly argued that neoliberalism has produced its own types of ‘elite power’; for example, elites that come to narrate and justify what markets, and associated technologies and bodies, are ‘saying’ (Davies, 2017). This argument echoes Marx’s

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treatment of ideology – that large-scale capitalists and their allies have the capacity to control ideas and knowledge produced and disseminated throughout society (Bratton and Denham, 2019). For Graham Salaman, leadership is at the centre of a nexus of interrelated ideas, such as the doctrine of neo-liberalism and ‘shareholder value’, which has dysfunctional consequences for social justice. Hence, the prevailing view of leadership is heavily implicated in and supportive of ‘a flawed model of capitalism’ (Salaman, 2016: 64).

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Gender and leadership Leadership theory and research have largely neglected to take account of gender (see Chapter 14). The entry of more women into management positions has generated more research on gender in the workplace; questioning, among other things, the under-representation of women leaders, and whether women lead differently from men. Several writers argue that women managers have a more interactive style that includes more people-oriented, knowledge-sharing and participative leadership (e.g. Helgesen, 1990; Rosener, 1995). Whereas men’s careers are accelerated by a ‘glass escalator’ which carries them to senior positions, it is argued that the gender gap in leadership can be explained by unacknowledged barriers to career advancement – a ‘glass ceiling’. Further, in a time of crisis, women have been promoted to a leadership position and subsequently ‘failed’ due to pre-existing operational failures outside of their control – the ‘glass cliff’.

Critical feminist scholars have taken a different approach to studying gender and leadership. These studies have focused on the way jobs, occupations and organizations are themselves gendered, arguing that the processes of gendering within the organization consolidate men’s power. While some posit that leadership behaviour is ‘gendered’, Wajcman (1998) has counter- argued that the behaviour of male and female managers is largely determined by context imperatives – in other words, there is no such thing as ‘female’ management behaviour. The structure and culture of many organizations can create greater obstacles and challenges for women than men (Carli and Eagly, 2011). The debates on the gender gap in leadership in the early 21st century provide a rich ground for future leadership research. Gender is inextricably connected to other inequality issues, such as class, race and sexual orientation, and critical research using intersectional knowledge and praxis (Collins and Bilge, 2016) might address the intersection of class, gender, race and ethnicity and sexual orientation in different forms of organizational leadership.

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The Employment Relationship It is within work organizations that the employment relationship is fashioned. The employment relationship is the exchange between employers and employees for work or services performed in return for remuneration as conditioned by markets or regulations. It is through the employment relationship that reciprocal rights and obligations are created between the employee and the employer. It can be conceptualized in various ways, as:

a mutually-advantageous transaction in a free market; a partnership of employers and employees with shared interests; a negotiation over ‘wage-effort’ between parties with competing interests; an unequal power relation embedded in complex socio- economic inequalities. (Budd and Bhave, 2013)

These four ways of conceptualizing the employment relationship provide very different perspectives on the fundamental aspects of people management and leadership.

Conceptualizing leadership as a human process within an employment relationship helps us understand how human resource (HR) practices influence both the leadership and followership process. First, the ongoing leader–follower relationship is inherently cooperative and consensual, or defiant and conflictual. The indeterminacy of the employment contract, that employees have a potential capacity to provide added value desired by the organization, focuses attention on the importance and quality of the relational nature of the exchange. Followers’ attitudes (e.g. commitment), followers’ behaviour (e.g. engagement) and followers’ performance (e.g. effort) will be influenced by multiple contextual factors within and outwith the organization.

Second, critics of mainstream theories of people management and leadership have drawn upon the Weberian (1921/1968)

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notion of a ‘paradox of consequence’ arising from HR practices (Bratton, 2015: 257). For example, work teams have been introduced to enhance employee engagement in decision making and improve labour productivity. But, on the other hand, the productivity benefits arising from the new arrangements are accompanied by a number of negative effects on the ‘psychological contract’, which have the effect of creating tension in leader–follower relations (see Chapter 8).

Third, power is embedded in the employment relationship and the leader–follower relationship is shaped by the balance of power between the actors (see Chapter 3).

Fourth, if organizational life is recognized as an arena of complex reciprocal human relations that are socially constructed and embedded in a national and organizational culture, strategic HR practices and strategic innovation is more appropriately configured not simply as a series of causal steps, but rather as planned practices and innovation that might be enacted as envisioned (see Chapter 9).

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Conclusion This chapter has introduced the reader to the different ways leadership has been conceptualized, noting that its meaning is contested and the way leadership is defined and understood is strongly influenced by the theoretical standpoint a researcher adopts. The chapter explored the ways writers have tried to differentiate leadership from management. It sketched the major theories and current issues relating to leadership as a starting point and benchmark for subsequent discussion. The underlying thrust of the chapter is to suggest that leadership theories reflect the zeitgeist of the various historical times.

Amid the contemporary promotion of ‘authentic’, ‘servant’ and ‘shared’ leadership, our review explored critical leadership studies, and current issues of power and gender, frequently obscured or neglected in mainstream studies of leadership. Inevitably, our own subjectivity has shaped our approach to studying leadership. Throughout this book, we shall attempt to be as impartial as possible as we introduce the reader to a wide range of perspectives on leadership. After reflecting on the content of the book, readers will be able to judge for themselves how successful we have been in achieving this objective.

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Chapter Review Questions

1. Are management and leadership diametrically opposed? 2. What key developments in the business environment and in

organizations can help explain trends in leadership theory? 3. Why are issues of power and gender frequently neglected in

mainstream studies of leadership?

Assignment Task: Leadership and LMD

There has been an exponential growth in leadership and in leadership and management development (LMD). In the UK, centres for leadership training have been established in the civil service, local government, the NHS and the fire service. In the EU, leadership is entrenched as the key ‘enabler’ in the business excellence model sponsored by the European Foundation for Quality Management (EFQM). Examples of leadership training programmes can be seen at: https://www.efqm.org/index.php/efqm-model (accessed 23 October 2019); www.healthcareers.nhs.uk/i-am/working-health/nhs- leadership-academy (accessed 19 September 2019).

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Questions 1. Read Keith Grint’s chapter, ‘A history of leadership’, in A.

Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds) (2011) SAGE Handbook of Leadership, pp. 3–14. London: SAGE.

2. Thinking about the dichotomy between management and leadership shown in Table 1.2, what assumption(s) underpin the growth of interest in leadership programmes across both private and public sectors?

3. To what extent, if at all, is the fascination with leaders and LMD a reflection of the changing business context?

Go Online

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Mats Alvesson from Lund University shares his views on current leadership studies and traditional ideologies, as well as discussing his own work on reflexive leadership and followership.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Antonakis, J. and Day, D.V (2018) ‘Leadership: past, present, and future’, in J. Antonakis and D.V. Day (eds), The Nature of Leadership. London: SAGE, pp. 3–19.

Dinh, J.E., Lord, R.G., Gardner, W.L., Meuser, J.D., Liden, R.C. and Hu, J. (2014) ‘Leadership theory and research in the new millennium: current theoretical trends and changing perspectives’, The Leadership Quarterly, 25 (1): 36–62.

Grint, K. (2011) ‘A history of leadership’, in A. Bryman, D. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. London: SAGE, pp. 3–14.

McCann, L. (2016) ‘From management to leadership’, in S. Edgell, H. Gottfried and E. Granter (eds), The SAGE Handbook of the Sociology of Work and Employment. London: SAGE, pp. 167–84.

Squires, G. (2001) ‘Management as a professional discipline’, Journal of Management Studies, 34 (4): 473–87.

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Case Study: Leading the Virgin Group

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Background The Virgin Group has become a diversified grouping of more than 200 privately held companies. These include Virgin Atlantic Airways, Virgin Holidays and Virgin Money. Since the late 1990s, the Virgin brand has become one of the top 50 brands in the world. In 2017, the Virgin Group announced plans to invest in a Hyperloop company that claims to transport passengers from London to Scotland in 45 minutes. Though a disparate group of companies, the Virgin brand has long been associated with efficiency and high-quality services.

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Leadership at Virgin Sir Richard Branson, Chairman of Virgin Group since 1973, has attained almost cult status in England. Virgin’s success has been attributed to Branson’s innovative entrepreneurial ideas and his leadership style. He has operated his unwieldy holding company from a distance, relying on telecommunications to keep him in touch with his executive managers. His reasoning is that ‘People always want to deal with the top person in the building. So somebody besides me takes complete responsibility. He becomes chairman of that company … and I can be left to push the group forward into new areas.’

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Case Exercise On your own, or in a study group:

1. Complete an online search of the Virgin Group. What, in your view, differentiates Branson from a senior manager (Hint: review Table 1.2).

2. Thinking about the evolution of the main theories of leadership (see Table 1.3), what theory, if any, helps us understand Branson’s leadership style?

3. To what extent, if at all, does context, such as outsourcing, affect leadership?

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Sources of additional information Visit Virgin’s website at www.virgin.com.

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2 Strategic Management, Innovation and Leadership

John Bratton George Boak

‘Innovation distinguishes between a leader and a follower.’

Steve Jobs, cited in Woo, 2013

‘Avoiding climate breakdown will require cathedral thinking. We must lay the foundation while we may not know exactly how to build the ceiling.’

Greta Thunberg, 2019: 67

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Chapter Outline Introduction Strategic management A framework for studying strategy and leadership The nature of innovation The external and internal contexts driving innovation Leaders’ roles in innovation processes Evaluation and criticism Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain the external and internal contexts of work organizations and the potential implications for leader–followers’ relations and behaviours; discuss the proposition that neoliberalism has shaped the role of leadership; analyse the factors driving innovation and the leaders’ roles in facilitating the process.

video

To learn more about innovation, don’t forget to watch the video conversation for this chapter online.

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Introduction We live in an era of turbulence and great change. As we write, trade wars between the USA and China and the ongoing negotiations surrounding Britain’s withdrawal from the European Union (EU), commonly referred to as ‘Brexit’, are just two political upheavals that make the global business context perhaps the most challenging to analyse. Global factors and a variety of internal organizational processes compel executives to reflect on and revise their investment in research and development (R&D) and their corporate management strategy. According to the World Economic Forum (WEF), innovation is one of 12 pillars to national competitiveness, and political turbulence put at risk R&D expenditure and innovation (Hamilton and Webster, 2018). Modern manufacturing strategies centre around complex just-in- time supply chains, and trade disputes between the USA and Canada, USA and Mexico, and Britain and the EU are sources of uncertainty and risk, which may cause investment in R&D and new technology to be scaled back (Inman, 2019; Pooler et al., 2019). Academic interest in the role of context has been ‘limited’ to examining the links between economic-political crises and charismatic leadership (Conger, 2011). This is because few leadership scholars have a political economy background and, further, any contextual investigations are complicated by the fact that organizational leaders will perceive the relative importance of any contextual changes differently.

Studying the changes in the global and national economies would fill several volumes. The aim of this chapter is to provide a sketch of the contexts that affect leadership dynamics. But we also have to bear in mind that corporate leaders attempt to change the external context. The chapter proceeds to examine innovation, its drivers and the role of leadership in promoting innovation.

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Strategic Management The word ‘strategy’, deriving from the Greek noun strategos, meaning ‘commander in chief’. In a management context, the word ‘strategy’ has now replaced the more traditional term ‘long- term planning’ to denote a specific pattern of behaviour undertaken by upper-echelon leaders with power in order to accomplish organizational goals. Hill and Jones (2012: 3) define a strategy as ‘a set of related actions that managers take to increase their company’s performance.’ The giant retailer Walmart, for example, has enjoyed competitive advantage over its rivals because it pursues a number of strategies, including a lower cost structure, lower prices, a larger market share, lower wages and higher profits than rival supermarkets (Fishman, 2007). For Grant (2018: 4) strategy is simply ‘about achieving success’. In for-profit organizations, ‘success’ usually means the company has a competitive advantage. In American and British non-profit organizations, it invariably means doing the same or more for less.

Traditionally, top power-wielding hierarchical leaders undertake strategy development. In contrast, in non-traditional learning organizations, the accumulated actions of informed and empowered employees contribute to strategic development (Daft, 2015). A collaborative strategy can emerge from business partnerships with suppliers and customers, non-profit and environmental agencies and groups. Strategy is therefore the essence of managerial activity.

In the UK, there has been a transformation of public sector organizations through privatization, outsourcing or the application of business-oriented management practices (see Chapter 15). This development has led to generic models of strategic management, previously applied only in for-profit organizations, being applied in many public sector organizations (Ferlie and Ongaro, 2015). Whether in private or public sector organizations, a successful strategy is consistent with the organization’s environment and with its internal goals, resources, capabilities

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and shared values. But an important antecedent is corporate ideology, a system of ideas that explains and lends legitimacy to management’s actions which influences strategic decisions by senior executives. Strategic management is best defined as a continuous process that requires the constant adjustment of three major, interdependent poles: the values of senior management, the resources available, and the environment (Figure 2.1).

Figure 2.1 The three traditional poles of a strategic plan

The environment operates at two levels. One is the macro or societal environment that is external to an organization. The other is the micro or specific environment. Forces in the macro environment profoundly impact at the level of industry, and include the economy, demographics, politics, technological developments, national culture and ideologies. Forces in the micro environment affect processes within the organization, and include local labour markets, suppliers, customers and specific technologies. The distinction between macro and micro environments is dynamic. Elements in the macro environment constantly penetrate into the micro environment, and affect an individual organization.

There are numerous ‘schools’ of strategic management, many of which exhibit distinct theoretical perspectives (Mintzberg et al., 2009; Ferlie and Ongaro, 2015). What follows, therefore, is a brief introduction to the field. Typically, the strategic management process is broken down into five steps:

1. Mission and goals 2. Environmental analysis 3. Strategic formulation 4. Strategy implementation

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5. Strategy evaluation.

Mission and goals is the first step. It involves top hierarchical leaders evaluating their position in relation to the organization’s raison d’être (mission), which indicates the direction in which senior management is going and the outcomes the organization is trying to accomplish (goals). The leaders who comprise what Mintzberg (1989: 98) calls the ‘strategic apex’ coalesce around a vision, which is contingent upon a specific belief system or ideology that appeals to like-minded stakeholders (Lovelace et al., 2019).

Figure 2.2 A framework for linking management strategy and leadership

Environmental analysis involves identifying various factors that might impact on the organization. STEEPLE analysis is a common tool for classifying macro environmental influences into seven

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categories: socio-cultural, technological, economic, ecological, political, legal and ethical. Macro environmental scanning is a difficult process and not all environmental influences are equally important (Choo, 2001; Johnson et al., 2017). The STEEPLE model forms part of Figure 2.2. Scanning the environment also involves identifying principal external opportunities and threats and internal strengths and weaknesses. This well-known tool is referred to as ‘SWOT analysis’: while opportunities and threats (the macro environment) will emerge through a STEEPLE analysis, strengths and weaknesses (the micro environment) can be analysed through a SWOT – Strengths, Weaknesses, Opportunities and Threats – analysis or a variant PRIMO-F – People, Resources, Innovation, Marketing, Operations, Finance – framework (CIPD, 2018c).

Strategic formulation involves upper-echelon leaders evaluating the interaction between strategic factors and making strategic choices that enable the organization to meet its business goals. The process, as described here, draws on the ‘strategic choice’ perspective, which underscores the distribution of power: ‘where power lies, how it comes to be there, and how the outcome of competing power plays and coalitions within senior management are linked to employee relations’ (Purcell and Ahlstrand, 1994: 45), which has relevance for theories of power and distributed leadership (see Chapters 3 and 8).

Strategy implementation is an area of activity that focuses on the role of leadership, as implementation often involves the adaptation and development of a strategy, as well as gaining support and commitment from those who are expected to carry it out. Leadership is considered to be critical to driving pro- environmental behaviours and promoting environmental sustainability (Robertson and Barling, 2015) (see Chapter 16).

Strategy evaluation is an activity that determines to what extent the actual change and performance match the desired change and performance (see Chapter 12).

Conventional strategic management wisdom depicts the five major activities as forming a rational and linear process. It is,

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however, important to note that it is a normative model, that is, it shows how strategic management should be done rather than describing what is actually done by senior managers. Finally, to conclude this brief overview of strategic management, we will reiterate the idea that strategy is a political process undertaken by people with power and who are influenced by the ideology of neoliberalism (see Chapter 4).

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A Framework for Studying Strategy and Leadership A number of organizational theorists have argued the importance of understanding leadership in terms of technological stability or instability, economic ‘imperatives’ and levels of strategic decision making (Wajcman, 1998; Cyert and Williams, 1993). We offer here an integrative, or ‘open’, model for studying the context of leadership and for examining how different levels of strategic decision making can potentially be an antecedent for distributed leadership. Our model, shown in Figure 2.2, consists of five parts: (1) the external or macro environment, (2) the internal or micro environment, (3) a hierarchy of strategy, (4) levels of leadership and (5) corporate performance.

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1. The external or macro environment For the EU, the USA, China and much of the world, these are challenging and perplexing times. In discussing the external environment, we shall apply the STEEPLE framework to illustrate key forces:

Socio-cultural factors include demographic trends, social mobility, levels of education, societal beliefs, customs, conventions, attitudes to paid work and values. Changing societal values have an impact on leader-followers. For example, changes in traditional gender roles and new lifestyles change participation rates (see Chapter 4).

Technology is quintessentially a defining feature of modernity. Technological innovation has transformed our planet, our societies and individual behaviour. Technologies are intertwined with innovation; they are also complicit in the greatest challenges we face today (Bridle, 2018b). The replacement of labour by the next generation of robots and artificial-intelligence (AI) systems will potentially make unskilled and semi-skilled workers superfluous in all industrialized countries (Schwab and Davis, 2018). A combination of new technologies and climate change will be the key drivers of transformative economic and social change (Bratton and Grant, 2018).

Economic globalization underscores the need to examine the organization within its totality. Facebook, with roughly 1 billion account users globally, exemplifies the globalization of capitalism (Cavusgil and Knight, 2015). Globalization impacts buyer–supplier and inter-organizational relationships (Puranam, 2018), business cycles and unemployment (Yueh, 2018). As briefly mentioned in Chapter 1, economic globalization has been augmented by the ideology of neoliberalism, a theory of political economic practices that proposes that human prosperity can best be advanced within a national institutional framework characterized by robust private property rights, free markets, free trade and minimum state intervention in markets (Harvey, 2005).

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The ideology of neoliberalism, particularly in the USA and the UK, has dictated economic policies, public sector transformation and deregulation of labour markets. Ideology is important because corporate leaders use their vision, which is contingent upon a specific belief system, to appeal to like-minded individuals (Lovelace et al., 2019). Numerous critics argue that the ideology of neoliberalism has had a detrimental effect on workers, including creating insecurity and income inequality (Piketty, 2014; Stiglitz, 2017).

Ecology refers to the way human activities impact the natural world. The science is clear: on current trends in global warming, humanity faces an ‘existential crisis’ (Monbiot, 2017). Organizations are significant contributors to climate change, and leaders have the potential to decarbonize the workplace through new investment and policies and practices that promote pro- environmental behaviours (see Chapter 14).

Politics in our model refers to all levels of government impacting on work organizations, including fiscal policy, trade regulations, consumer protection, EU policies and directives, exchange rate policy, and geopolitical factors like military conflicts and cross- border terrorism.

Legal in the STEEPLE analysis includes employment legislation, consumer protection laws, and occupational health and safety legislation. Critics of neoliberalism argue that employment law reforms have had negative effects on workers’ rights, which have affected workplace relations. For example, a 2018 report found widespread exploitation and abuse of workers, ranging from wage theft to slavery, in 17 sectors of the UK labour market, including in food services, car washes, nail bars and agriculture (Lawrence, 2018).

Ethical considerations reflect the growing concern for conducting business in an ethical way. Organizations can be morally good or bad according to the consequences of their actions (Hoffman, 1990). Profits and brand image can be profoundly impacted by unethical strategic decisions. In 2015, for example, a high-profile case of alleged unlawful and unethical behaviour centred on

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Volkswagen executives accused of legal and ethical violations of emission laws (see Chapter 5).

Pause and reflect

Look at Figure 2.2. How will new trade arrangements impact you or a workplace you have studied?

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2. The internal or micro environment The internal environment describes the regular, patterned nature of work-related activities, technology and processes that is repeated day in and day out in the organization. As mentioned above, the CIPD suggests that the internal environment can be analysed through a PRIMO-F model consisting of six identifiable variables that impact on the active interplay of leaders and followers: people, resources, innovation, marketing, operations and finance (CIPD, 2018d). In studying the first variable, people, it is important to emphasize that with increasing globalization, immigration and changing demographics are increasingly diversified in nature (Bendl et al., 2017). These changes are challenging leaders to harness a diversity dividend by adopting the practices of inclusion that improve performance outcomes (see Chapter 9).

Resources, or lack of (e.g. skilled workers), can identify internal weaknesses in the organization. Innovation and new technology potentially affect the quality of work and the behaviour of individuals, groups and operating processes. Marketing covers both marketing and sales activities. Operations include the ‘nuts and bolts’ of providing a product or service. The way work routines and activities are managed will be strongly influenced by organizational structure, defined as the manner in which an organization divides up its specific work activities and achieves the coordination and control of these activities. Structure can take many forms. Much debate has centred on whether organizations have shifted from bureaucratic forms with highly specialized tasks and a hierarchical authority to post-bureaucratic forms with low specialization and ‘flat’ authority. The sixth variable, finance, incorporates all accounting procedures. Each variable is examined using SWOT analysis.

Critical Insight: ‘Good jobs’ and ‘bullshit jobs’

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British economist Paul Mason argues that the rapid change in technology is altering the nature of work and blurring the distinction between work and leisure. The technological direction of this revolution is at odds with its social direction. ‘Socially, we are trapped in a world of monopolies, inefficiency, the ruins of a finance- dominated free market and a proliferation of “bullshit jobs”’, he observes. There are competing explanations of the polarization in job quality. Economic globalization has helped create this polarization between high-skilled occupations such as professionals on the one hand, and lower-skilled white-collar and blue-collar occupations on the other, in terms of skill differences, remuneration and security of employment.

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Activity Working on your own, or with a group:

1. Read Arne Kalleberg’s (2016) chapter ‘Good jobs, bad jobs’, in S. Edgell, H. Gottfried and E. Granter (eds), The SAGE Handbook of the Sociology of Work and Employment London: SAGE, pp. 111–28.

2. How does Kalleberg explain the polarization in job quality? 3. How, if at all, does job quality present challenges to managers

and organizational leaders?

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3. A hierarchy of strategy Conventional wisdom identifies a hierarchy of strategy: corporate, business and functional. In Figure 2.2 we have added a fourth level of strategy: team.

Corporate-level strategy describes an organization’s overall direction in terms of its general philosophy towards the growth and the management of its various operating units. Figure 2.2 proposes that corporate strategy can only be understood in the context of the wider external environment, the internal environment, strategic choice considerations, the opportunities and constraints facing the organization, and corporate ideology, all of which, determine – or at least influence – the strategic management process.

Corporate strategies determine the types of business a corporation wants to be involved in and what business units should be acquired, modified or sold. This strategy addresses the question ‘What business are we in?’. Corporate-level strategy involves at least four types of leadership initiative:

establishing investment priorities; initiating actions to improve the performance of those business units; finding ways to improve the synergy between related business units; making decisions dealing with diversification.

Business-level strategy deals with decisions and actions pertaining to each business unit, the main objective being to make the unit more competitive, or in non-profit organizations to improve or maintain services at reduced costs. This level of strategy addresses the question ‘How do we compete?’.

Michael Porter (1980) describes three types of competitive strategies: cost leadership, differentiation and focus. The low-cost leadership strategy (e.g. Walmart) attempts to increase the organization’s market share by having the lowest unit cost and

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price compared with those of competitors. The differentiation strategy (e.g. Rolex) assumes that strategists distinguish their services and products from their competitors in the same industry by providing distinctive high-quality services or products such that the customer is prepared to pay a premium price. With the focus strategy (Mountain Equipment Co-operative), executives concentrate on a specific buyer group or regional market.

Functional-level strategy relates to the major functional operations within the business unit, including R&D, marketing, manufacturing, finance and HR. This strategy level is typically primarily concerned with maximizing resource productivity and addresses the question ‘How do we support the business-level strategy?’.

Team-level strategy relates to unit or team operations and activities within major functional operations and is typically concerned with implementing the functional strategy and addresses the question ‘How do we support the functional-level strategy?’.

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4. Levels of organizational leadership Figure 2.2 also illustrates different vertical levels of leadership in the organization, from executive to first-order, second-order and team leadership. This notion of levels of leadership, aligned with the vertical hierarchy of strategy, draws on Purcell and Ahlstrand’s (1994) work on management decision making in multi-divisional companies, and on Jaques’ (1990) idea of the different capabilities required at different levels of an organization.

The notion of levels of leadership can be illustrated by the example of flying different kinds of aircraft. Taking control of a Boeing 747 or a small, single-engine Cessna aircraft both involve piloting, but obviously the level of capabilities needed to fly each aircraft is quite different. As already noted, in large organizations a hierarchy of decision making exists, from corporate to business to functional to team. Different levels of leadership match this hierarchy of decision making. ‘Executive-level’ strategy involves executive leadership, while ‘second-level’ strategy, it is suggested, entails functional (e.g. HR) leadership. The leadership capabilities needed to undertake a large-scale transformation at corporate level or across multiple organizations (e.g. police, health care or regional development) is obviously different to the capabilities needed for team leadership (Jaques, 1990). Thus, leadership scholars emphasize the complexity and importance of developing leadership capabilities and high-quality relationships (see Chapters 15 and 17, for example).

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5. Organizational performance The fifth part of our model is organization performance. The evaluative context addresses the much-researched question ‘Do certain leadership behaviours actually improve and sustain performance outcomes at the individual, group, and organizational levels?’. Although there is well-documented evidence that a combination of determinate leadership behaviours is associated with positive performance outcomes, the association is by no means uncontested. We examine performance outcome issues in Chapter 11.

Models similar to the framework presented here for analysing the links between management strategy and leadership have received criticism for simplifying social reality. While we do need to caution against any notion of describing ‘the’ context in reference to leadership, the framework can be a useful heuristic for increasing awareness and understanding of organizational leadership processes.

Leadership in Action: The fall of Travis Kalanick

Travis Kalanick, the co-founder of ride-hailing organization Uber, resigned as chief executive of the company in June 2017 in response to pressure from Uber’s largest investors. This followed the publication of a report commissioned by the company, from former US attorney general Eric Holder, into the organization’s culture, which found that sexual harassment, gender discrimination and bullying were common, and recommended that Kalanick’s role should be reduced. Recent years had also seen allegations of Uber under-paying drivers, spying on politicians and celebrities, and hacking technology. In March 2017, Kalanick had been filmed angrily yelling at his own Uber driver when the latter complained about his rates of pay.

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Reflective question 1. What ethical issues are raised by Kalanick’s behaviour?

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Source Newcomer, E. and Stone, B. (2018) ‘The fall of Travis Kalanick was a lot weirder and darker than you thought’, Bloomberg Business Week. Available at www.bloomberg.com/news/features/2018–01–18/the- fall-of-travis-kalanick-was-a-lot-weirder-and-darker-than-you-thought (accessed 17 September 2019).

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To explore this topic further see: Jones, M.T. and Millar, C.C. (2010) ‘About global leadership and global ethics, and a possible moral compass: an introduction to the special issue’, Journal of Business Ethics, 93 (1): 1–8.

Legge, K. (2000) ‘The ethical context of HRM: the ethical organization in a boundaryless world’, in D. Winstanley and J. Woodall (eds), Ethical Issues in Contemporary Human Resource Management. London: Palgrave, pp. 23–40.

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The Nature of Innovation Innovation can be defined as the process of coming up with good new ideas and making them work technically and commercially (Tidd and Bessant, 2018). Innovation therefore only counts as innovation if it produces something that ultimately will be sold to customers, or, in the public sector, that will result in ‘more for less’ (Parker, 2018: 30).

Bessant (2003) distinguishes between incremental and breakthrough innovations. Incremental innovations improve existing goods, services, processes and management practices, techniques and structures: a more efficient vacuum cleaner, motorcar or mobile phone, or data processing system, for example. Incremental innovations enable organizations to ‘do things better’. Over time, and in cumulative form, incremental innovations can produce significant changes. Breakthrough innovations enable organizations to ‘do things differently’. Breakthrough innovations introduce wholly new products and services, such as the iPhone, magnetic resonance imaging, and social networking websites. Bessant observes that most organizational innovation follows a pattern of occasional breakthrough (e.g. Apple’s iPhone) followed by long periods of cumulative improvement.

Innovation is not limited to creating new goods and services. The OECD (2018) identifies two main types of innovation:

Product innovation: the introduction of a good or service that is new or significantly improved with respect to its characteristics or intended uses. This includes significant improvements in technical specifications, components and materials, incorporated software, user friendliness or other functional characteristics. Process innovation: the implementation of a new or significantly improved production or delivery method. This includes significant changes in management practices, techniques, equipment and/or software.

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An innovation may be developed through invention or through adoption from elsewhere. For example, Dyson invented and introduced bagless vacuum cleaners and novel designs for hand dryers, and then other organizations developed and introduced their own versions of these products. The Dyson products were what Tidd and Bessant (2018) would call ‘new to the world’ whereas the competitors’ products were ‘new to the organization’ that set out to manufacture them.

Since the 19th century, long business cycles have been driven by major innovations (Bratton and Grant, 2018). As early as 1821, the disruptive effects of new machinery were analysed by British economist David Ricardo in his book The Principles of Political Economy, and by Karl Marx, ‘Machinery and Modern Industry’ in Capital in 1867. Innovation continues to be seen as a cornerstone of competitiveness (Crossan and Apaydin, 2010; D’Souza et al., 2017). Organizations innovate in order to capture new markets or to retaliate against competitors; they do so in order to improve aspects of their operations, and to reduce costs. Public sector organizations innovate in order to improve services to their clients, to improve efficiency and to reduce costs.

Christensen (2016) argues that a common pattern of innovation is disruptive innovation. Disruptive innovation occurs when a company – usually smaller and with fewer resources than the market leaders – is able to enter a market and mount a successful challenge to those who have dominated it. The smaller company is able to do this because the market leaders focus on improving their products and services to meet the needs of their most profitable customers, and they ignore the needs of some parts of the market. The new entrant produces goods/services – usually at a lower price and with lower functionality – that appeal to these ignored market segments. The market leaders judge this to be irrelevant to their interests. However, over time, the new entrant is able to improve the quality of their goods/services and moves into the mainstream market: when they succeed in winning a stake in the main market, they disrupt the position of the market leaders (Hopp et al., 2018).

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At the time of writing this book, AI is emerging as one of the IT world’s most disruptive innovations, which is causing market leader Facebook, like some of its main competitors, to design the core components for computer systems that can handle the new demands of AI (Waters, 2019b).

Pause and reflect

Read Paul Krugman’s 14 March 2019 article in the New York Times: https://nyti.ms/2CkOlFX?smid=nytcore-ios-share. Does innovation ‘destroy or create jobs’?

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The External and Internal Contexts Driving Innovation As discussed above, contextual changes create strategic opportunities but also constraints (Tidd and Bessant, 2018). Globalization and the dismantling of tariffs may lead to new opportunities for product or service innovation and competition. Changes in political positions (e.g. China and US trade tariffs) and in legislation or regulations (e.g. diesel emissions standards) can significantly alter the ‘rules of the game’ or product demand. External drivers of innovation therefore include market opportunities, competitive pressures, changes in laws and regulations, and changes in available technologies. Changing social attitudes impact on markets, for example, in the UK changing attitudes to smoking and concerns about obesity, fast foods and sugar. In the UK, a tax on sugar in foods and drinks was introduced in 2018 as a measure to combat childhood obesity, and this led many manufacturers of soft drinks to develop new low-sugar formulae for their products to minimize the effects of the tax. The confectionary manufacturer Cadbury, for example, announced that it was to launch a version of its best-selling chocolate bar with 30 per cent less sugar; rival brand Nestlé had already announced that it would launch a chocolate bar containing reduced sugar (Wood, 2018). Public concern about plastic pollution in the oceans is encouraging individuals to recycle more and avoid the use of single-use plastic, which is beginning to create new thinking and ways of doing (The Economist, 2018).

In Canada, cannabis was legalized for recreational use in 2018, with edible products infused with cannabis expected to become legal a year later, leading a number of organizations to develop cannabis-related products, including cannabis-infused cocktails and cannabis-based beer (Kassam, 2018). In this case, a change in legislation, and anticipation of a very large market, prompted innovations.

News of developments in technology can also be seen as an external driver of innovation. Technologies that currently appear capable of giving rise to new products, processes and business

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models include: data analysis algorithms, AI, block chain and crypto currencies, virtual reality and augmented reality, genetic engineering, 3-D printing, the Internet of Things, smart mobile devices, and autonomous driving. Not all innovations concern technology changes, although this is a major driver in many industries at present (Chambers and Kirkland, 2016; Ringel et al., 2018). Innovations in the format of TV shows, for example, are rarely dependent on new technologies. Process innovations that can make a significant difference to how organizations operate, such as team working, may be developed without the application of new advanced technology (Womack and Jones, 1996; Storey and Holti, 2013a).

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Enablers and obstacles to innovation Enablers of innovation within an organization include the available human knowledge and resources (Crossan and Apaydin, 2010), positive innovation strategies (Tidd and Bessant, 2018), organizational cultures and practices that encourage and facilitate creativity and innovation (Mumford, 2014) and leadership (Su and Baird, 2018).

Organizational creativity can be defined as the generation of ideas that are both novel and useful (Amabile, 1988). Three main factors contribute to individual or small team creativity: expertise, creative-thinking skills, and intrinsic motivation (Amabile, 1997). The main factors within the wider work environment that influence employee creativity are managerial and supervisory direction and encouragement, the organizational ambition to innovate, and the availability of resources. In terms of management innovation, including new management practices, techniques, processes and structures, Su and Baird’s (2018) study found that leadership style influences management innovation with a more initiating style associated with the extent of use of new managerial techniques. Management innovation was also influenced by the use of controls with a more interactive (diagnostic) approach associated with the extent of use of new managerial processes and techniques (practices and structure). Creativity is only the starting point for innovation, however, and organizational practices also need to provide the infrastructure and resources to assess creative ideas and to implement those that are deemed promising (Tidd and Bessant, 2018).

Research has identified internal factors to be an obstacle to disruptive product innovation: for example, practices such as a focus on meeting the needs of customers in existing markets through incremental improvements in products, services and processes; a dependency on market research and planning; expertise in manufacturing processes associated with existing products; and the application of established rules for return on investment decisions (Christensen et al., 2015; Christensen, 2016). To counter the effect of these impeding factors,

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Christensen advocates the establishment of smaller, rollout organizations to focus on the emerging market.

However, Tushman and Euchner (2015) argue that radical innovation can be achieved in established organizations, if sufficient structural and systemic measures are put in place to accommodate the tension between producing today’s products and developing products for tomorrow. Ringel et al. (2018) found a range of different organizational arrangements in companies undertaking digital innovation, including the establishment of centralized innovation units.

In summary, a number of external and internal factors may drive or enable innovation. Managers and leaders influence internal factors and, naturally, there has been much research interest in how leaders can be most effective in generating and supporting innovation processes.

Pause and reflect

Thinking about health care, what are the current drivers of innovation (Hint: focus on demographic changes)?

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Leaders’ Roles in Innovation Processes Innovation involves a number of different processes: creative thinking and action in order to produce new ideas; evaluation of the outcomes of this creative thinking and making decisions about whether to proceed and, if so, how; and development and implementation of the ideas so that they become innovations that are technically and commercially viable (Crossan and Apaydin, 2010). A simplified visual conception of the process as a series of stages in a supportive organizational environment is shown in Figure 2.3.

Figure 2.3 Stages of the innovation process (based on Goffin and Mitchell, 2005, and Tidd and Bessant, 2018)

As the end-of-chapter case study illustrates, it is widely recognized that the reality of innovation is more complex than the diagram. As Anderson et al. (2014: 1299) observe, ‘the innovation process as it unfolds over time is messy, reiterative, and often involves two steps forward for one step backwards plus several side steps.’

Leadership at different levels in organizations influences innovation processes. Senior leaders shape strategies, structures, systems, knowledge management practices, organizational culture and climate, and make crucial decisions about initiating innovations and about resource allocation (Crossan and Apaydin, 2010).

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Denti and Hemlin (2012) argue that senior leaders need to influence innovation in two ways: by constructing environments in which people feel encouraged and enabled to innovate, and also by setting goals and directing activities.

In larger organizations, leadership of innovation is likely to be distributed between different levels of the organization and between different individuals and groups (Fu et al., 2018; Patton and Higgs, 2013). Being perceived as ‘clusters’ of innovation within different units of the organization necessitates that individual leaders need to be able to work well together across the organization in order to exercise shared leadership (Bolden and O’Regan, 2016).

Different stages of the innovation process require different types of leadership behaviours. Countless different theories have been offered and subject to empirical scrutiny. Mumford and Licuanan (2004) note that leaders’ supportive and guidance behaviours are vital in the initial creative stage, to encourage effective interactions among group members, and are equally important in creating suitable conditions for implementation. Mumford (2014) argues that leaders may need to articulate a vision in order to stimulate creativity, and that they must also be able to get creative people to work together in teams towards common ends. He also argues that leaders’ instrumental behaviours, such as clarifying roles and responsibilities, establishing standards, appraising work quality and providing resources, are often critical to success. In addition, leaders need to be able to negotiate successfully with organizational stakeholders for support and resources for innovative projects.

Traditional views of leadership place the process of innovation squarely in the hands of leaders. However, the role talented employees play in generating ideas that are both novel and useful shifts the focus of the process of creativity to followers. The process of leading innovation requires the process of following. ‘Followership’ refers to the behaviours of followers, which emerges from the leader–follower influence relationship (Kelly, 1992). It is co-produced by the leader and follower in a given context, and, in terms of creativity, the focus shifts to talented and

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‘effective followers’ rather than just the leaders. As Jaussi et al. (2008: 307) observe, ‘Creativity and innovation in organizations require the recognition and valuing of followership.’ We explore the notion of effective followers further in Chapter 13.

Studies of corporate innovation have drawn on ideas from research into organizational learning that there is a need both for exploration (the search for new knowledge and ideas) and the implementation or exploitation of what is already known (March, 1991; D’Souza et al., 2017). Maintaining a balance between exploration and exploitation has become known as ambidexterity, and this idea has been applied to leadership behaviours (Rosing et al., 2011; Havermans et al., 2015). Ambidextrous leadership is likely to be needed at all levels of an organization, from executives to team leaders (Uhl-Bien and Arena, 2018). Leadership behaviours that encourage the opening up and exploration of ideas and possibilities need to be balanced with leadership behaviours that encourage implementation by closing down possibilities, agreeing aims and deadlines, and achieving results (Zacher et al., 2016). However, we should beware of over- simplifying the relationship between creativity and implementation: the pathway to realizing an innovation will rarely consist of a moment of creativity followed by a process of straightforward implementation. Creativity is likely to be needed at several stages along the pathway to overcome problems that will arise.

Transformation and transactional leadership are well-established theories of leadership behaviour (see Chapter 7) that have been applied to innovation. The value-based inspiration associated with transformational leadership is well-suited to stimulating changes in employees’ creative and innovative behaviours. Oke et al. (2009) argue that transformational leadership is particularly important for the early stages of the innovation process – where leaders can establish and communicate a vision, stimulate different perspectives on issues, and demonstrate they value each individual team member. The development and implementation stages, which require a focus on management systems and rewards (Oke et al., 2009), have a greater need for transactional leadership.

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In summary, it is thought that leaders at different levels in an organization may need to influence innovation processes in a number of different ways, from nurturing creativity among followers to providing the structure and direction for implementation.

Pause and reflect

How can leaders support the innovation process?

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Evaluation and Criticism Critical management scholars offer a sustained critique of the core concepts and strategic decision-making process examined in this chapter (e.g. Fleming, 2017; Parker, 2018; Salaman, 2016). Critical accounts emphasize that neoliberalism is more than just an economic system. It has a political and ideological agenda. Such criticism brings to the fore the discourse on corporate ideology, which here we define as the major beliefs and values expressed by upper-echelon leaders that provide leaders and followers with a frame of reference for decision making and action (Goll and Zeitz, 1991). Importantly, corporate ideology provides important insights into how the employment relationship is managed (Edwards, 2006; Wajcman, 1998). For example, the doctrine of ‘shareholder value’ holds that corporate leaders should be rewarded for the extent to which they increase the benefits to shareholders through the distribution of profits or the increase in share price. Piketty (2014: 334) argues that ‘meritocratic extremism’, the norm in the USA and the UK, ‘to designate certain individuals as “winners” and to reward them all the more generously’ is heavily implicated in and supportive of global inequality.

A notable feature of much of the strategy literature is the tendency for the research and narrative to be power blind. The prefix ‘strategy’ embeds hierarchy and power within the organization. Although academics emphasize the importance of ‘engagement’ and ‘consultation’ with ‘stakeholders’ as part of the decision- making process, strategy development is never the outcome of democratic processes, and thus is predicated on the inequalities of power (Parker, 2018).

A third criticism of the mainstream literature is its tendency to fetishize the role of charismatic leaders in enabling innovation, while the mediating effect of employees with creativity or the state is ignored or downplayed. Workplace learning scholars remind us that successful innovation is not about individual charismatics having ‘light bulb’ moments of genius, rather the process of

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innovation resides in the complex dynamics of learning and knowledge, cooperation and trust (Bratton and Garrett-Petts, 2008). The global success of Apple illustrates the active role of the state in promoting innovation. Mazzucato (2013) persuasively argues that Apple would not have been a global success without the investment and intervention of the US government. In particular, she points to the equity investment by a US federal agency and Apple’s access to technology, resulting from government research programmes in publicly funded institutions, such as universities.

Image 2.1 Leadership literature tends to fetishize the role of charismatic leaders in enabling innovation; however, the global success of Apple illustrates the active role of the state in promoting innovation.

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Conclusion We have attempted to cover a wide range of complex issues in this chapter. In essence, we have emphasized that the macro (external) and micro (internal) environments have an effect on corporate strategy – the way employees are managed and are led. The connection between the external and internal environments and the search for competitive advantage and efficiencies through innovation are multifaceted. We have explained that strategic management plans provide a ‘road map’ for managers to follow in order to fulfil their core responsibilities. Levels of leadership are associated with different levels of strategic decision making.

The chapter has conceptualized innovation as a cornerstone of improved performance and competitiveness. A range of external drivers can create innovation opportunities, challenges and constraints for an organization. The external drivers and internal enablers are likely to be different in detail for each organization, but research indicates some common patterns that we can apply to understand individual cases. Within organizations, leaders and managers at all levels can influence the different processes that lead to innovation.

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Chapter Review Questions

1. How can STEEPLE analysis and SWOT analysis be used to study the effects of the macro environment on the tourism industry?

2. What do you understand by the term ‘neoliberalism’? What relevance does it have to management strategy?

3. What key innovation processes do leaders need to support? How can they do this?

Assignment Task: Apple

In 2007, Apple’s net income was US$3.5 billion. In 2015, it was US$53.4 billion, and in 2018 it became the first trillion-dollar corporation. Data available on the Internet shows Apple’s performance before and after the launch of the iPhone in 2007. Apple claims to give great importance to R&D. But there is an apparent paradox here because Apple does not spend as much as some of its main competitors on R&D. In 2013, investment in R&D for Samsung was 6.4 per cent, for VW 5.2 per cent and for Google 13.2 per cent. In contrast to Apple’s phenomenal success, the Canadian technology company Research in Motion (RIM), best known for manufacturing BlackBerry smartphones, became a casualty of the new super cycle of innovation. The arrival of Apple’s iPhone caused a dramatic slowdown in RIM growth and a decline in sales, most notably in the USA.

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Questions 1. Research online sources to write a report which includes: (a)

figures that chart Apple’s and RIM’s performance in terms of growth rates in sales and net income between 2005 and 2018; and (b) compare Apple’s spending on R&D with RIM. In the light of these comparisons, provide some explanation for Apple’s success and RIM’s relative demise.

2. Discuss the importance of the mediating effects of the role of the state on the rise of Apple and the fall of RIM.

Go Online

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Paul Stanley, CEO of Global Navigation Solutions, discusses how, as the shipping industry goes through a large-scale digital transition, he manages innovation and group dynamics within his team.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Boxall, P. and Purcell, J. (2016) Strategy and Human Resource Management (4th edn). London: Palgrave, pp. 31–53.

Christensen, C.M. (2016) The Innovator’s Dilemma: When new technologies cause great firms to fail. Brighton, MA: Harvard Business Review Press.

Farnham, D. (2015) Human Resource Management in Context: Strategy, insights and solutions (4th edn). London: CIPD, pp. 16– 29.

Mazzucato, M. (2015) The Entrepreneurial State. New York: Public Affairs.

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Case Study: Steve Jobs – the quintessential entrepreneurial corporate leader?

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Background In 2005, Steve Jobs was worrying about the path that innovation in his industry was taking. He thought that the company’s leading product, the iPod, was in danger of being overtaken by developments in digital phones.

At that time, he was the CEO of Apple. He had led the team that produced the Macintosh computer launched in 1984, but left the company in 1985. In 1997, Jobs returned and rescued Apple from impending bankruptcy by developing the iMac and by imposing strict efficiencies in production, purchasing and stock control. Subsequent major innovations followed. Jobs did not achieve Apple’s innovations single-handedly, but even as CEO he took a ‘hands-on’ approach in product development. He worked closely with Jony Ive, whom Jobs described as a ‘spiritual partner’, to integrate design and manufacturing for each new product.

Ive later said, ‘The ideas that come from me and my team would have been completely irrelevant, nowhere, if Steve hadn’t been there to push us, work with us, and drive through all the resistance to turn our ideas into products.’

In 2005, Jobs was concerned that digital mobile phones could make the iPod redundant. There was also an opportunity: the mobile phone market was large and rapidly growing. At first Jobs tried partnering with Motorola, but that was unsuccessful. So Apple’s design team set their minds to the features of a phone they would personally want to use. Jobs had trusted his instincts. Asked in 1982 if he wanted to carry out market research on a product, he said ‘No, because customers don’t know what they want until we’ve shown them’.

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The problem As well as wrestling with design problems, there was a strategic issue to address. A new phone would have much of the functionality of the iPod and therefore destroy iPod’s market. Jobs showed little hesitation in moving forward, however. But he said ‘If you don’t cannibalize yourself, someone else will’. The work to develop the iPod into a smart phone was not successful, but they used touch-screen technology they were developing for what would become the iPad for the iPhone.

Jobs has been described as a perfectionist, and he would pick up on small details of prototypes and developing products that he felt did not meet his standards. He could be brutally critical and abusive, and throw temper tantrums. Jony Ive, head of design, described how he kept the design of the touch screen used in the iPhone from Jobs in the early development stages because he feared Jobs would destroy it with criticism. However, once they had decided to use a touch screen for the iPhone, Jobs spent part of each day for six months contributing to the detail of its design.

As they neared completion, Jobs called for a pause. He called the design team together. He was not happy. He said ‘Guys, you’ve killed yourself over this design for the last nine months, but we’re going to change it.’ The team accepted his assessment and the redesigned iPhone was launched in 2007.

(Based on Isaacson, 2011)

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Case exercise It is widely recognized that the innovation process as it unfolds over time is complex, reiterative, and often involves two steps forward for one step backwards. With this in mind, look at Figures 2.2 and 2.3 and, working in a group or alone, prepare a report that:

1. Identifies Jobs’ leadership role in Apple’s success before and after 2007. In particular, comment on his personal qualities that furthered the innovation process.

2. Asks: To what extent, if at all, did team-level leadership at Apple influence the innovation process?

3. Discusses the importance of the mediating effects of the role of the US state on the rise of Apple to the first trillion-dollar corporation.

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Sources of additional information Christensen, C.M. (2016) The Innovator’s Dilemma: When new technologies cause great firms to fail. Brighton, MA: Harvard Business Review Press

Isaacson, W. (2011) Steve Jobs. London: Abacus.

Isaacson, W. (2012) ‘The real leadership lessons of Steve Jobs’, Harvard Business Review, April: 93–102.

Mazzucato, M. (2015) The Entrepreneurial State. New York: Public Affairs.

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3 Power and Leadership

Joanne Murphy John Bratton

‘It can be a tough world out there and building and using power are useful organizational survival skills.’

Jeffrey Pfeffer, 2010: 5

‘Power is everywhere’ and ‘comes from everywhere’.

Michel Foucault, 1998: 63

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Chapter Outline Introduction Conceptualizing power Different perspectives on power Power and management Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

recognize and explain the types of power within leadership processes; understand and explain the different perspectives on power; describe the evolution of studies of power and leadership as a field of learning; identity contemporary challenges around power and leadership.

video

To learn more about dispersed leadership, don’t forget to watch the video conversation for this chapter online.

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Introduction The concept of power is one of the most significant and controversial issues in leadership studies. Bakan (2004) argues that corporate power trumps parliamentary democracy and society’s interests. As an example, sometimes, it is argued, corporate leaders exercise their power to employ professional lobbyists to reshape laws and politics in their own interests or to thwart regulations, such as lobbying against compulsory labelling of fat, salt and sugar on food, and opposing banking regulations and controls (Jones, 2014; Monbiot, 2014). Evidence of executive corporate power shaping economic and political outcomes demonstrates, if nothing else, that the exercise of power is not an abstract concept, but can have real repercussions for individuals, society and the environment.

But what is power? Power is generally defined as the capacity or the potential to influence others in relation to their beliefs, attitudes or activities. This is often associated with the well-known concept of social power (French and Raven, 1959) and the dyadic relationship between the person being influenced and the person influencing, and recent perspectives on how power is exercised (Sloof and von Siemens, 2019).

Image 3.1 Mainstream leadership scholars take the asymmetrical power relationship within the leadership process as natural and unproblematic

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Critical leadership scholars contend that mainstream leadership scholars take the asymmetrical power relationship within the leadership process as natural and unproblematic (Collinson, 2011; Hardy and Clegg, 1996). The literature on team theories of leadership espouses the sharing of power between leaders and followers. Critical scholars, however, argue that work teams ‘blur’ power relations and generally continue to adopt an apolitical perspective to power.

This chapter will outline the concept of power through its many dimensions, and how our understanding of it has developed over time within leadership studies. It will also explore different perspectives on power and the use of power as a lever in other organizational processes. The ‘Case Studies’, ‘Leadership in Action’ examples and ‘Exercises’ will focus on the practice of power within real-world contexts and the positive and negative ways power can be used to achieve personal and organizational objectives.

Pause and reflect

Before proceeding with your reading of the chapter, take a moment to think about your own thoughts on the meaning of ‘power’. As you read this chapter, be sure to keep in mind that a good definition of

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power should offer you the capacity to see the areas through which it might be questioned, challenged or altered.

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Conceptualizing Power The nature and distribution of power have been central issues for social and organizational theorists. The classical social theorists Karl Marx (1818–1883) and Max Weber (1864–1920) provided the foundations for contemporary studies on power in organizations. Marx’s declaration that ‘men [sic] make their own history, but they do not make it just as they please’ (1852/1972: 595) inevitably raises questions of conflict and power. For in Marx’s view, the making of history is made not just in relation to the physical world but also through the struggles that some social groups engage against others in circumstances of domination. Marx (1867/1970) argued that ‘class interests’ – capitalist versus workers – follow from the social relations concerning the ownership and control of the means of production, and there-fore conflict and power are structured into organization design. Few scholars accept this deterministic view of power (Hardy and Clegg, 1999). An oft- quoted objection to Marx’s observations on conflict and power is that they greatly exaggerate the significance of class struggle and class relations in history (Giddens, 1984: 256).

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Max Weber’s theory of power Weber offered a more nuanced approach to power. Although acknowledging that power was derived from the ownership of the means of production, Weber argued that power was derived from the knowledge and expertise necessary to operate the means of production as much from ownership. Weber’s analysis of power, therefore, examined social relations in production as well as relations of production (Hardy and Clegg, 1999: 369). Weber defined power as ‘the probability that one actor within a social relationship will be in a position to carry out his own will despite resistance, regardless of the basis on which this probability rests’ (1921/1968: 53). For Weber, power is about imposing your will in a given situation, even against opposition and without regard to all conceivable qualities of a person and all combinations of circumstances. At the centre of Weber’s organizational writings is his theory of legitimate domination through legally enacted policies and regulations, found in modern bureaucracies. Two central elements were crucial to the system of domination. First, the legitimacy of the organizational leader’s power, and the perception by followers that the leader’s authority was legitimate for those who were subject to it. The second element was the creation of an ‘administrative apparatus’ in which followers carry out the commands of the leader. In essence, Weber’s conception of legitimacy referred to the extent to which managers and workers or followers actively acknowledge the ‘validity of the ruler’ in a recognized order (Morrison, 2006: 363), and in management parlance the right of the leader to issue commands to cause others to act.

Weber’s treatment of ‘types of authority’ rather than ‘power’ in bureaucracies is frequently cited as the source of neglect of power in studies of organizational behaviour. The treatment of ‘power’ as ‘authority’ can be traced to the early American mistranslation of the term ‘Herrschaft’ to mean institutionalized ‘authority’ (Clegg and Dunkerley, 1980: 434). This definition became the basis for orthodox studies of power, in which power relates to authority, as a phenomenon informally rather than formally developed in the organization. The ‘formal–informal’ distinction thus becomes the

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focus where ‘authority is the potentiality to influence based on a position, whereas power is the actual ability to influence based on a number of factors including organizational position’ in the hierarchy (1980: 435).

Orthodox studies of ‘power’ in work organizations have located the bases of power in some relationship, such that they enable ‘power’ to be ‘exercised’ or in specific socially authorized ‘resources’ that a worker may control. An example of this perspective is Robert Dahl’s (1957) model, which conceptualizes social power by the phrase ‘power over’ versus ‘power to’ and which produced his much-quoted phrase ‘A has power over B to the extent that he can get B to do something that B would not otherwise do’ (1957: 202–3). Power ‘over’, whether individually or collectively, refers to the control of one agent over others, and power ‘to’ is the capacity to realize ends. Critical scholars have tended to focus on ‘power over’, concentrating on its oppressiveness and injustice. However, Hearn (2012: 7) argues that ‘power over’ and ‘power to’ are ‘inextricably bound together … it is the increase in power over, in ever more extensive and complex forms of hierarchic social organization, which has yielded massive increases in our power to’ (2012: 7).

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French and Raven’s theory of power Related to Hearn’s conceptualization of power is a definition by French and Raven (1960) in which an a priori list of ‘power resources’ is formed. This conceptualization of power likewise focuses on the potential ability of one individual to influence another within a certain social situation. This theory assumes that the particular ‘resource’ possessed by the individual that will have a utility in one situation, will have that usefulness in all situations. It also assumes perfect knowledge on the part of all concerned being able to judge correctly the utility of all resources in all situations (Clegg and Dunkerley, 1980). In fact, French and Raven developed five bases of power – referent, expert, legitimate, reward and coercive – the most important of which, first suggested by Warren (1978), are those related to reward and coercion. An employer promising you a pay increase or promotion to act as he or she instructs or, in contrast, threatens demotion or redundancy, is using reward power and coercive power respectively. Giddens (1984) notes that all individuals may ‘have power’, but in an organizational context, power is influenced and constrained by the distribution of different types of resource. In this framework there are ‘allocative resources’, which refer to control over physical things such as monetary reward, and there are also ‘authoritative resources’, which involve control over management practices. For example, an entrepreneur has the allocative resources of her capital, as well as authoritative resources granted by the legal system to establish her company and HR system in a way she feels is appropriate.

Critical Insight: Crisis in British cycling

This exercise will look at the current difficulties in British cycling and the role of power (in particular expert, legitimate, reward and coercive) within the complex coaching and competitive environments in elite sport.

Focusing on the 2017 internal review, allegations of bullying and autocratic behaviour, this article in Cycling News explores how power

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operates in high-octane environments: www.cyclingnews.com/features/british-cycling-sexism-and- discrimination-crisis-timeline (accessed 23 September 2019).

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Activity Thinking about your own experience as a student or an employee, have you come across autocratic behaviour? How is power exercised in different and complex environments?

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Stephen Lukes’s theory of power Although Weber’s and French and Raven’s theories remain a useful starting point for studying power, French and Raven’s taxonomy of power treats power as an attribute and the property of an individual leader (Jackson and Parry, 2011). Stephen Lukes (1974) offers an alternative approach that treats power as a relational construct, and not solely the property of an individual. For Lukes, power is a ‘three-dimensional’ phenomenon. The one- dimensional view of power focuses on the individual’s ability to enact commands in observable conflicts. For example, if an employer changes his mind for transferring operations abroad in response to a strike by workers, it would be evidence that the workers had power. One-dimensional power dynamics focus on the behaviour of leaders and followers in the making and enactment of decisions where there is a conflict of interest. The outcome of a decision is observable and shows which side is ‘powerful’. Equally important to Lukes’s explanation are the conditions of a conflict of interest. Where, for example, conflict is just a matter of fine-tuning existing organizational structures and routines simply rooted in the contingencies of everyday organizational life, Lukes uses, not unlike Weber, the word ‘influence’. However, where conflict is so deeply rooted that to challenge it is to simultaneously challenge the very nature of the leader or the organization itself, Lukes uses the word ‘power’. Both planned decision making and latent or unintended uses of power play a role in Lukes’s explanation of power.

A two-dimensional view of power extends the analyses by examining the ability of social actors to control the agenda, which is a source of power overlooked in the pluralist model, one- dimensional perspective. Lukes extends the analysis and argues that there is also a three-dimensional perspective, which provides a ‘radical view’ of power. He argues that people sometimes act without coercion in ways that appear contrary to their self- interests. Lukes calls this the ‘manipulation of desires’ and asks ‘Is it not the supreme exercise of power to get another or others to have the desires you want them to have – that is to secure their compliance by controlling their thoughts and desires?’ (1974: 27).

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Thus, the three-dimensional view is the social processes in which those with power induce the powerless to behave or believe as the former wish, without coercion. This is achieved by a complex infrastructure of persuasion or justification.

Most polemical accounts of how the powerful wield power through an infrastructure of persuasion begin with Karl Marx’s theory of ideology and his critique of consciousness and the work of neo- Marxists, such as Herbert Marcuse’s claim that through the agencies of socialization (e.g. education and the corporate press), the powerful exercise power over the powerless by promoting narratives and ideas that generate compliant workers and passive consumers. The effectiveness of these agencies is captured by George Monbiot’s incisive observation: ‘the ideology (neoliberalism) that now governs our lives. Not only is it seldom challenged; it is seldom even identified’ (2017: 3). It can be argued that Lukes’s three-dimensional perspective is not a theory of the exercise of power, but recognition of the effectiveness of structures of persuasion on individuals (Giddens and Sutton, 2017: 911).

Pause and reflect

Take a pause to think back to your own university or work experiences (or those of friends or family members). How can you distinguish between Weber’s concept of ‘authority’ and the broader structures of power as discussed by Lukes? More broadly, how has the social infrastructure of power systems supported the ‘authority’ of elites?

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Different Perspectives on Power So far, we have looked at what can be called ‘traditional theories’ of power. These theories help us think outside common-sense views. The writings of the French philosopher Michel Foucault (1926–1984) and the Italian Marxist Antonio Gramsci (1891–1937) offer important insights to consider.

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Foucault’s theory of power Foucault’s Discipline and Punish (1977b) and Power/Knowledge (1980), although oriented by an interest in the ‘micro-politics’ of power and preoccupied with individual identity, is a highly influential theory of power. Traditional theories of power, such as those of Weber and Lukes, relied on fixed identities where power is possessed; accumulated by powerful social elites that is visible, such as the state, global oligarchs or corporate leaders (see Table 3.1). Foucault’s understanding of power is based on a different set of assumptions. He states, ‘I hardly ever use the word “power” … [but] … relationships of power’ (Foucault, 1991: 11 and cited by Townley, 1994: 7).

For Foucault, power operates within all social institutions, at all levels of social interaction and through all individuals. Power does not intrude from powerful individuals; it exudes from within. Followers are not the victims of others’ power; rather, they are both the perpetrators and the victims of the very power that constrains their behaviour. For example, an employee feels obligated to stay late at the office because her team leader is still there; even though she does not know whether late working will result in anything either positive or negative. Thus, although the team leader apparently possesses the power, it is, in reality, self- coerced (Bratton et al., 2005: 135). Foucault argues that ‘one must analyse institutions from the standpoint of power relations – not vice versa’ (1983: 222). For Foucault, power is associated with the web of policies, practices and procedures found within organizations. Conceptualizing power as a relational activity, rather than as a possession, widens the focus of attention from the ‘who’ and the ‘why’ to the ‘how’ of power, HR policies and practices (i.e. by which it operates). Thus, in Foucault’s model of power, ‘the individual is continuously constituted and constructed through social relationships, discourses and practices’ (Townley, 1994: 11).

Foucault’s conceptualization of power, unlike Lukas’s, makes it even clearer that there is a double edge to power. It prevents some behaviours while at the same time positively encouraging

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others, both at the broadest political and historical levels and at the deepest level of individual identity. Foucault observes:

[I]t seems to me now that the notion of repression is quite inadequate for capturing what is precisely the productive aspect of power. In defining the effects of power as repression, one adopts a purely juridical conception of such power; one identifies power with a law, which says no, power is taken above all as carrying the force of a prohibition. Now I believe that this is a wholly negative, narrow, skeletal conception of power, one that has been curiously widespread. If power were never anything but repressive, if it never did anything but to say no, do you really think one would be brought to obey it? What makes power hold good, what makes it accepted, is simply the fact that it doesn’t only weigh on us as a force that says ‘no’, but that it traverses and produces things, it induces pleasure, forms knowledge, produces discourse. It needs to be considered as a productive network which runs through the whole social body, much more than a negative instance whose function is repression. (1980: 119)

For Foucault, power constitutes what we know as a society, including, of course, how we think about work organizations. His approach emphasizes that power and knowledge are closely interconnected, serving to reinforce each other. The claims to knowledge of an accountant or engineer, for example, are also rights to power, as they are put into practice in an organizational context where that knowledge is operationalized (Giddens and Sutton, 2017). Foucault claimed therefore that power is all- pervasive: what people see as their interests as well as the strategies they devise for achieving these interests are determined by existing power structures or discursive practices and to a considerable extent serve to reinforce them (Ailon, 2006: 783). In Foucault’s analysis, power is discussed in terms of the development of discourses (ways of thinking and discussing issues such as markets, poverty or climate change) which sets

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limits to how these are ‘known’ and the many ways through which it is exercised – ‘regimes of power’, ‘networks of power’, ‘technologies of power’ (Crane et al., 2008). Theorists writing about organizations and power have also come to use Foucault’s theories to identify how organizations can resist the negative or ‘dark’ side of organizational life that ‘stifles the individual, frustrates the attainment of certain desired social ends and threatens to distort many core values of democratic societies’ (Abel, 2005: 496). By using Foucault’s conceptualization of power as something not held by individuals but engendered by the adjustments of dominance and resistance that occur in society more generally, Abel (2005) draws attention to the possibility that power can be used to optimise and grow organization environments and to ensure that they better contribute to wider society. Heizmann and Olsson (2015: 760) also make this point: ‘power is not only negative’. They conclude that Foucualt’s power/knowledge lens offers a way to see power as productive or the ‘claims and rationalities’ (2015: 760) that shape both society and organizations.

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Gramsci’s theory of power Gramsci’s perspective on power provides an important starting point for political scientists, but it also overlaps with Foucault’s approach to power. A key term is ‘hegemony’, which acknowledges the complexity and mixture of consensus and conflict, and hence power relations in a broad sense. It derives from the Greek, where it originally referred to a leader or ruler (egemon), but has come to describe a very nuanced form of socio-political predominance. Raymond Williams (1983), one of the earliest English-speaking writers on Gramsci’s work, explains the importance of the concept of hegemony, in most general terms, as follows:

The idea of hegemony … is especially important in societies in which electoral politics and public opinion are significant factors, and in which social practice is seen to depend on consent to certain dominant ideas which in fact express the needs of a dominant class (1983: 145).

Williams (1960) observes that Gramsci asserted that hegemony is the ‘normal form of control’, and that state coercion and violence only become the norm at times of political crisis (Williams, 1960: 591; cited by Clegg and Dunkerley, 1980: 492). Specifically, hegemony expresses two types of power relations. The first describes a group’s domination over other groups, and the second describes a group’s leadership. Hegemony therefore represents a whole body of practices as well as expectations, assignment of energies and ordinary understandings of the world in terms of meanings and values. In essence, it expresses the relationships of leadership and domination that produce a general sense of coordinated reality for most people.

An important contribution to our general understanding of power, and in turn of power as it relates to organizational leadership, comes from the notion of emergent forms of practice that lie in some form of opposition to a dominant or hegemonic bloc in the

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sense that Gramsci and Williams described. First, the notion provides a basic framework for understanding the character of alternative (resistant) practices in opposition to a complex of dominant presumptions. An entire sub-school of organizational studies literature has specifically addressed the issue of resistance (Roscigno and Hodson, 2004). Building from this notion, we can see that human behaviour emerging from non- dominant (i.e. followers) standpoints need not strictly reproduce a particular hegemonic order. Followers’ action can at times run tangentially to it, and possibly even in direct opposition to it. In both cases, it represents an active, social process in which alternatives resist against incorporation.

Table 3.1 Traditional and non-traditional conceptualizations of power

Table 3.1 Traditional and non-traditional conceptualizations of power

Weber’s and Lukes’s concepts of power

Foucault’s and Gramsci’s concepts of power

Power is possessed by the individual

Power is relational and pervasive

Power resides in social elites

Power is found in everyday social practice

Powerful dominates powerless, resistance is futile

People build their own web of power, resistance challenges elites

Power is negative and repressive

Power is creative and contributes to social order

Power is visible, exercised when needed

Power is imperceptible through everyday routines

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Weber’s and Lukes’s concepts of power

Foucault’s and Gramsci’s concepts of power

Knowledge of power sources is empowering

Knowledge buttresses the web of power

Source: adapted from Buchanan and Badham, 2008

In less abstract terms, we are talking about people’s behaviour or ‘misbehaviour’ (Capeller, 2001; Smith, 2015) that is rooted in activities which do not align with the basic goals of the organization. Power in organizations is often revealed in different forms of resistance. Richard Sennett’s (2012) ‘social triangle’ concept – authority, mutual respect and cooperation – remind us that human capability is different from other ‘resources’ because followers’ cooperation and commitment always have to be won and sustained by leaders and managers. Human acts are quintessentially indeterminate. This approach to power holds that ‘power is a consequence as much as a cause of followership: if – and only if – followers follow leaders become powerful’ (Grint, 2005: 46). Followers always have a choice not to act and, importantly, they have the capacity to resist a leader’s decisions and actions and engage in non-cooperation, absenteeism or strikes. In summary, no leader can guarantee that followers will follow and any discussion of power and leadership has to acknowledge that leader–follower relations are inevitably characterized by structured power, cooperation and conflict.

Pause and reflect

Thinking about structural sources of power, why are accountants typically more influential and powerful than human resource managers? Do you think some university departments are more powerful than others? If so, why?

Leadership in Action: The case of Oxfam and Aid worker abuse

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In February of 2018 Penny Lawrence, the Deputy Chief Executive of the international aid charity Oxfam, resigned following allegations that its staff hired prostitutes while working in Chad and Haiti. Oxfam employs nearly 10,000 employees working in more than 90 countries. Ms Lawrence had joined Oxfam in 2006 and acknowledged that she had failed to act upon allegations that aid workers had abused vulnerable people. Among the staff accused of misconduct was the then director of Oxfam’s operations in Haiti, Roland Van Hauwermeiren. He was alleged to have used prostitutes in a villa rented for him by the charity. While the charity was aware of the allegations and launched an internal enquiry at the time, concerns were raised that it failed to give the Charity Commission full details of the enquiry and that it failed to pass on details to future employers of staff who were dismissed as a result of the enquiry. These omissions resulted in the resignation of Ms Lawrence who said she was ‘ashamed’ and took full responsibility.

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Question 1. What does the example above add to an understanding of

power and its abuse within leadership positions? 2. What types of power can you identify? 3. Where was power used and where was it not used within the

example?

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Sources Aziz, S. (2019) ‘As a former aid worker, I’m not shocked by the Oxfam revelations’, Guardian, 12 February. Available at www.theguardian.com/commentisfree/2018/feb/12/aid-worker-oxfam- scandal-haiti-abuse-bullying-culture (accessed 17 September 2019).

BBC News (2018) ‘Oxfam Haiti allegations: how the scandal unfolded’. Available at www.bbc.co.uk/news/amp/uk-43112200 (accessed 17 September 2019).

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To explore this topic further see: Hodson, R., Roscigno, V.J. and Lopez, S.H. (2006) ‘Chaos and the abuse of power: workplace bullying in organizational and interactional context’, Work and Occupations, 33 (4): 382–416.

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Power and Management Now we turn to the role of power in the context of leadership and management within organizational structures and practices. Power leader–follower relationships have gained importance as workplaces have become increasingly complex, interdependent and volatile (Asch and Salaman, 2002). Within this context, obedience is central to an analysis of the construction of power in leader–follower relations (Clegg, 1998), an insight shared by ancient scholars such as Epictetus and classical social theorists such as Max Weber (1921/1968). The Greek philosopher Epictetus declared that ‘no one is afraid of Caesar himself, but is afraid of death, loss of property, prison, disenfranchisement … When we love and hate and fear these things, it needs must be that those who control them are masters over us’ (quoted by Bass, 1990b: 238). In organization situations, French and Raven’s coercive power commonly implies the ability of a leader to inflict on subordinates feared penalties, such as demotion or termination of employment, for disobedient behaviour or control over subordinates. Crucially, it is the subordinate’s dependency – job, income or resources – on the leader that produces the power imbalance necessary for coercion to be effective. Although coercion most commonly involves punishment or its threat, uses of power imbalance to coerce may involve bullying behaviours that undermine a subordinate’s dignity and self-esteem (Bolton, 2005).

Power relationships are highly relevant to studying bullying behaviours in organizations (Branch et al., 2013; Keashly and Jagatic, 2011; Monks and Coyne, 2011). Organizational research tends to use the terminology ‘bullying’, ‘harassment’, ‘victimization’ interchangeably, but each describes behaviour that constitutes a ‘systematic abuse of power‘ (Monks and Coyne, 2011: 6). Again, vulnerability to this kind of behaviour is related to dependency. As Bassman (1992: 2) observes, ‘one common thread in all abusive relationships is the element of dependency. The abuser controls some important resources in the [target’s] life; the [target] is dependent on the abuser.’ The victim of workplace bullying may

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not label it as such, often calling it ‘intimidation’ or ‘abuse’ or ‘harassment’. Indeed, the absence of recognition of a leader’s behaviour as bullying may be the consequence of an organizational culture that has ‘normalized’ bullying behaviours (Hadikin and O’Driscoll, 2000).

In some organizations, bullying may be dismissed or denied as simply ‘banter’ or difficult to identify as it appears to be a behavioural norm. In Damaged Goods (2018a), author Oliver Shah alleges that retail executive leader Sir Philip Green’s public humiliations were a regular way of interacting with followers. Shah alleges that Philip Green said to the women’s wear buyer who had paid too much for a range of apparel: ‘You’re absolutely fucking useless. I should throw you out of the window, but you’re so fat you’d probably bounce back again’ (quoted by Hutton, 2018a: 54). Publically compelled to deny unlawful sexual and racist behaviour, Philip Green claimed he has only ever engaged in ‘banter’ which had ‘never been offensive’ (Rumsby, 2018: 1). The research evidence suggests that leader-coercive behaviour and bullying behaviours occur in workplaces because of the inability of the victim to defend her- or himself due to a power imbalance (Branch et al., 2013). It is the analysis of dependency, the processes of social interaction, the minutiae of everyday work experience and the often misogynistic norms that inform its conduct which provide a more cognizant understanding of leader-coercive and bullying behaviours in organizations.

The episodes of leader-coercive and bullying behaviours in workplaces clearly represent the ‘dark corners’ of organizational life that ‘stifle the individual’ (Abel, 2005; Bolton, 2005: 147). Those leader–follower interactions that include such behaviours clearly seek to humiliate and degrade the follower. They act as a sharp reminder that not all leader–follower social interactions rest upon charismatic appeal or the ritual of deference or adulation. They also remind us that leaders perpetrate coercive-bully acts and too often this is interpreted as representing a ‘few bad apples’, as though socio-cultural influences are of no importance. But they are embedded within organizational cultures and processes, which in turn form part of wider societal processes (Bolton, 2005). Bullying behaviour – verbal abuse, harassment,

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bullying, sexual innuendo, physical violence – come in many guises and can be found in most workplaces, even in future-facing organizations such as Google (Weaver et al., 2018). Importantly, what Bolton highlights is that the indeterminacy of the employment contract is further exacerbated within the cauldron of coercion and abuse.

The effect of leader-coercive behaviour and bullying on recipients is well documented and can range from psychological stress- related symptoms to physical harm (Hogh et al., 2010). Research has found that bullying and abusive behaviour have negative effects on co-workers, which affect employees’ loyalty, commitment and performance (Rayner, 1997). Salin and Hoel (2011) report that acts of bullying can affect organizational performance through an increase in absenteeism, high turnover and the cost of recruitment and training interventions, as well as loss of productivity. In some instances, it can lead to catastrophic consequences for an organization. For instance, leader-coercion was a factor in the case of two former Tesco executives facing prosecution for alleged accounting malpractice. Chris Bush, managing director of Tesco UK, and John Scouler, commercial director, referred to in court as the ‘generals’, allegedly ‘pressurised or coerced’ junior ‘foot soldiers’ to falsify records in 2014 by including income in the financial records before it had been earned. These acts took place within an organizational culture that had an ‘obsession right from the top’ that ‘budgets must be hit and targets must be hit’ (Croft, 2018: 18). After the alleged fraud was discovered, Tesco was forced to issue a corrected profit statement, which caused its share price to fall 12 per cent, wiping £2 bn (€2.24 bn) off its value (2018). These reported violations underscore the multifaceted nature of power in leader–follower relationships; the negative effects on recipients; and the impact on co-workers and the organization as a whole. It is also a further reminder that such leader behaviours are rooted within organizational cultures (see Chapter 4).

Pause and reflect

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Thinking about your own experience as a student or an employee, what behaviours have you witnessed or experienced that could be considered coercive, abusive or bullying? Why is dependency related to leader-coercive or leader-bullying behaviour?

The academic debate around power in leadership is generally divided into two perspectives (Gordon, 2002, 2011). The first is dominated by the way traditional leadership approaches (trait, style, contingency and new leadership) see power as a phenomenon within hierarchical structures and control systems of organization. The research framework for these mainstream accounts deems a critical analysis of the leader–follower relationship and power unnecessary and, in so doing, ‘normalizes’ power. The second focuses on the role of dispersed leadership theories and their emphasis on the promotion of empowerment through the transfer of leadership responsibilities to lower levels with post-bureaucratic organizations (Bryman, 1999). In a general sense, these non-traditional theories advocate a sharing of power between leaders and followers (Gordon, 2011).

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Orthodox theories So-called orthodox theories adhere to an understanding of the conventional structures and control models of organizations and identify the leader–follower relationship as being of central importance to leadership practice within that structure. Gordon (2002) identifies that this presents leaders with a dualistic position of privilege within organizations: they are considered to be superior to other followers, either through natural ability or particular attributes. In addition, orthodox management theorists see the historical nature of this power differential between leaders and followers as being relatively ‘natural’ and ‘unproblematic’. As a consequence, these theories tend to be ‘limited to reflections of surface-level issues and occurrences. It is therefore limited to descriptions of what occurs or what “ought” to occur and lacks rich insight into the problematic interplay between leadership and power’ (emphasis added, Gordon, 2011: 200). Earlier, Gordon (2002) identifies this as a theme in the mainstream literature where leaders are allowed to dominate the conversation and narrative within organizations and that followers are overlooked and ignored (Clegg and Hardy, 1999). This leads to a conceptualization of power as being legitimate for leadership figures but illegitimate for organizational followers or for trade unions challenging managerial prerogative.

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Dispersed leadership theories Dispersed theories of leadership focus primarily on self-leadership and team-based leadership approaches. Self-leadership sees employees take responsibility for their own work processes and direction. Team leadership centres around autonomous work teams, which each have their own leader. Unlike traditional theories, these approaches to work design espouse a sharing of power between leaders and followers. This in turn also changes the emphasis of leadership and the exercise of power. The sharing of leadership responsibilities ensures that the emphasis is put on the process of leadership rather than the attributes or behaviours of the ‘leader’. However, this also assumes that power must be shared and that the process of sharing power will be unproblematic. It is clear from the work of Foucault (1970, 1980) and others that this is not the case. The ‘deep structures’ to which Gordon (2002) refers act as a constraint on whether or not organizational leaders give up power or cease to exercise it in such environments. From this perspective, power is not something that people have or don’t have; rather, it is embedded historically and socially in the structures around organizational actors, is closely related to the concept of dependency and therefore pervades activity and impacts on attempts to disperse leadership (Foucault, 1970, 1980).

Orthodox and dispersed theories do not represent the only way in which we see power operating within organizational environments. Fleming and Spicer (2014) remind us that there is a clear distinction in the literature between episodic theories of power (where power is directly exercised) and systematic forms of influence (where power is concealed within often enduring institutional structures). Fleming and Spicer also identify four sites of organizational power that are relevant to thinking around leadership. The first is power ‘in’ organizations, which relates directly to struggles around formal organizational boundaries and the exercise of managerial command structures. The second is power ‘through’ organizations, when the organization itself becomes a vehicle to further interests or goals. They cite how NGOs and civil society organizations that partner with firms to

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further objectives such as poverty relief or environmental protection. The third is power ‘over’ organizations that draws attention to how elites might compete to influence how an organization develops. They include attempts for regulation or lobby for change to an established business model. The fourth and last dimension is power ‘against’ the organization. This deals with attempts to use extra-organizational spaces to engage in political activity and create change within the sector (Spicer and Böhm, 2007). Interestingly, Fleming and Spicer also draw attention to the interaction between different types of authority within organizational leadership structures. They note that while there is much focus on the Weberian (and traditional) modes of authority figures, there is little recognition about the role of other types of authority within organizational leadership. In identifying traditional forms of authority such as family relations and religion as additional ‘regulatory’ forces, they ask us to reflect upon the way established forms of authority interlink and overlap and sometimes contrast within traditional or dispersed leadership.

In Weberian social theory, the bureaucratic organization is viewed as a ‘social tool’ and an expression of rational thought and action. Any follower in a large organization will encounter a complex flow of power down, up and across organization hierarchies (Clegg, 1998). In mainstream accounts of leadership, such encounters should be without the impediment of disobedience or resistance, either individual or collective. Hence, economic domination and subordination are axiomatic to the capitalist employment relationship. Power engraves itself within contextual ‘rules of the game’ that both enable and constrain social action in the workplace (Clegg, 1975). In postmodernist theory, the organization is viewed as a ‘defensive reaction to forces … which constantly threaten the stability of organizational life’ (Cooper and Burrell, 1998, cited by McKinlay and Starkey, 1998: 1).

Michel Foucault’s conception of power is a multifaceted and complex phenomenon. McKinlay and Starkey (1998) draw attention to the contribution of Foucault to our understanding of the modern organization, power and management. Foucault traces the genesis of bureaucratic forms of management rationality not, as in the case of Weber, as a series of abstract

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‘ideal-types’ but as spheres of power/knowledge centred on specific social institutions and discourses. Although Foucault and the classical social theorists Marx and Weber share a common focus on control and resistance in the workplace arena, for Foucault power is most potent and efficient when it operates through bureaucratic rules rather than coercion or force majeure (McKinlay and Starkey, 1998). Moreover, for Foucault, the defining activity of 20th-century organizational leadership and management is not coordination of resources but control of human capability. For Foucault, therefore, power is associated with practices and procedures.

In this light, Townley (1994) assesses Foucault’s contribution to organization theory by examining management tools designed to observe, know, monitor, shape and control employee behaviour. Townley reminds us that when power is conceptualized as a rational activity, questions focus not on the ‘who’ and ‘why’ of power but on the ‘how’ of power, the practices and procedures by which it operates. To understand the relevance of Foucault’s work for leadership and management, we have to return to the essence of the employment relationship. Central to this relationship, explains Townley, is the indeterminacy of the contract, the naturally occurring ‘space’ or gap between what is promised and the capacity to work and what is realized. In a classic study, Baldamus observes:

Though [the employment contract] stimulates wage payments for the employer, nothing definite is ever said about effort or efficiency; or anything about the components of effort, the acceptable intensity of impairment, the intolerable degree of tedium or weariness. Instead it merely mentions hours of work, type of job, occupational status and similar external conditions … Thus the formal contract between employer and employee is incomplete in a very fundamental sense. (1961, and cited in Townley, 1994: 13)

Drawing on Foucault’s work, Townley conceptualizes human resources management (HRM) as a set of practices designed to

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close the gap between the expectation of performance and what is realized. The core HR practices discussed in Chapter 9 (e.g. the employment and appraisal interview) illicit knowledge about employees that potentially help managers better influence the relational nature of exchange and the inevitable indeterminacy of the employee’s performance. To be manageable, individuals must be known. Townley states that ‘Knowledge of the individual is important at the point of entry into the organization, and it is here that a number of confessional technologies operate’ (1994: 113). Pre-screening processes prior to the employment interview, such as Facebook or Twitter accounts, provide insight and knowledge of the applicant. The next stage, the employment selection interview, uses a number of examining and confessional technologies. Various personality tests and disclosure about interests and hobbies are an important means of ‘knowing’ the candidate. Once employed, performance appraisal is a systematic process of developing criteria by which to assess followers’ performance, but it is also an example of confessional technology, argues Townley. It attempts to access the individual’s deeply held knowledge of themselves, her or his personal wishes and aspirations, with the ‘aim of creating an internalized self-discipline based evaluation’ (1994: 118).

The critical literature suggests that people-management technologies strive to make the individual an object of knowledge, to locate the individual in a power/knowledge contract for the purpose of making followers compliant and manageable. Indeed, HR practices illustrate the intersection of a range of influences on leader–follower relations. Finally, the use and abuse of power within and outside organizational structures is a powerful contemporary concern. Many of the issues that arise within a consideration of the use of power are timeless: bullying, bureaucracy, leadership perceptions and equality within organizations. It is indubitably true that technological advances in relation to data storage, social media and information accessibility accelerate and intensify both the negative and positive exercise of power and its impacts.

Pause and reflect

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Thinking about recent debates about social media, what contemporary challenges can you identify in relation to the exercise of power at (1) an individual level or (2) a group or organizational level? Do you think these challenges around power have changed over time?

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Conclusion In this chapter we have suggested that leadership is intertwined with power, but that power is inadequately theorized in most of the extant leadership literature. We began with traditional theories of power in which power appears to be ‘embodied’ in individuals, as something they possess and exert. In short, a leader possessing power causes others to act. Weber’s work on power remains a valuable starting point to study power in organizations, but an alternative perspective of power is offered by Stephan Lukes. For Lukes, Weber’s account is a somewhat restricted view of power, and he argues for a three-dimensional perspective.

Non-traditional theories of power show that there are many deep social roots or ‘sources’ of power systems, including the influences of ideology. Foucault’s work, perhaps the most extensive theory of power, notes that it is omnipresent because it constitutes the very way we talk and think about ourselves, and implies that followers are deeply enmeshed in their own subordination; they are both the victims and the perpetrators of the very power that controls their behaviour. Power has been defined as ‘good’ in that it can be a resource that is mobilized by leaders in pursuit of organizational goals, and ‘bad’ or dysfunctional in the hands of followers who challenge those goals: a functionalist approach. Power has been equated with domination and resistance to it as an empowering tool: a critical approach. Understanding power as a relational process widens the focus from the ‘who’ to the ‘how’ of power. Foucault’s work suggests that power is a coin with two sides: on the one, consent, accommodation and domination; on the other, lack of commitment, stress, resistance, political action and ‘voice’.

Power is also a significant concern within management processes and organizations. The chapter explored how orthodox theories of leadership put leader–follower relations at the centre of organizational debate. The work of Gordon (2002) dimensionalizes this as a dualistic position of privilege, either through natural ability or acquired attributes. The historical nature

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of this power differential is also seen as relatively unproblematic. In contrast, dispersed theories focus on self-leadership and team- based leadership approaches and espouse a sharing of power, and on the process of leadership rather than the leader. However, we also identify the outworking of organizational power in other ways and look to Fleming and Spicer’s work for a conceptualization of episodic and systematic exercise of power and for the identification of ‘sites’ of organizational power: ‘in’, ‘through’, ‘over’ and ‘against’. They also remind us that more traditional modes of power and authority, such as familiar relationships and religious hierocracies, still exist and can intrude on and interact with organizational processes. Finally, power is asymmetrical and requires understanding in its diversity in organizations and that ‘a theory of power does not, and cannot, exist other than as an act of power in itself’ (Hardy and Clegg, 1999: 382), otherwise such a theory is lacking reflexive critique.

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Chapter Review Questions

1. What is the difference between power and authority? 2. What is the substance of the different theories of power offered by

Weber, Lukes, Foucault and Gramsci? 3. What is meant by the phrases ‘power is relational’ and ‘power is not

possessed, it is exercised’?

Assignment Task: Homeboy Industries

This assignment requires you to explore the experience of a Los Angeles based social enterprise, Homeboy Industries. Homeboy focuses on the experience of gang members and those who have served time in prison for violent and gang- related offences. Founded by Jesuit Priest Fr Greg Boyle (Father G) in 1988 and operating under the slogan of ‘Nothing stops a bullet like a job’, Homeboy Industries seeks to move people out of gangs and into meaningful work.

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Question Search the Internet (https://homeboyindustries.org) and define how, with the skilful exercise of referent, legitimate and reward power, the leadership of Homeboy Industries has overcome the competing forces of coercion and violence.

Go Online

Explore the real world of leadership by reading these case studies:

Sydney Brian-Peters: A Case Study in Gender and Leadership Issues Transformational Leadership—Steve Jobs The BMW Group’s Journey to Leadership in Sustainable Development Practice

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Sara Hawkins, founder and director of Projekt 42, explains the unique dispersed management and leadership structure of the company and how her employees are encouraged to have autonomy over the shape of their job role.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Foucault, M. (1980) Power/Knowledge (edited by C. Gordon). New York: Pantheon.

Foucault, M. (1998) The History of Sexuality: The will to knowledge. London: Penguin.

Gaventa, J. (2003) Power after Lukes: A review of the literature. Brighton: Institute of Development Studies.

Gordon, R. (2011) ‘Leadership and power’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. Thousand Oaks, CA: SAGE, pp. 195– 202.

Hayward, C.R. (1998) ‘De-facing power’, Polity, 31 (1).

Hearn, J. (2012) Theorizing Power. London: Palgrave.

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Case Study: Policing in Northern Ireland – using power to steer change

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Background The use of power within organizations is particularly apparent during periods of change and transition. The end of the long-running conflict in Northern Ireland created organizational as well as political challenges. For the Northern Ireland police, the Royal Ulster Constabulary, the organizational change required was fundamental. As a formal, hierarchical structure operating on a ‘command and control’ model, the organization’s leadership was tasked with managing this change against significant opposition. A new name, a new badge and uniform, a new crest, a radical voluntary severance programme and the instigation of balanced recruitment from both sides of Northern Ireland’s historically divided community formed the core of the change programme. This meant that the organization would move away from its structure, its culture and its symbols. In reality, this meant a shift from the name inscribed on the gravestones of many of the 302 officers who died as the result of paramilitary violence, and the voluntary severance of many officers who had served through the conflict. The nature of this change, the significant resistance within the organization, and a volatile external context required it to be led carefully and with an understanding of the use of power in its many forms.

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The problem How can the leadership of the new Police Service of Northern Ireland use different types of power to steer change against formidable internal and external opposition?

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Case exercise Either individually or working in a study group, write a report to the new police commissioner for Northern Ireland covering the following questions:

1. What aspects of power can you identify in the organizational leadership during the progression of the change journey?

2. What power processes can you identify within the organizational membership and in the external environment?

3. What does this example of policing change tell us about using power to drive change?

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Source of additional information BBC News (2001) ‘”New era” as NI police change name’, 4 November. Available at http://news.bbc.co.uk/1/hi/northern_ireland/1636780.stm (accessed 23 September 2019).

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4 Culture and Leadership

David Denham John Bratton

‘The Treasury select committee’s report … found the alpha male culture was the main reason women gave for not wanting to work in senior management at City firms.’

Kollewe, 2018: 32

‘I’m not at my desk because I’m walking out in solidarity with other Googles and contractors to protest against sexual harassment, misconduct, lack of transparency and a workplace that’s not working for everyone.’

Weaver et al., 2018: 3

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Chapter Outline Introduction The nature of national cultures Understanding organizational culture Perspectives on organizational culture Organizational culture, climate and leadership Evaluation and criticism Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain the nature of culture and its relationship to organizational culture; critically evaluate how organizational leaders seek to change or manage the culture of an organization; appreciate critical perspectives on culture and alternative cultural perspectives towards market relationships.

video

To learn more about employee engagement and voice, don’t forget to watch the video conversation for this chapter online.

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Introduction The opening quotations are examples of research reported in the media that frequently describe organizations as having a ‘box ticking’ or ‘bullying’ or ‘alpha male’ culture. Whether it is Apple, Amazon, Google, HSBC or indeed a university, the word ‘culture’ is used to describe the internal behaviour, values and processes in an organization. It can also be used to refer to external socio- economic and political forces that form part of the external context of organizations. Since the 1980s, the assumption that effective leaders in an international context need to recognize and respect national cultural differences has generated cross-cultural research (Hartnell and Walumbwa, 2011; Trompenaars and Hampden- Turner, 2012). Indeed, cultural theorists believe that culture is central to ‘all aspects of organizational life’ (Alvesson, 2016: 26), that organizational culture can foster affective commitment among followers (Lee et al., 2018), that under some circumstances leaders can shape the culture of an organization, but also more generally, culture can restrict leaders, which is why ‘culture is serious business’ (Schein, 2017: xiv).

This chapter begins by explaining the nature of national culture and its relationship to organizational culture, and critically evaluates how leaders attempt to change or manage the culture of an organization. It then proceeds to explain how neo-liberalism has become a basic assumption in styles of political and economic leadership in many societies, a phenomenon explored in the case study. Finally, it explores critical perspectives on culture and alternative cultural perspectives towards market relationships.

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The Nature of National Cultures Williams (1988) believes the word culture is one of the most complicated words in the English language. He identifies three broad types of usage: as a process of intellectual, spiritual or aesthetic development; as a reference to a particular way of life; and as reference to the arts. All of these are based on social values, norms and assumptions which people may not always be aware of. British sociologists Giddens and Sutton (2017: 995) define culture as ‘The values, norms, habits and ways of life characteristic of a coherent social group.’ The term ‘socialization’ is used to describe how members of a society learn and embed various layers of culture, both by internalizing the norms, mores and values of society, and by learning to perform social roles. Culture as a concept directs us to see the patterns in social engagement and behaviour (Schein, 2017). As the late cultural theorist Stuart Hall (1932–2014) observed, ‘Culture is not a matter of ontology, of being, but of becoming … [it] is not just a voyage of rediscovery, a return journey. It is not “archaeology”. Culture is a production’ (2005: 556). The idea is therefore that a national identity, such as ‘Britishness’, can be socially constructed, and, importantly, a national culture is malleable and is being constantly reproduced (Giddens and Sutton, 2017).

Although the multinational company (MNC) has been theorized as the very embodiment of isolated or ‘disembedded society’, that is, it has severed any dependencies on social institutions in its domestic base (Lane, 2000), business leaders are nonetheless exposed to and influenced by national culture. Geert Hofstede’s (2001) influential research attempted to measure national culture utilizing data from IBM employees across 64 countries. Like Hofstede, researchers interested in gaining insight into the implications of different national cultures for managing people in the workplace, have endeavoured to discover how national cultures differ. Northouse (2015), for example, describes an extensive survey carried out by House et al. (2014) which identified nine cultural dimensions:

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1. Uncertainty avoidance, the extent to which society relies on rules to avoid uncertainty.

2. Power distance, views about the extent to which power should be unequally distributed.

3. Institutional collectivism, the identification of broader societal interests compared with individual goals.

4. In-group collectivism, the expression of pride in social organizations and families.

5. Gender egalitarianism, the promotion of restriction of gender inequalities.

6. Assertiveness, the encouragement of toughness as opposed to submissiveness.

7. Future orientation, the forward planning and support for change compared with support for traditionalism.

8. Performance orientation, the extent to which people are encouraged by and rewarded for improved performance.

9. Human orientation, the degree of cultural support for fairness and concern for others.

According to the average results of respondents’ attitudes towards these nine cultural dimensions, national cultures were clustered into ten groups of countries. There is not enough space in one chapter to describe the grouping of national cultures fully, but to illustrate the findings the Anglo group (including the USA and the UK) is said to have a culture that is characteristically competitive, results orientated and less attached to their families. Nordic countries, on the other hand, are said to value long-term success, gender equality, orderliness and consistency. In contrast to the Anglo group, assertiveness is downplayed and cooperation and power sharing between people at all levels of Nordic society are valued (Northouse, 2015: 437). Importantly, this clustering of attitudes, it was claimed, reveals cultural differences in preferred conceptualizations of leadership. Respondents from the Anglo cluster of countries were found to favour charismatic/value-based leadership whilst, in contrast, those from the Middle East valued face-saving and status-maintaining leadership strategies. This attempt to find average cultural values overlooks the divisions in societies that mediate the responses of individuals according to their values linked to class, ethnicity, gender, sexuality and religion.

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The identification of national cultures is problematic because surveys tend to assume that each society must have a unitary, consensual array of values. To illustrate this point, take the UK. It consists of four distinct nations: England, Wales, Scotland and Northern Ireland. In both Wales and Scotland, the distinctive marker of national identity, language – Welsh (Cymraeg) and Scottish Gaelic – continues to thrive. While Scotland’s iconography is virtually universal – lochs, whisky, haggis, kilts and tartan – there is considerable debate on the distinctiveness of Scottish culture vis-à-vis England. Among Scottish intellectuals, it is posited that Scottish culture has undergone an eclipse as a result of its cultural subordination to England. But McCrone (2002) argues that there is little evidence that Scotland is, in the words of French sociologist Émile Durkheim, ‘anomic’, a condition in which society provides little moral guidance to individuals. On the contrary, McCrone states that ‘one can identify a coherent body of social and political values which makes Scotland a cohesive society, as well as one with a complex array of social identities’ (2002: 146). McCrone’s argument is that in modern societies, Scotland included, social identities are diverse and complex, but, importantly, that does not mean such societies are ‘normless’ (2002: 145). Modern pluralistic societies have always been fractured and fractious and values always openly contested (Malik, 2017). It becomes therefore increasingly difficult to identify a single ‘national’ culture. This is not to say there is no connection between national culture and leadership, only to say that some cultural values and mores rather than others may influence leaders.

Pause and reflect

Do you think that the country you live in has a distinctive national culture? Why? Can you identify a coherent body of social values that make your country a cohesive society, or is it anomic?

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Dominant cultures, subcultures and countercultures Sociological analyses of culture refer to a ‘dominant culture’, ‘subcultures’ and ‘countercultures’. The idea of a dominant culture implies that in a society with diverse cultures and class divisions, a ruling class is able to persuade most of the population that its values and worldview should prevail. It is widely held within many sociological perspectives that a shared belief system or a ruling class ideology has a crucial role in maintaining social order in class societies. In the 20th century, there was debate between functionalist sociologists who focused on the integrative role of a consensus of values and neo-Marxists who saw a ruling class ideology as capable of preventing the working class from recognizing its true interests and turning to revolutionary social change. The theory of the Italian communist leader Antonio Gramsci, who stated that the capitalist class had achieved domination through cultural hegemony, became very influential (Femia, 1975). In Gramsci’s view, it was the task of intellectuals to articulate a critical vision to undermine the hegemony of the ruling capitalist class. A culture can never be completely dominant as there is always the possibility that competing values will exist or that some sections of society (e.g. the poor) will, through their life experience, fail to be entirely convinced of the legitimacy of the ruling ideology.

Within society, or, indeed, within a work organization, there may be groups who do not share the dominant values but express themselves through different values and symbols such as dress codes or language. For groups who are stigmatized within society, their subculture may provide ways of coping and support for their self-respect and identity. This phenomenon was widely studied by sociologists of deviance in the 1960s (see e.g. Becker, 1963). The occupants of different units in an organization who have particular functions or professional ideals may have a range of subcultural values which are different from the dominant culture of the organization. Where a subculture opposes or inverts the values of the dominant culture, it may be regarded as a counterculture. A

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counterculture may provide a symbolic resistance to a dominant culture, or even a solution for its members as they can find a more positive self-definition within that culture. In work organizations, a counterculture may develop following the introduction of new work practices or technology if long-term employees perceive the changes to be detrimental to their status or security.

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Understanding Organizational Culture The national cultures embedded within people need to be understood because they interweave explicitly and predictably with people’s thinking, assumptions and action inside the workplace, and for leaders they provide choices of who to be in various situations (Schein, 2017). Though there are multiple definitions, we can define organizational culture in a sentence short enough to Tweet: organizational culture is a social construct made up of values, patterns of relationships and ways of doing things in a particular organization. Trompenaars and Hampden- Turner (2012) adopt a wide meaning of organizational culture, one that encompasses national values and preferences, as well as personal values held by organizational leaders. A body of organizational research and analyses provide testimony to the intersection of work, management and national culture. In terms of influencing people’s thinking and action, a growing body of cultural literature is contributing to our understanding of organizational culture. It is posited, for example, that the neoliberal logic of privatization and competition forced into all aspects of society (Mason, 2019) has come to frame decision making by upper- echelon leaders. Moreover, it has coerced individuals into new employment relationships, new routines, compelling human beings to adopt new attitudes, thought patterns, values and self- images. Writing at the beginning of the neoliberal era, the late French sociologist Michel Foucault (2018) labelled this new kind of individual the ‘entrepreneurial self’; for example, that one establishes the self through forms of personal investment, such as student loans and unpaid internships (Peters, 2001). Others have labelled the archtype homo economicus individual as the ‘neoliberal self’ (Gershon and LaDousa, 2019; Sennett, 1998). Sociologists have documented the rise of a new social archetype: flexible, tech-savvy, networked, who has exchanged collective activism and security for autonomy and entrepreneurial individualism (Boltanski and Chiapello, 2018). The significance of the model known as neoliberalism extends beyond free-market

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economics. Its real achievement ‘lay in the changes it made to the way human beings think and behave’ (Mason, 2019: 44).

In summary, the influence of organizations is dominant in shaping, if not determining, employer–employee relations and ideas, but organizations are located in national cultures, which influence the cultures of organizations (Hofstede, 2001). Although national culture is basic to social interaction, ‘Organizations are typically best seen as existing in a broader cultural context, with a variety of societal, industrial, regional, class, occupation, etc., cultures interplaying’ (Alvesson, 2011a: 153). The creation of the new, archetypal followers of neoliberalism formed in networked and anti-hierarchical cultures has obvious ramifications for managing talent (see Chapter 10), the process of following (see Chapter 13) and leader–follower relations.

The current trend in mainstream management literature in which reference is made to ‘corporate culture’ implies that organizational leaders create their culture through explicit ‘mission’ or value statements and individual behaviours and the like, which is then transmitted down to the lower-echelon leaders and other employees as part of a formalized approach to managing people. The objective is to persuade employees to internalize the ‘official’ organizational culture that leaders and managers have created. To be able to create their culture presupposes a power source (see Chapter 3). As Handy (1985: 189) observes, ‘This culture depends on a central power source, with rays of power and influence spreading out from that central figure. In sum, a leader’s influence and power cause others to act.

Central to this vision of corporate culture is the idea that, with ‘the right corporate vision, mission statement or leader, an organization can build a highly committed, unified culture that fosters productivity and profitability’ (Martin 2002, cited in Alvesson, 2016: 267). The search for an ‘official’ organizational culture that builds a committed and highly productive workforce has dominated both mainstream academic and practitioner debate for several decades. The focus on culture and performance can be described as the culture Holy Grail. However, while cultural control can help to reduce ambiguity and reinforce organizational

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processes, it can also encourage ‘group think’, hinder critical thinking and lead to unproductive activities and mistakes (Alvesson, 2016).

The term ‘organizational culture’ found in the literature describes a system of ‘shared’ values and beliefs, co-produced by leaders and followers, which seek to reinforce employee behaviour so as to achieve the organization’s goals. Cooke and Rousseau (1988: 245) define organizational culture as ‘the shared beliefs and values guiding the thinking and behavioral styles of members.’ The recognition that organizational culture can be produced at all levels is a challenge to the unitary theory discussed above. It is challenged to the extent that it might be permeated by the broader social culture and by the idea that within an organization there may be a number of subcultures linked to levels, types of employee or specialized units within an organization. Terms such as ambiguity and fragmentation became popular in the 1990s and organizations are said to have a multiplicity of cultural orientations, including ‘a mix of broadly shared meanings, group distinct meanings, ambiguity and an appreciation of individuals fluctuating between such experiences’ (Alvesson, 2016: 16).

Organizational culture can be regarded as having material or visible artifacts such as buildings or uniforms or displayed works of art. For example, displaying art on the wall in the reception area of a corporate head office signals to visitors and employees alike that they are entering a stimulating work environment in which workers can expect to explore ideas and aesthetics that are highly valued (Harding, 2003). Other examples of cultural artifacts are the wearing of a stethoscope by doctors in hospitals, the wig worn by judges in British law courts and the wearing of a professorial gown in universities. Visible artifacts also include language (when written down), which is used by managers to convey meaning. For example, Walmart refers to its employees as ‘associates’, while at Disneyland they are known as ‘cast members’.

Image 4.1 Formal rituals are collective routines that ‘dramatize’ the organization’s culture. But while cultural control can help to reinforce

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organizational processes, it can also encourage ‘group think’ and hinder critical thinking.

Related are stories and legends about the organization’s history, values, ‘ways of doing things’ and change. Jabri (2012), for example, emphasizes the importance of narrative and storytelling for constructing organizational change. Leaders and followers talk about change in narrative form, and in so doing they attribute meaning to events as they seek to make sense of change in their organization: ‘narrative lends itself to “sense-making” as people seek to understand the situations in which they find themselves’ (2012: 77). This includes oral or written discourse – real or fictitious – that tells of an event or a series of events in a prescribed sequence within a particular situation. Over the last four decades, organizational theorists have applied narrative to change management (e.g. Boje, 1995; Brown et al., 2009; Deetz, 1996).

Rituals and ceremonies are another aspect of observable organizational culture. Formal rituals are collective routines that ‘dramatize’ the organization’s culture. For example, the office party can be viewed as a ritual for integrating new members into the organization. Planned ceremonies represent more formal social artefacts than rituals; for example, the ‘call to the bar’ ceremony for graduating lawyers or the annual graduation

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ceremony at universities. Drawing on Schein (2017), whose work has been influential, these observable artefacts and processes are often viewed metaphorically as the ‘tip of an iceberg’ in organizational behaviour textbooks (see Figure 4.1).

Figure 4.1 The three levels of organizational culture

The iceberg metaphor shows two invisible dimensions of organizational culture, shared values and shared assumptions, held by members. Although shared work-related values are invisible (below the surface), they do influence patterns of observable behaviour in the workplace, including ethical values and the way the organization relates to customers or clients. For example, in healthcare, standard medical practice is influenced by a belief in evidence or a commitment to patient-centred care. In many universities, practice is influenced by the espoused value of

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‘We are a teaching-centred institution’. Employment-related espoused values possess six characteristics:

They involve moral or ethical statements of ‘rightness’. They pertain to desirable modes of behaviour at a given point in time. They directly influence employee behaviour and experiences, and act as significant moderators. They are typically associated with strategic goals and address questions like ‘What are we doing?’ and ‘Why are we doing this?’. They guide the selection and evaluation of members. They may vary in respect of male/female, demographic and cultural differences (Nindl et al., 2013), for example a belief that women in the armed forces should not engage in combat roles.

The term ‘shared’ in cultural analysis implies that organizational members are a whole. Each member has been exposed to a set of dominant values, although not every member may internalize and endorse them.

The third dimension of organizational culture relates to basic assumptions, which, according to the literature, are invisible, unconscious, taken for granted and highly resistant to change. These are the implicit and unspoken assumptions that underpin everyday choices and shape how leaders and followers perceive, think about and emotionally react to social and organizational events. For example, in healthcare, assumptions about the relative roles of doctors and nurses, about patients’ rights or about the sources of ill health are purported to underpin everyday decisions and actions (Davies, 2002).

The basic assumptions/beliefs about human nature, human relationships, relationship to nature and how the world works form the base upon which employees, who as social beings enter the workplace with life histories and experiences, build their values of how the world should be. As Schein (2017) observes, the occupations that govern work practices (e.g. in the arenas of the NHS and universities) are themselves cultures with learned and

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shared values and tacit assumptions that influence behaviour. Thus, we know that doctors and academics strongly value autonomy and that practices are often contested to maintain control and authority over knowledge domains (Swan et al., 2002). In terms of leading change, this makes certain kinds of reform in the NHS or universities more challenging.

Pause and reflect

Think about your own university or college: (1) How would you describe the culture? (2) Try to assess your answer at three levels: observable artefacts, shared values and basic assumptions of the culture.

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Organizational climate In contrast to organizational culture, which reflects the invisible and intangible dimension of organizational life, organizational climate relates to managers’ and other employees’ evaluation of tangible workplace attributes (Norton et al., 2015). Schneider and Reichers (1983) define organizational climate as employees’ perceptions of formal policies, the procedures that translate policies into guidelines, and the practices that act upon them. Schneider et al. (2017) notes that ‘organizational climate’ is the ‘elder child’ in cultural scholarship, and some theorists use the terms ‘culture’ and ‘climate’ interchangeably. Others refer to the disagreements over whether the two concepts are distinguishable constructs as ‘paradigm wars’ (Pane, 2000). Climate is conceptualized as an artefact of organizational culture (Schein, 1996), as shown in Figure 4.2.

Figure 4.2 Climate as an artefact of organizational culture

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Organizational culture and organizational climate are two complementary constructs, but reveal overlapping nuances in the social and psychological life of complex organizations. The former tends to take a sociological approach, using qualitative methodology, to examine symbolic and cultural forms of organizations. Climate researchers, however, attempt to measure individuals’ perceptions of autonomy, leadership, growth or whatever, and the meaning they assign to them, using quantitative methods derived from the nomothetic traditions in organizational psychology. The distinction between culture research and climate research lies in the different methodological traditions, what they consider to be significantly meaningful, and their agendas. Norton

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et al. posit that ‘climate represents the nexus at which culture, local circumstances, and immediate events converge to influence behaviour’ (2015: 337).

Critical Insight: TESTING THE CONCEPT OF NATIONAL CULTURE

Read the article by B. McSweeney, D. Brown and S. Lliopoulou (2016) ‘Claiming too much, delivering too little: testing some of Hofstede’s generalisations’, Irish Journal of Management, 35 (1): 34– 57.

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Activity 1. What do you understand to be the key features of Hofstede’s

concept of ‘national culture’? 2. In what ways did McSweeney et al. test their predictions in the

context of industrial relations?

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Perspectives on Organizational Culture Like leadership scholars, cultural theorists adopt different perspectives on the study of organizational culture. The genealogy of the different perspectives is rooted in classical sociological theory (see Bratton and Denham, 2019). For example, Durkheim’s concern for social solidarity through ideological consensus suggests that culture is the social ‘glue’ binding an organization together, whereas Weber emphasizes that individuals behave ‘not out of obedience, but … because … of unreflective habituation to a regularity of life that has engraved itself as a custom’ (1921/1968: 312, emphasis added).

Contemporary literature identifies four perspectives: managerialist, symbolic-interactionist, social conflict and feminist.

The managerialist perspective shares assumptions with functionalist sociology. Culture is looked upon as an organization- wide set of values devised by senior managers in order to produce a committed and loyal workforce. The approach regards organizational values as having a key role in integrating the organization at all levels and in ameliorating conflicts which inevitably arise from managing the labour process. Writers from this perspective focus on the role of leaders, their style of leadership and the kinds of culture most appropriate to the achievement of the goals of the organization. Thus, Rosabeth Moss Kanter in The Change Masters (1980) observes that employees find their stability and security not in specific organizational arrangements but in the culture of the organization. Since the 1980s, functionalist writers have put forward ideas about causality by attempting to demonstrate positive linkages between the ‘right’ corporate culture, employee commitment and enhanced performance (Deal and Kennedy, 1982; Ouchi, 1981; Peters and Waterman, 1982). Like the search for the ‘ideal’ leadership style, what constitutes the ‘right culture’ is a matter of contested debate.

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The symbolic-interactionist perspective contends that organizational culture is about shared meanings produced by workers and management in regular, routine contact. Actors within an organization construct a culture based upon symbols and meanings that workers and managers share. Culture emerges from day-to-day symbolic or meaningful action and is not fixed but subject to negotiation over time. The advocates of this perspective favour qualitative methods such as participant or non-participant observation in order to obtain information about the meanings actors share. Symbolic interactionism is often criticized for not adequately accounting for the ways ‘larger social structures cause disagreement on meanings’ (Bratton, 2015: 464).

The social conflict perspective is rooted in Karl Marx’s analysis of capitalism. It assumes that conflict is a basic feature of all organizations as members struggle for control over scarce resources. Values, norms and beliefs are assumed to develop to maintain the power and control of management. The ultimate conflict, according to this approach, is between ‘capital’ and ‘labour’ and values are seen as legitimizing management against resistance from subordinates. The picture represented by conflict theorists is more likely to be one that represents contradictory, fluid and unstable cultures. For Joanne Martin (1992), organizational culture is characterized by so much ephemerality, ambiguity and change, and so exposes the truth claims of monolithic and united corporate cultures. The value of this fragmentary approach to organizational culture is in its exposure of the naivety of thinking that there is no ambiguity in what cultural members believe and do. For example, it exposes claims to the espoused truth that ‘We are an equal opportunity employer’ while masking gender or race inequality arising from the cultural values and beliefs of a male-dominant or white-dominant workplace (Martin, 2002; Mills, 1995).

The feminist perspective argues that gender is a central aspect of organizational analysis. Gender, defined here as the ‘patterned, socially produced, distinctions between female and male, feminine and masculine’ (Ackers, 1992: 250), is crucial for understanding how people encounter support, encouragement and scepticism in organizational contexts (Alvesson and Billing, 2009: 1). A gender

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perspective in organizational culture analysis is important because organizational membership often conforms to and extends sex- biased societal values that discriminate against women. Further, cultural values associated with notions of masculinity and femininity are often reflected in organizational processes; for example, processes and rewards that privilege masculine attributes.

Gender analysis is important because some organizations (e.g. schools, media) directly play a part in the socializing processes in which people acquire gender identities (Helms Mills and Mills, 2000). Each of these alternative perspectives illustrates how thinking about organizational culture reflects different assumptions about the nature of organizational life and the complex relationship between organizational culture and the societal values and norms found in national cultures (Norton et al., 2015; Ostroff et al., 2013).

Pause and reflect

If you were to study the intersection of organizational culture and sexual harassment and abuse of young women in the workplace, how would your approach differ if you adopted (a) the conflict perspective and (b) the feminist perspective?

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Organizational Culture, Climate and Leadership As noted, much mainstream management ‘integrationist’ theory identifies a robust corporate culture as an important factor in promoting employee commitment and work motivation. Proponents advocate that executive leaders abandon bureaucratic regimes for ‘flat’ decision-making regimes with a ‘strong’ corporate culture to ‘win’ the commitment of their workforce. The critical role of leaders and HRM practices in creating, shaping and changing organizational culture is well recognized within the literature (Alvesson, 2011b; Norton et al., 2015; Schein, 2010; Trompenaars and Hampden-Turner, 2012). Unsurprisingly, therefore, management and leadership theorists have identified different cultural change strategies that focus on changing the manifestations of organizational culture, such as artefacts, work value, norms of behaviour and basic assumptions. In terms of cultural change strategies, Alvesson (2011a: 152) explores three perspectives on organizational culture and leadership:

the role of leaders in creating an organizational culture; leadership as maintenance and reproduction of organizational culture; culture as framing and reframing by leadership.

The strongest case for the role of leadership in creating organizational culture is where the founder starts a business and is able to have a significant influence on formulating its values and the choice of people to be employed. In the formative stage, it is suggested that executive leaders can create a particular culture by using a cluster of HR practices including selection, training and rewards. In this sense, Trompenaars and Hampden-Turner (2012) argue that HRM is not simply a functional organization, but an integrated, essential discipline that pervades the entire organization and shapes its culture. For example, induction and training sessions create a particular organizational culture as new

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members formally learn, accept and identify with espoused values (Whiteley et al., 2013). However, while HR practices may ostensibly be able to create a particular culture during the organization’s formative years, over time ‘other complexities and other influences than founder values often undermine the impact of the latter’ (Martin, 1985).

Leaders have a role in maintaining and reproducing culture. Although less glamorous and less likely to be associated with leadership, this role is a key part of what managers do (Alvesson, 2011a: 158). In Chapter 9, we will examine in more detail how an organization’s performance appraisal system (PAS) can play a role in maintaining and reproducing culture. When appraisal is linked to rewards, it enables leaders to change or reinforce the culture. For example, in higher education, the promotion of academic staff can reinforce a ‘research culture’ or a ‘teaching excellence culture’ when the criteria is tied to research productivity or favourable student evaluations. Through a myriad of HR practices, managers and other employees encourage each to internalize the organization’s culture because it fulfils their need for acceptance and identity (Bratton and Gold, 2017).

Leaders at the ‘strategic apex’ typically attempt to change organizational culture by reframing social networks of symbols to change members’ behaviour. Physical artefacts ranging from redesigning office space to create an ‘open plan’ or displaying a framed copy of the mission statement, to establishing a R&D hub to emphasize the importance of innovation are examples of how leaders can reframe social networks. Executive leaders have also reframed shared meanings by stories and storytelling (Jabri, 2012; Taylor et al., 2002). Notable examples of language and narrative strategies to achieve cultural change are British ‘corporate’ universities, where students are considered as ‘clients’ and professors as ‘service providers’ who must ‘brand’ their university and sell their ‘products’, as do automobile manufacturers (Gingras, 2009).

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Culture as a constraint on leadership A strong case can be made that, contrary to assumptions in the leadership literature, rather than creating culture leaders are constrained by it. Alvesson (2011a) contends that managers can influence organizational culture but only in a very restricted way so that culture is generally seen as a constraint upon management. Guthey and Jackson (2011) point out that the cross- cultural studies of Hofstede concentrate on culture as a determining influence upon leadership but contradict the notion of leadership itself which connotes an active rather than a passive relationship:

Charismatic leadership, servant leadership, quiet leadership, all of these approaches involve in some way or another the notion of taking initiative, inspiring commitment, mobilizing action, promoting legitimacy or exerting influence. (2011: 165)

Culture is a constraint on leadership behaviour and initiatives, but so are other parts of the business environment such as government policies, politics, laws and regulations (see Chapter 2). The ways in which leaders (and followers) influence culture have, in the view of Guthey and Jackson, been neglected by scholars. It is a two-way, dialectical process, which calls the assumptions undergirding cross-cultural studies into question. If people actively work to change culture then it cannot be taken as an independent variable.

Leadership in Action: Collapsed companies which failed to put funds into their pension deficit

The civil engineering company Carillion collapsed in January 2018. The company was involved in large public private partnership contracts (PPP) to construct three hospitals when it collapsed

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(Goodley, 2018). Carillion’s pension scheme was estimated to have a £990m deficit with the potential to cut pensions for nearly 30,000 pensioners by 15 per cent. Members of Parliament on the work and pensions committee released documents which showed ‘long-term indifference’ by company directors towards the company’s pension obligations (Davies, 2018a).

Carillion’s former finance director considered it a ‘waste of money’ to put cash into the company’s pension deficit, according to the minutes of a meeting written by the pension scheme trustees. (Davies, 2018b)

In evidence given to the work and pension committee, the managing director of the investment firm BlackRock stated that:

It seems that the board was focussing more on [about] how to remunerate executives rather than actually what was going on at the business. (Davies, 2018c)

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Reflective questions Imagine you are an employee in a company that has run its pension fund into deficit:

1. Would you think that your company failed in its obligations to maintain the retirement prospects it had promised when you began employment with the company?

2. Would you think retirement is a distant prospect, so why worry?

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Sources Davies, R. (2018a) ‘MPs accuse Carillion chiefs of “long-term indifference” on pension gap’, Guardian, 6 February.

Davies, R. (2018b) ‘Pension funds were called a “waste of money” at Carillion’, Guardian, 23 February.

Davies, R. (2018c) ‘Carillion directors “worried more about bonus than firm”’, Guardian, 8 March.

Goodley, S. (2018) ‘Shaky foundations: under pressure to grow, everyone bids each other to death’, Guardian, 16 January.

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To explore this topic further see: Clark, G.L. (2015) ‘The UK pensions crisis and institutional innovation: beyond corporatism and neoliberalism’, in C. Torp (ed.) Challenges of Aging. London: Palgrave Macmillan.

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Ideology as part of culture The idea that the USA is an individualist rather than a collectivist culture has been taken as a central assumption in cross-cultural studies (Guthey and Jackson, 2011). The centrality of individualism amongst Americans is not in dispute. But this poses two questions: ‘How did they get that way?’ and ‘Whose interests does this ideology of individualism serve?’. Drawing on the work of the historian Elizabeth Fones-Wolf (1994), the authors argue that after the Second World War, American business leaders collectively sought to discredit New Deal liberalism, undermine the legitimacy of organized labour, and ‘reshape the ideas, images and attitudes’ through which Americans understood their relationship to the corporate world and the state (Guthey and Jackson, 2011: 175). It was an attempt to push back against the gains made by organized labour after the 1930s: to shape values and to associate the American Dream with frontier-style individualism.

After the Second World War, most European countries accepted some kind of settlement under which governments would be expected to restrain wealth inequality; intervene in their economies in order to avoid mass unemployment; provide a welfare state; and support state ownership of key industries. By the 1980s these ideas had lost favour in the USA and the UK following the election of President Reagan and Prime Minister Thatcher. Economists Milton Friedman in the USA and Friedrich von Hayek in the UK influenced both politicians. As we discussed in Chapter 2, the doctrine of neoliberalism proposes that human wellbeing can best be advanced by free markets, deregulation, the privatization of state assets and the withdrawal of the state from many areas, such as health, prisons and transport (Harvey, 2005). Supported by right-wing politicians and journalists, neoliberal ideology has created iconoclastic market-oriented regimes in which business executives have redefined their obligations solely in terms of shareholder value and executive salaries, and in the process have become detached from wider society (Hutton and Adonis, 2018; Jones et al., 2015; Salaman, 2016).

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Over the last four decades, a cacophony of critical voices has argued that neoliberalism has become embedded in UK public policy and organizations (Ferlie and Ongaro, 2015; Boardman and Vining, 2012; Whitfield, 2012): (1) through privatization and the creation of markets that transfer government functions and services to private capital; (2) privatization reduces the role of the state and changes public values and expectations of public services, thereby transferring more power from the state to private capital; and (3) through individual financialization (e.g. personal training, student loans, personal pensions), which is a means to transfer risk, cost and responsibility from the state and companies to individuals.

In the UK, public sector organizations have been transformed through neoliberal ideology. As Ferlie and Ongaro (2015: 221) argue, ‘The politico-administrative culture and societal contexts shape some of the very premises for the management of public service organizations.’ In terms of the focus of this chapter, neoliberalism is more than just an economic system. It has a political and ideological agenda: a minimalist state and the privatization of the self (Bratton, 2020; Storr, 2018). As such, it represents a huge cultural change in private and public sector organizations which provided a context for followers’ expectations and responses, the prevailing pattern of social relations in the workplace, and leadership.

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The role of employee engagement and voice It should be clear by now that organizational cultures give meaning to social relations in the workplace and to employment (Kitching, 1997; Ram et al., 2017). A further piece of the organizational culture jigsaw concerns employee engagement and voice. Although there are diverse definitions, Emmott (2015: vii) observes that the concepts of engagement and voice are rooted in the notion that they create an effective employment relationship built on ‘trust, fairness and respect’, which has a positive effect on performance. ‘Employee engagement’ and ‘voice’ are terms used to describe HR practices that are designed to allow employees some input into decision-making processes. Leadership is an antecedent or ‘enabler’ of engagement and voice, which is an approach to employment relations designed to strengthen the link between the individual employee and the organization to enhance commitment to the organization’s goals and values (MacLeod and Clarke, 2010). Employment relations models that encourage employee engagement and voice contrast greatly with the dominant assumption held by US (and UK) leaders that managers should have the ‘right to manage’ (Bratton and Gold, 2017: 353).

Organizations use a wide range of direct and indirect HR practices to give expression to engagement. Direct engagement refers to those forms of participation where individuals are involved in decision-making processes that affect their everyday work routines. Examples include group and team briefings, quality circles and problem-solving groups. Engaging employees directly in the decision-making process is considered a key aspect of enacting change, including cultural change, and subsequently sustaining it (Davis and Coan, 2015; Pasmore, 1994). Engagement can, for example, change an organizational culture toward pro-environmental behaviours (see Chapter 16, and Young et al., 2015). Guest (2015: 61) argues that these direct modes of engagement can be seen as a ‘management-controlled means of seeking to leverage the employment relationship to the benefit of the organization’, with the aim of extracting more contribution from employees by increasing their work motivation. As such, direct

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engagement does little to enhance employee voice and diminishes indirect or representative employee voice.

Indirect employee voice describes those forms of worker participation where employee representatives participate in the processes of decision making at strategic organizational level. Examples of indirect voice include ‘worker directors’ joint consultative committees and European Works Councils (EWC). These forms of voice are associated with a more radical stream of thought, which is concerned to overcome alienation caused by workers being excluded from the processes of decision making. Hence, the advocacy of workers’ control to attain social justice (Coats, 2004).

A less radical approach is what Johnstone and Ackers (2015) call the ‘pluralist model’, which, whilst accepting that employers and workers have different interests, assumes there is scope for co- operation and compromise achievable through dialogue. In Germany and the Nordic countries, for instance, employee representatives sit on works councils, making decisions about executive leaders’ salaries and on their organization’s strategic goals. These cooperative mechanisms can improve employment relations and performance at organizational and economy level (Duffy et al., 2013). Discussions of Nordic culture highlight varieties of social democracy, relatively low levels of social inequality and trade union recognition and involvement in workplace decision-making processes (Lindeberg et al., 2013). Take Finland, for example: Henley (2018b) found Finns often cite the word talkoo, which means ‘working together for a specific good’. This analysis goes beyond a purely cultural perspective as it contains a combination of historical experience, structural and institutional factors as well as culture.

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Evaluation and Criticism The first criticism levelled at cultural theorists relates to the methodology used to identify distinct national cultures. The idea that countries have a unique culture based upon the statistical average of personal values claiming to measure the values of a national culture is about as meaningful as an average of personal income. That is, as there is a wide variance in personal income in any population, so too is there is a wide dispersion in the personal values of that population (Bratton, 2015). Second, much cultural analysis is framed within a culture–performance relationship in which a ‘strong’ culture increases commitment and better all- round performance. Despite the fact that the culture–performance link has been studied from a multitude of different angles, demonstrating a causal relationship between a strong corporate culture and business performance has proven problematic (Sackmann, 2011).

Third, it must be kept in mind that followers within the same organization will not necessarily internalize the culture of their workplace in the same way, and predictions of a ‘strong culture’ creating commitment and motivation in one individual does not necessarily work with all employees. Reviewing the extant studies, Sackmann concludes that even though a direct link between strong corporate culture and performance can be observed, ‘the link may not always be direct’ (2011: 213). Thus, the evidence for a positive culture–performance link is tenuous. Indeed, it is so deficient that some have argued that it should not be dignified with serious attention (Willmott, 1993).

Finally, a strong corporate culture does little to alter the nature of the employment relationship, at least not in any meaningful way. As Fleming (2017: 97) observes, ‘The typical employer today no longer seeks to generate happy workers … It’s almost a badge of honour to enforce low wages and economic anxiety, just so workers fully understand their rightful place in the economic order of things’. The preoccupation with culture does nothing to obviate the need to reduce labour costs and, in the light of weak trade

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union representation, to intensify the pressure of work and increase employee voice (Edwards, 1990).

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Conclusion The theme of the chapter has been culture and leadership. Various meanings of the word ‘culture’ were outlined and the discussion then covered the idea of a ‘national culture’. Organizational culture was discussed as a resource for leadership as well as a restriction upon it. The topic of neoliberalism was introduced because, as a culture, it represented a disjuncture with the dominant post Second World War orthodoxy around state economic management of economies and the welfare state. The Nordic countries in Europe appear to have remained relatively immune to neoliberalism and, as the example of Finland suggests, have been successful societies and economies. Arguments were presented which claim that a participatory employment relations system with high employee voice within a context of low social inequality can contribute to successful societies that provide prosperity and wellbeing for their members, and that they operate in a distinctive culture. The example of Finland suggests that the culture in which leaders and workers are embedded influences the behaviour of leaders and followers and the goals for which they strive.

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Chapter Review Questions

1. Some believe that we are all products of our national culture. Do you think this is the case? Why? If you disagree with the statement, give your reasons for disagreement.

2. What is a ritual? Describe one in your university/college where you are studying. How does the ritual reinforce the culture?

3. What practices would you use to try to change culture? Should leaders attempt this in the first place?

Assignment Task: Cross-culture values

It has been argued that Sweden and Finland have a distinctive consensual style of management and leadership and that this is related to their shared history and cultures. Whilst these two countries differ in leadership and decision making compared with other European countries, in an article in the Review of International Comparative Management Lämsä claims that there are distinct cultural differences between business leadership styles in the two countries.

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Question How do cultural values affect leadership styles between European countries, and what cultural differences affect management styles in Finland and Sweden?

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For further information read Lämsä, T. (2010) ‘Leadership styles and decision-making in Finnish and Swedish organizations’, Review of International Comparative Management, 11 (1): 139–49.

Go Online

Explore the real world of leadership by reading this case study:

Sydney Brian-Peters: A Case Study in Gender and Leadership Issues

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Peter Goddard, CEO of property factoring company Myreside Management, shares how he operates an open door policy to involve his employees in decision making.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Alvesson, M. (2011) ‘Leadership and organizational culture’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson, and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. London: SAGE.

Alvesson, M. (2016) ‘Organizational culture and work’, in S. Edgell, H. Gottfried and E. Granter (eds), The SAGE Handbook of Sociology of Work and Employment. London: SAGE.

Chatman, J.A. and O’Reilly, C.A. (2016) ‘Paradigm lost: reinvigorating the study of organizational culture’, Research in Organizational Behavior, 36: 199–224.

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Case Study: The Volkswagen emissions conspiracy

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Background News of the conspiracy broke on 18 September 2015 when America’s Environmental Protection Agency (EPA) revealed that several diesel- powered VWs and Audis had software which switched on nitrogen oxide (NOx) controlling technology only when faced with the sort of demands seen under test conditions. The EPA ordered VW to recall around half a million cars in the USA to fix the software. The company admitted that the software was fitted to 11 million vehicles worldwide, causing a ‘notable deviation’ (around 35 times more) between NOx emissions seen in official testing and those found in normal use.

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Leadership behaviour The Economist (2015) published an article suggesting that there were three reasons why VW cheated. First, Martin Winterkorn, VW’s CEO, had an overwhelming ambition to make the company the largest car producer in the world, and in order to achieve this VW had to expand its sales in the USA where diesel cars were less popular than in Europe, but where regulation on emissions is much tighter. Second, technological remedies to reduce NOx emissions are expensive, and it was ‘Easier not to fix the problem’. And third, VW thought that they could get away with the conspiracy because they had successfully done so in Europe where standards are less stringent, and where manufacturers were allowed to test their own vehicles and publish their emission data. In order to produce satisfactory emission figures, manufacturers had become used to ‘gaming’ the system by modifying vehicles in ways which made it easier to achieve low emissions. In the USA, car manufacturers are also responsible for carrying out their own emission tests, but the EPA tests standard automobiles, on sale to the public, to see if these vehicles conform to the manufacturer’s claims.

The potential costs for VW were huge as they faced federal fines – class action suits from motorists who would lose re-sale value for their cars. Within days, the value of the company fell by €26 billion. In December 2017, Oliver Schmidt, a senior VW executive, was jailed for seven years and fined $400,000 for his involvement in the scheme. How many middle managers or engineers are implicated in the plot remains unclear. In March 2018, VW pleaded guilty as a corporation and agreed to pay $4.3 bn in fines. Martin Winterkorn resigned from his post as CEO in 2015. Winterkorn and five senior VW executives were charged with conspiracy to defraud the USA and violate the Clean Air Act.

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Case exercise On your own, or in a study group, answer the following questions:

1. Does the idea of ‘national culture’ have any relevance to the explanation of the VW emissions conspiracy?

2. How might the idea of leadership culture within an organization have any bearing on the understanding of VW’s attempt to expand its sales in the USA?

3. Would an explanation of the conspiracy which refers to market pressure be more convincing than one based on cultural analysis?

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Sources of additional information This case study is based on ‘A murky business: the Volkswagen scandal’, Economist, 416 (8957), 26 September 2015 and Rushe, D. (2018) ‘VW emissions scandal: US charges ex-CEO with conspiracy and fraud’, Guardian, 3 May, available at www.theguardian.com/business/2018/may/03/vw-emissions-cheating- michael-winterkorn-charged (accessed 17 September 2019).

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5 Ethics and Leadership

Roslyn Larkin John Burgess Alan Montague

‘British Airways, the Royal Bank of Scotland and Porsche are among five large companies identified as having paid corporate intelligence firms to monitor political groups that challenged their businesses.’

Evans and Jones, 2017

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Chapter Outline Introduction The nature of ethical leadership Philosophical approaches to ethical leadership Dimensions of ethical leadership Organizations behaving badly: failures in ethical leadership Context, the rhetoric and reality Whistleblowing: is it responsible behaviour? Millennial leadership, digitization and artificial intelligence Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

critically evaluate and comprehend the concept of ethical leadership theories and models; examine and discuss recent issues in ethical and unethical leadership in the context of contemporary work organizations; identify and critically analyse the social and ethical responsibilities of contemporary leaders in industry; understand the role of ethics in the future of organizations and employment relations.

video

To learn more about the reality of ethical leadership, don’t forget to watch the video conversation for this chapter online.

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Introduction The CEOs of sportswear multinational companies such as Nike, Adidas, Puma and Reebok have long been held responsible for some of the most unethical employment conditions in the world, coming under attack for social dumping (moving production from the home country to those with lower wages) and sweatshop employment abuses. After 20 years, relentless pressure from anti- sweatshop campaigners and global boycotts of products have finally convinced corporations such as Nike to recognize fair labour standards and re-think the level of transparency offered into their own and their suppliers’ operations. Such practices pose questions about motive and rationality, but they also raise ethical issues about what constitutes ethical leadership. So, what does it mean to be a ‘good’ leader, where good is defined as both effective and ethical? Such questions have been the focus of enquiry into ethical or moral approaches to leadership over recent years (Lemoine et al., 2019).

This chapter will consider questionable individual and organizational leadership practices from an ethical perspective. It begins by examining the meaning of the term ‘ethical leadership’ and explores the topic from a range of perspectives and rationales to present competing concepts concerning ethical leadership. Using international case studies, the chapter examines the presence or absence of ethical behaviours in organizations.

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The Nature of Ethical Leadership Every society recognizes many ‘unwritten’ rules, for example a duty not to tell lies. That we perceive we must conform to such a rule is one of the main elements that aid human societies to function smoothly. Thus, ‘moral rules’ affect decisions we take as individuals, compelling us to tell the truth rather than lie to family members, friends and colleagues. While CEOs have an ethical dimension as human beings and as members of society, it is argued that decision making by CEOs is different from that of an individual (Morrison, 2015). Leadership ethics, which is the study of ethics applied to organizational leaders, examines the goals of organizations, organizational values, and the behaviour and misbehaviour of leaders.

The number of CEOs, initially recruited for their perceived capabilities, who have lost their moral compass and suffered the indignity of public exposure for a ruthless disregard for ethical rules and an astonishing disregard for customers, has an informal membership that is high. In the last few years, bad leadership stars have included well-known corporations such as Volkswagen and Wells Fargo. In 2018 Facebook had its tensions, along with Samsung, Uber, Yahoo as well as the four biggest banks in Australia, exposed in the media and a Royal Commission as engaging in ruthless ethics fuelled by greed (Hayne, 2018).

Image 5.1 Initially recruited for their perceived capabilities, a number of corporate leaders have lost their moral compass. Bad leadership stars include Volkswagen, exposed for a disregard for ethical rules and the environment.

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We can begin to find an answer to these questions by first defining ethical leadership. Is it something we have, or something we are? To answer this question, we need to recognize the two clear schools of thought surrounding the notion of ethical leadership. The first is steeped in philosophy whereby the notion of the leaders, who are imbued with ethics, act as a driver of ethical conduct in the organization (see e.g. Brown et al., 2005). This view is about ‘having’ ethics. The other notion of ethical leadership is more transactional in nature and derived from the behavioural sciences whereby ethical leadership’s sole purpose is to provide conditions for organizational success (see e.g. Engelbrecht et al., 2017). This view is about managing ethics. Regardless of the point of derivation of the concept of ethical leadership, both the behaviourist and philosophical approaches share many points of overlap, including many consistencies in terminologies, actions and behaviours (Mariama-Arthur, 2018). The following section tackles both consistencies and inconsistencies by taking a closer look at leadership through the lens of ethical frameworks and leadership styles.

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Philosophical Approaches to Ethical Leadership The philosophical interest in ethical leadership appears to have gained enhanced traction largely as a response to corporate scandals in the 1990s and early 2000s (i.e. Enron, Nestlé, Adidas, Lehman Brothers, James Hardie, BHP Billiton and Union Carbide). Some of the primary philosophical approaches to ethics, which may be unfamiliar to many business students, are utilitarianism, deontology, philosophical egoism, ethics of virtue and ethics of responsibility. The following provides a very brief overview of each:

Utilitarianism: otherwise known as ‘consequentialism’, utilitarianism is, as the name suggests, forward looking. Under the banner of utilitarianism, the right or wrong of actions and behaviours are directly assessed against potential consequences and whether those consequences prescribe to the basic consequentialist principles of the greatest good for the greatest number, or the ends justify the means (see Larkin et al., 2017). Utilitarianism is commonly associated with philosophers Jeremy Bentham (1748–1832) and John Stuart Mill 1806–1873). Deontology: also known as ‘Kantianism’, after the deontologist Immanuel Kant (1724–1804), deontology is backward or present looking. To this point, it is not the consequences of an action that make it ethical, but whether the action was simply the right thing to do. Actions that mislead, conceal fraudulent behaviours or misinform are unable to be morally justified by their motivations (Meyers, 2018). Philosophical egoism: associated with the work of Thomas Hobbes (1588–1679) and, a century later, David Hume (1711 –1776), philosophical egoism focuses on the beliefs of reality through a social lens. Where leadership is constructed through social rules, people will follow if it avoids punishment (Dion, 2012). Social acceptability of behaviour is paramount

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to achieving one’s self-interest, and therefore social approval directs the moral path (Gert, 2010). Virtue ethics: most closely related to the work of Plato and Aristotle. Under this framework, it is the system of beliefs that take precedence, rather than behaviours. Virtues may be moral (courage, justice and prudence) or intellectual (i.e. wisdom) (Larkin et al., 2017). Ethics of responsibility: while there are some differences between exact viewpoints surrounding this framework, the key understanding is that everyone is responsible for themselves through an open set of possibilities (Dion, 2012). It is right to assume that others also have their own self- responsibility orientating their conduct according to their own parameters of truth.

Reflecting on these brief definitions of primary philosophical approaches, it can be seen that ethics concern the morality of outcomes, the morality of process, social expectations, self- expectations and the ‘truth’ according to the decision maker. Such a montage of competing thoughts and potential definitions can make it difficult to understand ethical leadership as a response to ethical frameworks.

A different and equally accepted method is to understand leadership models to capture those components that promote ethical behaviour. Mainstream models include authentic leadership, transformational leadership, charismatic leadership and servant leadership. It is important to consider the merits of these leadership models in the context of ethics.

The first example is R. Gardner’s (2017) application of an ‘ethical prism’ to authentic leadership traits whereby authenticity refers to integrity and sincerity, which are considered virtuous and by implication connected to virtue ethics (Dion 2012). Kim and Kim (2017) consider transformational leadership and, drawing from the work of many others, include influence or charisma, inspiration and stimulation of others in their definition. Servant leadership varies again, but is reported to have evolved through ethics and altruism in response to a recognized need for communal leadership (Sims, 2018). Dion’s (2012) analysis places both

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transformational and servant leadership within the realm of deontology, philosophical egoism and ethics of responsibility.

Numerous criticisms of these perspectives exist. For example, while an authentic leader may be true to their own values, these values may be inclined toward selfish or bad behaviour (Cramwinckel et al., 2013). The potential for destructive outcomes for those whose values do not align with the leaders (see e.g. Faircloth, 2017) has been a genuine consequence. While transformational and charismatic leaders may certainly have ethical, virtuous or moralistic drivers, the association with ethical leadership must be questioned in all leadership models on a case- by-case basis. For example, one of the biggest criticisms of the willingness to place ethical leadership under the transformational or charismatic leadership model is the recognition that not all visionaries are considered ethical. From the political sphere consider Hitler, and from the business world consider the former CEO of Enron, Jeff Skilling, and the consequences of his performance leading to a lengthy prison sentence. Even while some, for example Bass and Steidlmeier (1999), argued that such criticisms fail to distinguish between legitimate transformational and pseudo-transformational leadership, like ethical frameworks, leadership frameworks also fail to provide a complete picture.

As such, it is inherently difficult to describe ethical leadership as either utilitarian, deontological or values based. There is also difficulty in ascribing ethical leadership to transformational and charismatic frameworks (Brown et al., 2005) or authentic leadership frameworks (Fine, 2017). Judge et al. (2009) considered leadership effectiveness through the bright and dark sides of leaders’ traits, yet this line of enquiry continues to fail to answer a key question: ‘Is effective leadership necessarily ethical?’ Possibly through recognition of the difficulty in ascribing ethical leadership based on a clear definition, many have claimed that ethical leadership is mostly about the moral components (see e.g. Treviño et al., 2000 and Brown et al., 2005).

Pause and reflect

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How do you define ‘ethical leadership’? Using a search engine or journal database, search for some individual or organizational examples of good leadership and explore why these examples might signal ethical exemplars.

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Dimensions of Ethical Leadership The moral components are not solely about the personal attributes or characteristics of the leader, nor are they solely about providing the conditions for organizational success (Williams, 2016). The prevailing view on ethical leadership and management is that it is important to be a good leader, where good is defined as both effective and ethical (Bonner et al., 2016; Ciulla and Forsyth, 2011; Treviño and Nelson, 2017). As such, one should be both a morally good person and a morally good manager, and morality is based on the principles of what is right and not necessarily what is considered to be legal (Beard and Lynch, 2015).

Resick et al. (2006) and DuBrin (2015) identified the dimensions of ethical leadership to include ‘character and integrity’, ‘ethical awareness’, ‘people orientation’ (including altruism), ‘motivating’, ‘empowering’ and ‘accountable’. From this perspective, therefore, ethical leadership is seen as one, or a set of behaviours. DuBrin (2015) and Williams (2016), along with many others, included integrity, trustworthiness, honesty and empathy in the mix. Viewed from these observations, arguably what is construed as ethical leadership is a social construct in that it is defined by humans and society.

While many associations are made, typically the words ‘trust’, ‘integrity’ and ‘morals’ appear to be the most consistent. But what does this mean? For Engelbrecht et al. (2017), trust and integrity constructs act to influence followers, leading to higher levels of engagement and outcomes for the organization. Here, ethical leadership is essential to promote trust, and in turn trust is essential to promote employee engagement, which is essential for organizational success (Nankervis et al., 2014, 2017; Engelbrecht et al., 2017). Trust in the leader is considered to be a condition moderated by ethical leadership that promotes employee engagement, which is vital as it promotes value-driven behaviour (Engelbrecht et al., 2017; Nankervis et al., 2017).

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Linked closely with conditions that promote employee engagement, research findings from Engelbrecht et al. (2017) identify ethical leaders as being instrumental in creating a trusting work environment. Trust, however, is moderated by either a perceived or actual authenticity of a leader’s behaviour (Zhu et al., 2004) while a perceived lack of integrity is more likely to elicit distrust from followers (DuBrin, 2015). In 2017, the Harvard Business Review, reporting on the results of the Edelman Trust Barometer, identified a decline in the trust people have in business, media, government and NGOs. This decline coincided with a confidence level of only 29 per cent, with overall credibility for this group coming in at 37 per cent across the globe (Harrington, 2017).

Pause and reflect

Download the the Edelman Trust Barometer Global Report, available at www.edelman.com/trust-barometer. Identifiers in the report show the largest percentage drop in trust between 2017 and 2018 for a country is the USA, and for a sector, Finance. In groups, draw up a list of reasons why that country and that sector have received such a downward rating in overall trust.

The results reported from surveys such as Edelman’s Trust Barometer suggest that we are witnessing a downward trajectory in perceptions of ethical leadership. But what have been the causes of such distrust and destruction? Blumenthal (2015) stated that where companies practise ‘amorality and mistrust’, ‘bad actors’ will dominate and scandal will follow. Indeed, it is here that we see a dark side of trust in that, just as an ethical leader inspires trust in others, an unethical leader may inspire trust for a time as well.

The next section adopts a critical view of the failures of ethical leadership, with organizational cases from around the world that challenge terms such as trust, equity, honesty and morality and raise issues of distrust, unethical leadership and ethical hypocrisy.

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Organizations Behaving Badly: Failures in Ethical Leadership There is a multitude of websites detailing the bad behaviour of organizations across the globe, from misleading advertising to faulty products, tax evasion, bribery, money laundering, blackmail, exploitative labour practices, abuse of human and employee rights, employing child labour and a litany of illegal activities. Fortune Magazine (2017) ran its list of the 10 biggest business scandals of 2017 – it included passenger assault (United Airlines), sexual harassment (21st Century Fox, Uber), fake news (Facebook), confidentiality breaches (Equifax), bribery (Samsung) and falsified records (Kobe Steel, Mitsubishi Motors). In most cases, but not all, leaders were not held accountable. It is not clear if the abusive behaviour was isolated or one-off and confined to a few employees or evidence of a process within organizations that nurtures and supports bad behaviour. Do the various reported incidents associated with the identified companies listed above reflect on or represent leadership styles? In the case of large multinationals, a question often posed is ‘Where are leadership and responsibility located – the head office or the branch office?’

It seems from Edelman’s Trust Barometer that findings of misbehaviour and illegal activity are accepted without surprise, and that they are expected to continue. The ongoing revelations around the institutionalized abuse of children in the care of state authorities and religious organizations given responsibility for their care, demonstrate the extent to which organizations (and the state) can close ranks and operate in denial and with impunity over a long period, despite extensive evidence in the public domain of systemic child abuse. It seems that in none of the countries where ongoing abuse occurred have those in leadership positions been held responsible for raising the question ‘Do unethical leaders use the organization as a shelter for bad behaviour?’. This underscores relational power, as it is those with hierarchical power who decide what counts as ‘misbehaviour’ and what will not (see also Chapter 3).

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As for leadership ethics, Ciulla and Forsyth argue that ‘The moral foible people fear most in leaders is personal immorality accompanied by abuse of power’ (2011: 235). It is difficult to untangle the many instances of organizational misbehaviour and assign responsibility and culpability. Many of the organizations found to be guilty of transgressions continue to operate. Companies with a record of adverse publicity surrounding their activities, such as Shell and Nestlé, continue to be successful and dominant in their respective industries. Many of the CEOs and boards of directors who were empowered with leadership were well rewarded and maintained their careers. In the murk of organizational behaviour, it is not clear where responsibility lies and what the place of leadership is in any transgressions. In any large organization, many employees may not know who the organizational leader (CEO) is, much less who is on the governing board of the organization. Followers may be considered by the courts to be responsible for illegal actions, but rarely is the CEO or the governing board held responsible. The problem with the leadership literature is that it personalizes the leader position, often assigns character traits and suggests that these personalities impact across the organization. This is difficult when the leader and the board of directors are unknown to the majority of followers (least of all consumers), especially where there is turnover at the top or at board level. The only leadership style experienced by followers is that of an immediate supervisor or line manager. Does the behaviour or style of line managers reflect the behaviour or style of upper-echelon managers and the board of directors? However, the leader, or more specifically the governing board, is rarely held responsible for illegal behaviour. In a worst- case scenario, an organization may suffer bad publicity, a decline in share price and may be fined by a regulator; rarely are there sanctions for ‘leaders’. That is, there is rarely a penalty or a responsibility for leadership, but there is a premium.

Pause and reflect

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While the drive for profit at all cost and personal greed are clear promoters of unethical leadership, what other factors can you think of that induce unethical leadership?

In the many case studies of organizational misbehaviour, it is difficult to assign responsibility, identify culprits and examine leadership styles. Misdemeanours may be supported by the state or by poorly drafted or porous laws. The complexity of organizations, especially transnationals with many subsidiaries, offshore holding companies and complex supply-chain relationships, makes the identification of responsibility and culpability more complex. Organizations, especially multinationals, are opaque, and the organization can survive evidence of illegalities on a large scale from forced imprisonment, tax evasion, to slave labour. For example, many of the key corporations that were necessary in supporting the Nazi Government in pre-war and Second World War Germany remain in operation today.

The UK-based Ethical Consumer (2018) uses a checklist to assess the ethics of organizations. It publicises the bad list and the good list. It has built up a database that covers five main criteria which in turn are divided into sub-categories (see Tables 5.1 and 5.2).

Table 5.1 Assessing the ethical behaviour in work organizations

Table 5.1 Assessing the ethical behaviour in work organizations

Criteria Sub-category

Animals Animal testing; factory farming; animal rightsand cruelty.

Environment Environmental reporting; climate change; pollution and toxins; habitats and resources; palm oil.

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Criteria Sub-category

People Human rights; workers’ rights; supply chain management; irresponsible marketing; arms and military supply.

Politics Anti-social finance; controversialtechnologies; political activity.

Sustainability Company ethos; product sustainability.

There are metrics and confirmatory evidence across many of the criteria. However, it is not clear where leadership fits into patterns of good or bad behaviour.

Table 5.2 Classifying ethical behaviour in organizations Table 5.2 Classifying ethical behaviour in organizations

Five best ethical retail Lush, The Co-op, Marks and Spencer, John Lewis, WH Smith

Five least ethical companies Amazon (tax evasion; employee conditions);

ASDA, Walmart (employee conditions; product sourcing);

Nestlé (irresponsible marketing; genetically modified inputs and palm oil);

Tesco (product sourcing; supplier management);

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Coca-Cola (employee rights; environmental management).

Boycott list (NB The full boycott list is extensive and is available at www.ethicalconsumer.org)

Air France, Amazon, BP, Cadburys, Fed Ex, Kellogg’s

Magazines such as Time, Fortune and Forbes run regular listings of the world’s ‘best’, or in some cases ‘most influential’ leaders. This does not equate with ethical leadership. In terms of the analysis of leadership, there are a number of questions that should be addressed. First, whose leadership – in many of the management texts and articles, it is assumed that there is an identifiable leader, but is this the case, especially for large organizations? Second, what does leadership mean – is it exercised through behaviour, through decisions or outcomes? Finally, to what extent is leadership constrained – for example bylaws, organizational structure and governance, codes of practice? This raises the issue of how leadership is exercised and manifested. In large organizations, a context and framework can be developed that not only supports leadership, but supports ethical leadership to the extent that it is possible to consistently maintain high ethical standards within the organization regardless of who is the appointed leader.

Leadership in Action: Scottish shell firms ‘cleaning up’ Latin America’s political bribes

In what has been described as a ‘billion-dollar mega-scandal’, Scottish shell firms have been implicated as playing a core role. Three Scottish businesses, alongside another two from England, have been exposed as money-laundering vehicles for ‘international criminals’.

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The background Between 2014 and 2016, Brazil held the hosting rights for both the World Cup and the Summer Olympics. These kinds of events bring vast numbers of tourists and visitors to the host country and usually much new infrastructure is needed to be able to provide access to and house the events and provide venues to satisfy the need for accommodation and services that the temporary increase in population brings. Not surprisingly, building contracts for events such as these are both highly sought after and very lucrative. Investigations following the events identified that much of the work for both events had been awarded to one single construction company, Odebrecht, a Brazilian firm with a multi-billion-dollar turnover.

Further investigations uncovered a bribery ring that implicated Odebrecht in more than a billion dollars in bribes to secure the contracts. Odebrecht was also found to have committed bribery in the Dominican Republic, Panama, Angola, Argentina, Ecuador and Peru. Those being chased for accepting the bribes include several former presidents and vice-presidents and senior executives, all leaders in these and other countries.

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Scotland’s role A shell company is a firm with no current business activity or significant assets. Scottish shell firms have long been accused of being the ‘money laundering vehicles of choice for international criminals’. Previously linked with the ‘Russian Laundromat’ scandals, these corporate entities emerge as Scottish Limited Partnerships (SLPs), dubbed by many as ‘Britain’s homegrown secrecy vehicles’, and are established openly and following UK law. An Odebrecht executive has been identified as controlling 19 out of more than 40 offshore firms, including the SLPs in Scotland. For more than ten years, advocates have been fighting to have what they call dysfunctional money-laundering defences and emasculated British company law repaired in order to stop the support for corruption. In March 2018, British MP Roger Mullin accused the Law Society of complacency. This occurred after it publicly defended the legitimate use of the firms, suggesting that the issue goes beyond the legalities and that an end to the abuse of such shell firms can only be achieved through a change of ethics, to include the duty-based, deontological school and the consequentialist school where actions result in the good for the greatest number.

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Question Although an act is legal, this does not make it ethical. Either individually or in a group, give examples of actions by politicians and CEOs that lend truth to this statement.

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Sources Leask, D. (2018a) ‘Why it will take a change in ethics, not just rules, to end abuse of secret shell firms’, Herald Scotland, 8 March.

Leask, D. (2018b) ‘Scots shell firms play key role in Latin America’s bribery “mega-scandal”’, Herald Scotland, 3 February.

Leask, D. (2018c) ‘Peru leader accused of taking bribes through company based at Scots law firm’, Herald Scotland, 12 February.

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To explore this topic further see: Du, S. and Vieira, E.T. (2012) ‘Striving for legitimacy through corporate social responsibility: Insights from oil companies’, Journal of Business Ethics, 110 (4): 413–427.

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Context, the Rhetoric and Reality The discussions so far highlight the consequences of unethical leadership for organizations and people, usually innocent, generally. The remainder of the chapter will take a closer look at contextual factors, including organizational culture, human resource management (HRM), whistleblowing, digitization and artificial intelligence (AI).

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Organizational culture Organizational culture is frequently described as ‘the way we do things around here’ (see Chapter 4). Culture can manifest through formal channels, for example policies, or informally through actions and behaviours that may or may not resemble the rules of the formal. By and large, however, an organization’s culture is defined by the actions, behaviours and values of senior leaders. That is, where senior leaders exhibit a visible commitment to ethical principles, a ‘trickle-down’ or ‘tone effect’ occurs throughout the workforce. Returning to the ‘moral person–moral manager’ theme, an ethical leader will exhibit characteristics of honesty and integrity while taking visible action for holding people accountable for unethical behaviour. Conversely, a leader may behave unethically because they are outside the scope of common morality and therefore certain rules do not apply to them (Ciulla and Forsyth, 2011). Where a leader behaves unethically and accepts similar behaviour from others, unethical practices will become normalized through acceptance and, in some cases, rewarded (Brown and Treviño, 2006).

The culture in organizations can develop conditions that allow leaders to become unethical or ‘toxic’. Winn and Dykes (2019) explain how toxic leaders work with self-interest foremost in their minds, at variance with the goals of the organization and thus resulting in a ‘dysfunctional environment’. Where toxic leaders prevail, a hostile workplace occurs, resulting in negative but prevalent consequences that permeate the organization and have the effect of inducing ‘a stressful environment that adversely affects the subordinate’s professional and personal life … that costs organizations billions of dollars’ (Winn and Dykes, 2019: 38). The authors also provide evidence of strategies that employees at all levels may adopt to protect themselves and their organizations in order to thwart toxic leaders. In contrast to unethical leaders, Winn and Dykes advance a persuasive argument that ‘authentic leaders can build a culture where morale and improved organizational resilience’ can be achieved (2019: 38). Authentic leaders, according to the authors, will help build resilience at the department level by using a framework that

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includes establishing an overt, public set of values or an honour code to live by, including acting decisively and being supported by subordinates when they do.

An ethical leader promotes the confidence of employees, leading not only to improved worker engagement as an outcome of a leader trust relationship (Engelbrecht et al., 2014), but also employee wellbeing (Kalshoven and Boon, 2012). As mentioned above, an organization formally and ideologically committed to ethical leadership will demonstrate commitment through policy. Policy areas may include a commitment to corporate social responsibility (CSR), which here is defined as a self-regulating business model that helps an organization be socially accountable to its employees, shareholders and society. Williams (2016) argues that CSR is not so much ethical leadership in its own right but an outcome of ethical leadership. Other policy areas may include internal processes, for example HRM policies, which we will go on to consider now.

Pause and reflect

If ethical leadership is reflected in an ethical culture and ethical organization, is the same true for unethical leadership and culture?

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Human resource management (HRM) Often linked with reinforcing an organizational culture (see e.g. Bratton and Gold, 2017; Groysberg et al., 2018; Trompenaars and Hampden-Turner, 2012), HR practices are widely held to provide antecedents to an organization’s actual culture (Guerci et al., 2015). The authenticity of a leader’s ethical behaviour can be achieved through HR practices consistent with procedural and distributive fairness (Nankervis et al., 2017).

Although individual HR practices are not the focus of this chapter (see Chapter 9), it is important to acknowledge that all areas of HR policy and practice have an ethical dimension, and that some of these ‘ethical dilemmas may be neither apparent or easily resolved’ (Woodall and Winstanley, 2000: 278). Thus, key HR functions such as recruitment and selection, training and development, performance and rewards management all provide a piece to the ethical tapestry, where overarching values should combine to entrench employees within an ethical environment. This requires a commitment to ethical decision making and HR design from the HR leaders. For example, training programmes designed to create ethical awareness (see Bratton and Gold, 2017: Ch. 11) and ethical frameworks that can be applied to test managerial decisions before they are implemented, can all encourage ethical decision making. Reward and punishment systems that promote ethical behaviour, unlike those found in the Australian banking, superannuation and financial services industry sector (see end-of-chapter case study), are crucial (Nankervis et al., 2017). This is especially so where many firms create a downward spiral of financial incentives for outcome targets that can only be reached through taking short-cuts and, in some cases, behaving fraudulently or corruptly.

But HR practices are not simply about compliance, they are also about demonstrating values through responsible self-managed conduct (Weaver and Treviño 2001; DuBrin 2015). In a similar respect, Featherstone (2018) questions whether we are seeing a shift from institutional blame to the person-leader blame. That is, until recently, and from many of the above examples, unethical

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leadership is attributed to the organization. The focus of ethical leadership, however, includes the individual.

Critical Insight: The dark side of a leader’s power

The strategic management literature, for some time, has developed an interest in the psychological characteristics of executive management. One condition that has captured the attention of many is the negative effects of executive exaggerated pride or self- confidence.

Often, it has been this condition that many blame for unethical executive behaviours, including the global financial crisis. While there are some critical assumptions behind the emerging interest in hubris, there has been some evidence that this condition is increasing in senior and executive management. There is also evidence that claims that the increasing incidence is attributed to the positive connections between a hubristic personality and successful selection into higher-level jobs.

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Activity Read H. Bollaert and V. Petit (2010) ‘Beyond the dark side of executive psychology: current research and new directions’, European Management Journal, 28 (1): 362–76, and answer the following questions:

1. What do the authors claim is the danger of hubris fascination? 2. What are the differences between hubris, narcissism and

overconfidence? 3. What do the authors claim are the positive aspects of hubristic

behaviours?

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Whistleblowing: Is it Responsible Behaviour? Whistleblowing is a response by an organizational member to disclose what they view as a wrongdoing. For example, whistleblowers alleged that senior Wirecard executives in Germany were involved in suspicious transactions in Asia involving suspected forgeries, falsified documents and money laundering (McCrum and Palma, 2019). Whistleblowing has been associated with ‘ethical leadership’ through rights-based frameworks and freedom of speech (Velasquez, 2006). It has also been conceptualized as ‘responsible followership’ (Alford, 2008, see Chapter 13). Whistleblowing may be internal to the organization or external, although some argue that if a reported or disclosed issue is dealt with internally, then its reporting cannot be called whistleblowing (Grace and Cohen, 1998).

Ciulla and Forsyth contend that followers are enablers; that is, they permit leaders to do ‘good’ and ‘bad’ things, but followers also have a responsibility to ‘watch their leaders’ (2011: 235). However, the personal risk for whistleblowers and their families is often increased. In extreme cases, whistleblowers face relationship breakdowns, alcohol and drug abuse, job/career and/or personal reputation loss. A reason for this is that an employee has a duty to the employer whereby the psychological contract becomes a vehicle through which the employee remains loyal to the employer. The employer’s rights are to have employees with a sense of duty. Whistleblowing here is viewed as being a snitch or a grass (Fisher and Lovell, 2009), a violation of the employer–employee relationship.

The moral dilemma for the whistleblower occurs where the employee has a moral obligation to prevent a wrong. Here, an act of whistleblowing is justified as ethical leadership if it stops an employer from acting in a way that is likely to cause harm to others. This type of ethical leadership requires courage through the action of upholding high moral principles.

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Millennial Leadership, Digitization and Artificial Intelligence The generational group titled ‘millennials’ (born between the 1980s and early 2000s) is about to emerge as the primary generational group in employment and emerging leadership. Influenced by world events including 9/11, millennials face a workplace where digitization and increasing automation of jobs are possibly the only certainty. Just as occupational change will occur, so will the need for cultural transformation to enable organizations to be continually adaptive with a drive for ongoing learning (Nankervis et al., 2017). The Deloitte Millennial Survey identified that confidence in business ethics is at its lowest in four years (Deloitte, 2018). These results signal that ethical leadership is not only required but mandatory for the group that is not only the immediate future workforce but also consumers of those products and services provided by others.

Finally, the predicted increase in the use of AI to displace roles, responsibilities and decision making in organizations may seem to provide solutions to alleviate the risk of self-serving or unethical decisions and cultures, but is AI prepared to make ethical decisions, and by which framework or management style (Montague et al., 2019)? Some consider that AI may learn moral conduct through observation and in turn develop its own virtue ethics (Russell and Norvig, 2010, cited in Pavaloiu and Kose, 2017). But, can AI provide ethical leadership? The Australian company BrainChip has already developed human brain assimilation through neuron-processing units. If future ethical leadership cannot be the domain of AI, then it must be a job for the whole of society.

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Conclusion Leadership ethics are moral principles and values that influence the decision making of leaders within the organization. Key ethical frameworks include utilitarianism or consequentialism (whereby leaders’ actions and behaviours can be evaluated as right or wrong, or good or bad, according to their consequences), deontology or Kantian ethics (which is based on the premise that the motive for the action is more important than the consequences), virtue ethics (which does not require action but is embodied through the aspiration that individuals should lead a virtuous life) and rights-based ethics, as represented by the United Nations, which includes free speech, freedom from slavery and equal opportunity. These philosophical approaches to ethics affect the role of leaders in the workplace. In particular, they challenge the notion of what makes a good leader, where good is defined as both effective in terms of individual, group or organizational performance, and ethical. The study of leadership ethics is important at two levels: theoretical and practical. At a theoretical level, the literature on transformative leadership and ‘idealized’ influence behaviour may include the sharing of ethical values, such as ‘eco-centric values’ (Robertson and Barling, 2015). At the practical level, the ethics of leaders is important because they wield power and, concomitantly, their actions affect large numbers of employees and possibly communities.

The chapter has highlighted an array of cases across the globe to demonstrate ethical and unethical leadership, and critically explored ethical or unethical leadership from a range of perspectives and rationales. International cases have helped us to explore the rhetoric and reality of ethical leadership in a turbulent business world.

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Chapter Review Questions

1. Define ethics and ethical leadership. Can a leader be both effective and ethical?

2. Does your definition represent ethical frameworks, leadership styles or values and behaviours? Does it represent all three?

3. Is whistleblowing responsible followership? 4. What do you think are the three most problematic areas for ethics

with the increase in AI and smart technology?

Go Online

Explore the real world of leadership by reading this case study:

Transformational Leadership—Steve Jobs

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Mollie Painter from Nottingham Trent University discusses her work running a values-based leadership programme across Africa.

The video can be found at https://study.sagepub.com/bratton

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See the inside front cover for the access code and instructions.

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Further Reading Aedy, R. [Presenter] (2017) ‘Responsible leadership: beyond regulation’. This Working Life, Australian Broadcasting Commission, Sydney. Available at www.abc.net.au/radionational/programs/this-working- life/responsible-leadership/9011398 (accessed 14 March 2019).

Bachmann, B. (2017) Ethical Leadership in Organizations: Concepts and implementation. Cham: Springer, Chapter 3: Literature Review: The evolution of ethical leadership, pp. 27–63.

Ciulla, J.B. and Forsyth, D.R. (2011) ‘Leadership ethics’, in A. Bryman, D. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. London: SAGE, pp. 229–41.

Den Hartog, D. (2015) ‘Ethical leadership’, Annual Review of Organizational Psychology and Organizational Behavior, 2 (1): 409–34.

Frederiksborg, A. and Fort, T. (2017) The Sincerity Edge: How ethical leaders build dynamic businesses, Part II: From Integrity and trust to authenticity and sincerity. Stanford, CA: Stanford University Press, pp. 79–126.

Winn, G.L. and Dykes, A.C. (2019) ‘Identifying toxic leadership and building worker resilience’, Professional Safety, 64 (3): 38–45.

Assignment Task: Corruption Perceptions Index

Transparency International has issued the Corruption Perceptions Index (CPI) annually, commencing in 1995, ranking countries ‘by their perceived levels of corruption, as determined by expert assessments and opinion surveys’. The CPI, which is identifiable with the concept of ethics generally, defines corruption as ‘the misuse of public power for private benefit’. Each year this

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organization scores countries in terms of the extent to which their public sectors are perceived to be corrupt. Access the report at www.transparency.org/research/cpi/overview.

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Questions 1. Which country is the least corrupt? 2. Which country is the most corrupt? 3. In groups, research the five lowest-scoring countries and see if

you can come up with some reasons attributable to the low score.

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Case Study: Corporate hypocrisy – financial institutions using HR to launder unethical transactions

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Background An organization’s commitment to stakeholders in matters of reputation, and policing and managing fraudulent behaviour, could be no more important than it is in the banking and finance industry. Consumer trust in a country’s financial operators is required for the continuation of a healthy economy. Yet, the Australian finance sector has joined many of its global counterparts in acting in a manner that has exposed it to sensational allegations and findings of fraud and corruption through both retail and investment arms. In 2017, one of Australia’s big four banks was called to account for allegations of money-laundering activities that were being conducted unchecked and seemingly unnoticed through the bank’s ATMs.

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The policy Regulation of the banking sector occurs through both external and internal mechanisms. Externally, banking operations are kept in order by long lists of external regulations and legislation overseen by the government’s regulatory watchdogs. Transactions, foreign exchange, trade integrity and criminal activity are among many others in prescribing and regulating appropriate conduct. Internally, banking institutions have numerous policies that address the regulatory requirements through the identification of appropriate behaviours. Many of the internal policies are the domain of the HR department and are created to assist employees to work within the limits of the regulations through performance management and reward.

The ‘About us’ section on the bank’s website demonstrates a commitment to regulation and legislation compliance through its statements and policies. For example, the bank’s ‘Anti-Money Laundering and Counter- Terrorism Financing Disclosure’ statement actively embraces the requirements of customer due diligence, rigorous record keeping, monitoring and reporting suspicious activities and transactions as well as ensuring that all customer-facing staff are trained in and periodically reminded of detection and reporting processes. The bank’s personal commitment to fighting money laundering extends to additional internal policies that demonstrate a zero-tolerance approach to corruption, responsibility in product and service provision and an invitation for staff to adhere to a culture of speaking up on the occasions that they witness behaviour that is considered misconduct or fraud. Such cases are recorded as either ‘anonymous’, ‘confidential’ or ’whistleblower’ through a dedicated ‘speak up’ hotline. The Corporate Responsibility Report identifies over 200 reports that were registered through the ‘speak up’ programme in 2017.

Regardless of these and the other above measures, however, the bank in 2017 was accused of alleged ‘serious and systemic breaches of anti- money laundering and terrorism financing laws that could leave it exposed to massive civil penalties’ (Ryan, 2017). This case study provides a closer look at the allegations, as reported both through the press and empirical inquiry.

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The evidence The regulatory body Australian Transaction Reports and Analysis Centre (AUSTRAC) alleged that 53,700 transactions by the bank had failed to be reported. This amounted to $8.9 billion in deposits through the bank’s intelligent deposit machines (IDMs) before the bank conducted a money- laundering risk assessment. AUSTRAC’s allegation that the bank had failed to observe judicial prudence at the time of the transactions (November 2012 to September 2015) carried an A$18 million fine per offence. If found guilty and the penalty applied, the bank would be fined A$97bn, which is A$87bn more than its 2016–2017 profit (Eyers interview in Doogue, 2017).

Ryan (2017) cited the AUSTRAC claim that the offences were conducted as cash deposits through IDMs, which were immediately followed by international and domestic transfers. According to the AUSTRAC statement:

Deposits are automatically counted and instantly credited to the target account, which can be located domestically or internationally. IDMs can accept up to 200 notes per deposit, or up to $20,000 per cash transaction with no limit to the number of transactions made per day. (Ryan, 2017)

However, the anti-money laundering laws that the bank clearly proscribed to (above) required banks to report cash transactions of A$10,000 or more made through IDMs, resulting in the claim that the bank failed to ‘monitor IDM customers for money laundering risk’ (Ryan, 2017).

This anomaly between the laws and the loose limits on transaction rules meant that where transactions above the legal limits were being undertaken, there was no flag, either to the bank or to AUSTRAC (Lynch, in Letts, 2017).

However, even where automatic flags were absent, the policies outlined above identify training for ‘customer-facing’ staff to recognize and report suspicious transactions. Curiously, in this case, reports indicate that managers were reporting cases of people sitting on plastic milk crates for extended periods, feeding many thousands of dollars in to the bank’s IDMs (Eyers, in Doogue, 2017). It was also reported that bank staff witnessed people feeding vast amounts of cash into the machines and reported this up the line (Lynch, in Letts, 2017). Eyers (in Doogue, 2017) further stated that there were alerts when people were seated or standing too long at IDMs and bank staff sent internal emails flagging their concerns and suspicions of illegal activities to no avail. As such, the bank

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failed to act and the system broke down despite the number of alerts flagged by staff within the bank.

One interview respondent was quite candid as to the reasons why this might have been the case:

‘Oh well there are HR policies written down which are all lovely, but its how they apply … We’ve heard about AUSTRAC that was going for quite some time, about 3–4 years, people sitting on plastic crates and the staff blowing the whistle inside the organization and nothing was happening. See, even if you are a whistleblower and you have proven your case they continue to prosecute you and smear you, that is why the whistleblower policy isn’t genuine … So that is the whistleblower policy … they have a term for it, being a ‘good team player’. A good team player is somebody who does not rock the boat. I have passed information to people responsible and nothing will happen. If you are persistent you will be told, look you are not doing yourself any favours here, and in fact they might just think “well, we’ll just get rid of that guy because he is a troublemaker” (whistleblower1, Sydney, December 2017).’

The question of hypocrisy in the leader’s behaviours is salient in this case. Circumstances indicate a clear problem in the bank as it could be alleged that senior executive leaders and managers were asleep at the wheel and the lack of ethics signifies a major problem for the organization. The bank’s board of directors has declared that bonuses will not be paid to senior executives, although the chief risk officer at the time of the transactions, and who was the second highest-paid staff member, was reported to have left the bank in 2016 with a multimillion-dollar payout and his bonus intact (Eyers, in Doogue, 2017). The current plight of the bank highlights the many system failures throughout.

On 4 June 2018 ‘an agreement [was] reached between AUSTRAC and the Common-wealth Bank of Australia (CBA) for a 700 million Australian dollars penalty to resolve Federal Court proceedings relating to serious breaches of anti-money laundering and counter-terrorism financing laws’ (AUSTRAC, 2018).

Many of these executives hold tertiary qualifications and, in some reported cases, consider themselves to be honest citizens. So, what happened to these people? How did their ethics become so distorted that, on their watch as leaders, white-collar crime became rampant and so astonishingly destructive to many customers of these banks? Why is the ethical leadership in these organizations so appalling?

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Case exercise In groups, answer the following questions:

Who is holding the senior executives in check? How is it that leaders appeared to exhibit paralysis and atrophy when clear breaches were being reported? How do the leaders of these organizations rate on any ethical scale?

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Sources of additional information More information is accessible from the Australian Broadcasting Commission’s website at www.abc.net.au/news/story-streams/banking- royal-commission (accessed 18 September 2019) on which this article is based, as well as from the website for the Royal Commission into Misconduct in the Banking, Superannuation and Financial Services Industry at https://financialservices.royalcommission.gov.au/Pages/default.aspx (accessed 18 September 2019).

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Part II Leadership Theories

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6 Trait, Behaviour and Contingency Theories of Leadership

John Bratton

‘I went from VERY successful businessman, to top TV Star … to president of the United States … I think that would qualify as not smart, but genius … and a very stable genius at that.’

President Donald Trump, 2018

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Chapter Outline Introduction Leader traits and attributes Leader behaviour and styles Contingency theories of leadership Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

demonstrate knowledge and understanding of the early research on leadership traits, describe the research methods used, and explain why many of the early studies were contradictory or inconclusive; explain the University of Michigan, the Ohio State and the Blake and Mouton models of leadership; describe and critique early and contemporary contingency theories of leadership, including least preferred co-worker theory, path–goal theory and situational theory.

video

To learn more about contingency theories of leadership, don’t forget to watch the video conversation for this chapter online.

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Introduction Great leaders are said to ignite passion and inspire us to bring about change. Whosoever is deemed to be a ‘great’ leader is a matter of personal judgement and debate. In politics, Winston Churchill, Abraham Lincoln, Mahatma Gandhi and Nelson Mandela are frequently cited. In business, Mary Barra, Bill Gates, Annita Roddick and Gina Rinehart are cited. While gender and multicultural diversity are slowly transforming the selection, you are likely to choose alternative leaders based upon your own worldview and criteria. Donald Trump, for example, professes to be successful and a ‘genius’, but it is debatable whether he would occupy an elevated plinth as a ‘great’ leader.

This chapter will build on what you learned in Chapter 1, where the ideas of trait, behaviour and contingency theories were introduced. Early mainstream research focused on the role of individual traits to explain the differences between leaders and nonleaders, and leadership effectiveness. Critical reviews of trait research found, at best, the relationships between various traits to be generally weak for predictive purposes. The effect of these critiques was to shift the focus from studying traits that a leader ‘has’ to the study of how leaders ‘behave’. The foundational research on leader behaviours provided the framework for contingency theory. This theory is premised on the assumption that different situations or contexts necessitate different kinds of leadership.

This chapter begins with a review of the early and contemporary trait theories that investigate the role of individual differences in explaining leadership. We then move on to examine early behavioural theories and contingency models of leadership that encourage us to look beyond individual differences and consider the importance of contexts, follower development and situations.

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Leader Traits and Attributes The word ‘trait’ refers to a variety of enduring characteristics, typically belonging to an individual, including personality tendencies that determine an individual’s behaviour. Human traits exhibit four core properties. They: (1) are measurable, (2) vary across individuals, (3) exhibit time and situational stability, and (4) help predict attitudes and behaviours. Examples include extroversion, introversion, emotional intelligence and conscientiousness. In recent years, emotional intelligence (EI) has been considered a trait that may indicate effective leadership. EI refers to an individual’s inherent ability to recognize their own and other people’s emotions, together with the ability to use emotions to enhance thoughts and actions (Coleman and Argue, 2015; Mayer et al., 2000). Another theoretical framework for understanding personality is trait activation theory (TAT), which predicts that some events, situations or human interventions ‘activate’ a trait more than others. For example, in a supportive organization culture employees are more likely to behave pro- socially. TAT suggests that individual personality and the situation affect behaviour in the workplace (Judge and Zapata, 2015).

Pause and reflect

Looking at the chapter’s opening vignette, President Trump claims that he is a ‘genius’; even if true, do you consider that intelligence is positively related to leadership? What traits do you think make a person an effective leader?

Leadership in Action: Top personality traits of successful leaders

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The trait approach to understanding the leadership phenomenon still flourishes (see Zaccaro’s et al., 2018). A 2017 analysis of former Harvard dropout and Facebook CEO Mark Zuckerberg claimed that his top personality traits and characteristics included intellect, emotionality, immoderation, melancholy and gregariousness. The report went on to observe that ‘While Mark Zuckerberg’s top personality trait is his intellect, others, like his melancholy, may seem more surprising’ (Synder, 2017).

Other reports offer some reflection on less desirable traits exhibited by corporate leaders. In February 2009, there were demands that Sir Fred Goodwin, the former CEO of the Royal Bank of Scotland, be stripped of his knighthood for ruling over ‘a culture of reckless spending’. Giving evidence to the Treasury Select Committee of the British parliament, Goodwin and other former banking executives gave a ‘profound and unqualified apology’ for all the distress caused by the financial crisis (Farrell, 2009). In June 2017, Barclays’s ex- chief executive John Varley, and three other bank executives, Roger Jenkins, Thomas Kalaris and Richard Boath, were ‘charged with fraud committed during the banking crisis’ (Burns, 2017).

Trait research has attempted to identify the personality, social, physical or intellectual attributes that differentiate effective leaders from ineffective leaders. In terms of personality, the research has focused on the Big Five model, which proposes that five basic dimensions – extraversion, conscientiousness, emotional stability, agreeableness and openness to experience – encompass most of the significant variations in leader personality. Judge et al. (2002) found extraversion to be the most predictive trait of effective leadership. Also, trait research has found that effective leaders are endowed with intelligence, emotional stability and integrity. However, a plethora of reports put a spotlight on leaders’ personality characteristics not typically mentioned in academic research. Sports Direct CEO Mike Ashley allegedly conducted senior management meetings that were ‘effectively a “pub lock-in” with alcohol continuing to be served … following a drinking contest Ashley vomited into the fireplace “to huge applause from his senior management team”’ (Young, 2017). Travis Kalanick, ex-CEO of Uber, was forced to resign following revelations that he presided over ‘a culture of gender discrimination and sexual harassment’. The removal of Kalanick, it is claimed, is ‘“going to prompt some of the Silicon Valley tech bros to think carefully about who they select as their leaders,” said business ethics professor, Joseph Holt’ (Solon and Carrie Wong, 2017).

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Reflective question 1. To what extent, if at all, do these reports of past profligate

misdeeds by executives cast doubt on the trait approach to understanding effective leadership?

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Source Aldisert, L.M. (2018) ‘5 Must-Have Traits of Successful Leaders’, Success. Available at www.success.com/5-must-have-traits-of- successful-leaders (accessed 23 October 2019).

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To explore this topic further see: Granrose, C.S. (2001) ‘The challenge of Confucius: the generalizability of North American career assumptions’, in J. Kidd, X. Li and F.-J. Richter (eds), Maximizing Human Intelligence Deployment in Asian Business: The sixth generation project. London: Palgrave, Chapter 4, ‘Culture and leadership’.

Guthey, E. and Jackson, B. (2011) ‘Cross-cultural leadership revisited’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. London: SAGE, pp. 165–78.

As we have already covered, trait theories of leadership focus on personal characteristics, or intellectual attributes that differentiate leaders from non-leaders (see e.g. DeRue et al., 2011). Interest in traits to predict effective leadership began in the 19th century when ‘great leaders’ were generally regarded as superior individuals who, as a result of the fortunate inheritance of genes, possessed attributes important for effective leadership. Until the mid-20th century, trait theories and research flourished in the enduring quest to discover (1) specific psychological traits and attributes which would help explain whether an individual will emerge as an informal leader in a group, and (2) how traits and personal attributes are related to leadership effectiveness.

Image 6.1 Trait theories of leadership focus on personal characteristics, or intellectual attributes that differentiate leaders from non- leaders.

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Researchers used various methods to identify a universal cluster of leadership traits, including intelligence and personality testing, observation, and analysis of biographical data. To illustrate the trait approach, Table 6.1 compares two sets of data measuring traits with leader effectiveness. A word of caution: any interpretation of comparative data might differ because the researchers use different descriptors to describe similar personal characteristics. The attributes shown are cognitive ability and what is referred to as the five-factor or Big Five personality model.

Table 6.1 Key attributes related to leadership effectiveness

Table 6.1 Key attributes related to leadership effectiveness

1974–2002 attributes Stogdill Judge et al.

Cognitive Ability *r =

Intelligence 25 0.33

Personality

Extraversion 31 0.24

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1974–2002 attributes Stogdill Judge et al.

Conscientiousness 38 0.16

Openness – 0.24

Agreeableness 35 0.21

Neuroticism – – 0.22 Source: based on Stogdill, 1974; Judge et al., 2002, 2004 Note: *Coefficients have 95 per cent confidence intervals and 80 per cent credibility intervals that exclude zero

Cognitive ability has stood the test of time and is strongly related to leadership outcomes (Antonakis, 2011). The correlation coefficient is a statistical measure that calculates the strength of the relationship between the relative movements of two variables. In Stogdill’s 1974 review of leadership research, 25 studies found a positive relationship between intelligence and leader effectiveness. The average correlation coefficient was r = 0.28. More recent meta-analytic findings show that intelligence explains objective leadership effectiveness measuring r = 0.33 (Judge et al., 2004, cited by Antonakis, 2011: 277). However, correlations between measures of perceived leader effectiveness and intelligence are much lower. One explanation for this phenomenon is that an individual with a high IQ might not emerge as an effective leader because the relationship between the trait and outcome seems counter-intuitive to observers (Antonakis, 2011). For example, observers may not be impressed with smart managers because they have difficulty communicating their ideas to nonleaders.

Although using different descriptors, Stogdill (1974) and Judge et al. (2002) linked five personality traits – extraversion, conscientiousness, openness, agreeableness and neuroticism – with leadership effectiveness. Extraversion, which refers to assertiveness, dominance and being positive, was found to be important in 31 studies when reviewed by Stogdill and measured r = 0.24 by Judge et al. (2002). Conscientiousness, whose facets

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include determination, being goal directed and self-discipline and which was found to be important in 38 studies and meta-analyses, predicts leadership effectiveness and measures r = 0.16. Openness, which was not included in Stogdill’s review, refers to curiosity and creativity and measures r = 0.24. Agreeableness, which refers to sociablity, being trustful of others and empathy, was found to be important in 35 studies reviewed by Stogdill and had a correlation of 0.21 in Judge et al.’s (2002) research. Finally, neuroticism, which includes emotions such as anxiety, anger and depression, had a correlation of –0.22. Theoretically, effective leaders tend to have higher scores on assertiveness, conscientiousness and openness to new ideas and learning, and lower scores on neuroticism.

Considered singularly, Stogdill (1974) observed that traits have little diagnostic or predictive significance. Rather, specific ‘patterns of traits’ appear to interact in a complex way to give leadership advantage and are a ‘sensible modification’ of the extreme variant of the situationalist model (1974: 87). Judge et al. (2002) found that, taken as a whole, the Big Five personality model predicts who becomes a leader and leadership effectiveness. For Antonakis (2011) and Zaccaro et al. (2018), statistical analysis has established that valid traits can be useful in predicting leader emergence and leadership effectiveness, which helps explain the ‘renaissance’ in trait research (Zaccaro et al., 2001, 2015) and why business gurus continue to be ‘fascinated’ by the interface between the ‘intrinsic’ personality traits of leaders and a leader’s ability to influence followers (Swart, 2019).

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Critiquing the trait approach Although research on traits has given HR practitioners some benchmarks for selecting potential leaders and, as noted, recent statistical analysis (Zaccaro et al., 2018) has specified and validated multi-leader attributes, the trait approach has several significant weaknesses.

First, trait leadership research has largely neglected the context within which leaders find themselves. As Stogdill argued over 70 years ago, ‘if there were general traits that characterize leaders, the patterns of such traits were likely to vary with the leadership requirements of different situations’ (1948: 65, our emphasis). Zaccaro et al. make a similar observation, that researchers need to investigate the role of context as ‘an influence on leaders’ behavioural expressions of their attributes’ and that certain traits that promote behavioural flexibility increase ‘leaders’ capacity to adapt’ to their activities’ situational contingencies (2018: 48).

Second, trait leadership theory underplays followership in the leadership process. It focuses on trait variables and optimum performance and downplays what it is like to be a human being. As human beings, followers have different life experiences, vary in ability, motivation, role perceptions, emotional needs, and, together with how they behave in work groups, this affects the leadership process and outcomes. The heterogeneity of followers leads to a third criticism that trait models disregard three well- known dimensions of the social world: class, gender and race. Although Stogdill’s (1974) study reported an association between societal factors and leadership, how class, gender, race or sexuality work together to influence leader–follower relations is under-researched. For example, British research has persisently found that class impacts on school performance (Malik, 2018). While not emphasizing the social importance of individualization, some scholars maintain that class hierarchy is the central dynamic shaping modern society. And, therefore, in this context, it is unsurpirsing that few individuals occupying a senior leadership position had fathers who were from a working-class background (Eidlin, 2016).

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The philosophy and praxis of intersectionality are particularly interesting when seeking to understand and analyse the complexity and dynamics of leader–follower relations. Intersectionality has become a ‘hot’ topic in social science inquiry, and describes an analytical tool to help identify and challenge people’s life experiences and the organization of power in a given society or work organization, as shaped by their class, gender, race and sexuality all at the same time (Collins and Bilge, 2016). As a form of critical inquiry and practice, intersectionality helps us better understand, for example, that leader–follower relations are shaped not by a single axis of social division, be it gender or sexuality, but by many axes that work together and influence each other. Intersectionality as an analytical tool therefore gives us a better insight into the complexity of workplace human relations.

A fourth related criticism is that traditional trait leadership theorizing is culturally determined. Therefore, we may assume that what could be considered a positive personal attribute will be an issue for debate between Asian and Anglo-American scholars (Tse et al., 2012; Norton et al., 2015). Thus, traits regarded as desirable in individuals who will most likely be seen as ‘leader-like’ will differ radically in ‘masculine’ countries and ‘feminine’ countries (Hofstede, 2001; Minkov and Hofstede, 2011) and across cultures and time.

Finally, statistical research correlating traits and leadership raises an obvious criticism: do quantitative results actually establish a causal connection between traits and leadership effectiveness? Traditional statistical models underestimate the challenges of proving causations. Informed by critical realism, which acknowledges that social phenomena are intrinsically meaningful, and meaning has to be understood – it cannot simply be counted or measured (Sayer, 2000) – the study of causal inferences in traits-effectiveness research means that, in addition to establishing causal connections, researchers have to examine the mediating effects of other key variables, such as context, and followers’ shared meanings, attitudes and actions.

Critical Insight: Do traits predict effective leaders?

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Activity Search the Internet and identify three present-day leaders of private or public sector organizations, along with the special attributes that you believe each possess. Compare your list of special qualities with those of your peers and try to reach agreement on a ‘master list’. How many of the attributes on the master list match those listed in Table 6.1? To what extent was the 2008–09 global financial crisis (GFC) caused by leaders’ traits or context? Where there appears to be a relationship between personality and performance, do you think personality causes the outcome? What other variables could explain the relationship?

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Further information Lanchester, J. (2010) Whoops! Why Everyone Owes Everyone and No One Can Pay. London: Penguin.

MacKenzie, C., Garavan, T.M. and Carbery, R. (2012) ‘Understanding and preventing dysfunctional behavior in organizations: conceptualizing the contribution of human resource development’, Human Resource Development Review, 10 (4): 346– 80.

Martin, I. (2014) Making It Happen. London: Simon & Schuster.

Swart, T. (2019) ‘5 traits of super-successful leaders’, Forbes, 5 March. Available at www.forbes.com/sites/taraswart/2019/03/05/5- traits-of-super-successful-leaders/#25a224de31ff (accessed 16 September 2019).

The history of trait research has been described as a ‘roller- coaster’ (Antonakis, 2011). Interest was high up to the 1950s, but thereafter dropped right off until a resurgence in the 2000s. This was partly because the critiques of trait leadership theories at the time encouraged the focus to shift away from individual differences and more towards the importance of leaders’ behaviour and situational or contextual factors. We will go on to consider these theories now.

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Leader behaviour and styles We introduced the concept of leadership behaviour in Chapter 1. Whereas trait theories of leadership emphasize personal characteristics and provide a basis for selecting the right people to be leaders, behavioural theories of leadership, in contrast, focus on behaviour and infer that people can be trained to be leaders. Research shifted from thinking about leadership in terms of attributes that a leader ‘has’ to the reconceptualization of leadership as a form of ‘activity’; in other words, what leaders do, and in particular how they behave towards followers.

Since the early days of industrialization, it has been possible to identify a variety of styles of leadership. As noted, some employers devised a system of ‘scientific management’ to provide the means and justification for extending control over workers (Braverman, 1974). Other employers, notably the Quakers, believed that employers and managers should be paternalistic and nurturing in order to build a workforce that is productive and satisfied, and adopted what is called a benevolent paternalism style of leadership. The influential American Frederick Taylor extolled the notion of an organization as a ‘machine’ (Morgan, 1986), with an emphasis on the orderly arrangement of who does what and who has authority over whom. In the 1950s and 1960s, this kind of management thinking gave way to the ‘neo-human relations’ movement. This approach to work and people management believed workers were primarily motivated by their inherent need for self-fulfilment. Taken together, the new theories observed a disconnect between the employee’s psychological aspirations, management practices and leadership styles (Thompson, 1989).

The neo-human relations school is a backdrop to influential American research that focused on a variety of leadership behaviours in various contexts. Despite the use of different labels, these studies provided an analytical framework for comparing different types of leadership styles based on two main types of behaviours: task behaviours and relationship behaviours. Task

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behaviours describes the extent to which the leader emphasizes productivity targets or goal accomplishment. These behaviours are also called ‘producton-centred’ and ‘task-orientated’ leadership styles. Relationship behaviours, on the other hand, describe the extent to which the leader is concerned about her or his followers as people: their needs, development and problems. These behaviours are also called ‘employee-centred’ and ‘person- orientated’ leadership styles. Two well-known studies at the University of Michigan and the Ohio State University provided the foundations for behavioural theories of leadership.

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University of Michigan studies The studies conducted by Katz and Kahn (1951) at the University of Michigan focused on the effect of the leader’s behaviour or style on work performance. Based upon responses to a questionnaire, the researchers identified two discrete types of leadership behaviours, which they called production orientation and employee orientation. Leaders classified as being production- orientated emphasize the production and technical aspects of work. Followers were viewed simply as a factor of production – as a means for getting the work done. Leaders classified as being employee-orientated give special attention to a subordinate’s personal needs, value their individuality, and generally approach followers with a strong ‘human relations’ emphasis.

In their early publications, the Michigan researchers conceptualized production and employee orientations as opposite ends of a single leadership dimension. This suggested that the leader who emphasized high levels of productivity was less concerned with followers, and the employee-orientated leader was less concerned with production. However, qualitative data shows that a leader can be production and employee orientated simultaneously. This dual orientation was illustrated by one participant who explained his job like this: ‘Keeping the section running smoothly; keeping the clerks happy; keeping production up; making impartial assignments of work’ (Katz et al., 1950: 21, and quoted by Wright, 1996).

Katz and his colleagues interpreted the qualitative data, for example ‘keeping the clerks happy’, as an example of employee- oriented leader behaviour, despite the fact of that particular participant citing ‘keeping up production’ as an important part of his job. As more research was conducted, the investigators reframed their views and no longer conceptualized concern for production and concern for employee as opposite ends of a single continuum. Rather, the two leadership constructs were conceptualized as independent orientations. Thus, leaders were seen as being able to show high concern for both production and employees simultaneously. With respect to effectiveness, the Michigan researchers found that employee-orientated leader

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behaviours were associated with higher group performance and higher job satisfaction among group members (Kahn and Katz, 1960).

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Ohio State studies While researchers at the University of Michigan were investigating the effects of leaders’ behaviour on performance, researchers at Ohio State University were investigating how leaders behaved when they were leading a team or an organization. The initial Ohio State research studied aircrews and pilots (Stogdill and Coons, 1957). The aircrew members, as followers, were asked a wide range of questions about their lead pilots, using the Leader Behaviour Description Questionnaire (LBDQ). The results suggested that there were two important underlying dimensions of leader behaviour (Halpin and Winer, 1957): initiating structure and consideration.

Initiating structure is leader behaviour aimed at defining and organizing work relationships and roles, as well as establishing clear patterns of communication, and ways of completing tasks. Consideration is leader behaviour aimed at nurturing warm working relationships, and encouraging mutual trust and respect among the leader and followers. The effective leader attempts to increase both initiating and consideration structure and to maintain a balance between the two (Stogdill and Coons, 1957).

The Ohio State researchers regarded initiating and consideration structure as being two independent dimensions. Therefore, they considered a leader’s behaviour to be flexible and capable of changing as the situation warranted. Leaders could be high on initiating dimension and not on consideration dimension, but equally could be high on both or low on both. This was one of the earliest studies that conceptualized leadership styles as anything other than a continuum and recognized the need for a rational understanding of situations. Although the University of Michigan and Ohio State studies were conducted separately, there is an obvious similarity between the two. What the Michigan group labelled ‘employee orientation’ is similar to the Ohio State team’s ‘consideration’, and Michigan’s ‘production orientation’ is similar to Ohio State’s ‘initiating structure’. However, the Ohio State approach measured both formal and informal variables. The Ohio team was especially interested in the differences between the

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leader’s formal responsibility and formal interaction with followers on the one hand, and the informal elements of leadership activities and interactions with followers on the other. The research seemed to indicate that leadership could derive from individuals who held no formal position in the organization (Grint, 1997b).

The behavioural approach to studying leadership led to the characterization of organization leaders as having particular leadership styles. At the University of Michigan, Rensis Likert’s research, spanning more than 25 years, culminated in what Likert calls ‘four systems of management’, which describe four general leadership styles. The four systems are: exploitative-authoritative, benevolent-authoritative, consultative and participative. Each system of management represents a distinctive leadership paradigm, or set of beliefs, values and assumptions that guide leaders. The key element differentiating the styles of leadership behaviour is the amount of empowerment or participation the leader allows followers in the decision-making process. In varying degrees, reviews of behavioural leadership research produced inconsistent and conflicting results (Korman, 1966).

Pause and reflect

Think about a successful manager you have studied. What pattern of effective leadership behaviour did she or he exhibit?

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The leadership grid Working independently of the Michigan and Ohio University researchers, Blake and Mouton (1964) addressed the limitations of early behavioural research. Their influential managerial grid, later revised and renamed the ‘leadership grid’, is based on leader styles similar to those found in the Ohio State studies. Blake and Mouton characterized the two main activities of leaders as involving a concern for results and concern for people. These two attitudinal dimensions are independent of each other. In different combinations, they yield a broad range of different leadership styles (see Figure 6.1).

The leadership grid provides a way of plotting the behaviours of leaders along the two axes. It is a nine-point scale, where 9 shows high concern people and 1 shows low concern. The various styles that leaders use as they attempt to accomplish results through followers can be found at different points of intersection of the two scales. Blake and Mouton focused on five major leadership styles – those plotted at the four corners and at the centre of the grid.

Figure 6.1 A diagrammatic representation of the leadership grid (adapted from Blake and Mouton (1964) and Northouse (2019))

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An authority-compliance style (9,1 on the grid) of leadership is characterized as having great concern for results (meeting targets) and little concern for people. This leader desires tight control in order to get tasks done efficiently and gives little consideration to human relations. In contrast, a team style (9,9) is characterized as having great concern for both people and results. This leader works to motivate followers to reach their highest levels of accomplishment, is flexible, responsive to change and understands the need for change. A country club style (1,9) has great concern for people and little concern for results, attempts to avoid conflict and endeavours to be well-liked. This leader’s goal is to keep followers happy through good interpersonal relations, which are more important to him or her than the task. An impoverished style (1,1) of leadership is often referred to as ‘laissez-faire’ leading. This leader has little concern for people or results, avoids taking sides and stays out of conflicts; he or she does just enough to get by. A middle-of-the-road style (5,5) has a medium concern for people and results. This leader attempts to balance a concern for both followers and results without a commitment to either.

The leadership grid model differs from the Ohio State approach in an important way. Whereas the Ohio State approach is descriptive and non-evaluative, the leadership grid is normative and prescriptive. According to Blake and Mouton, it is the 9,9 leader who achieves ‘the effective integration of people with [results] … by involving them and their idea in determining the conditions and strategies of work’ (1964: 142). Moreover, the 9,9 style, more than any other, is more positively associated with career success and organizational performance. This is the reason the leadership grid is often referred to as the ‘one best way’ approach. As an individual development tool, the grid supports changing the behaviour of leaders to move them all toward the team leadership style. Moreover, it considers leadership as the purview of the individual rather than as a collective and distributed concept (Harris and Gronn, 2008).

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Critiquing the behaviour approach Despite its application in early leadership management development (LMD), the behaviour approach has several limitations. First, like the trait approach, it has been unable to identify a universal style of leadership that could be effective in the vast majority of situations. Another criticism is that the behaviour approach suggests that the most effective leadership style is the so-called ‘high-high’ style, that is, high results and high people- oriented behaviour. However, extensive research in Anglo- American countries found only limited support for the universal proposition that ‘high-high’ leaders are more effective (Nystrom, 1978; Yukl et al., 2002).

A third criticism of behavioural theories of leadership is that they have not adequately demonstrated how leaders’ behaviours are associated with performance outcomes (Bryman, 1992). In his evaluation of behaviour taxonomies, Yukl observes that the ‘results from this massive research effort have been mostly contradictory and inconclusive’ (1994: 62). In general, behavioural taxonomies can only superficially explain leadership emergence and effectiveness. Leaders may have the right inherent traits or exhibit the right behaviours and still be ineffective, because those traits and behaviours are inappropriate for a particular situation or context facing the leader. Context is important too, which, in the mid-1960s, gave rise to researchers isolating situational variables to explain leadership effectiveness. We will go on to consider contingency theories next.

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Contingency Theories of Leadership The critiques of traits and the behavioural studies of leadership that identified two basic leader behaviour styles, one focusing on results and one focusing on people, provided the theoretical framework for contingency or ‘if–then’ theories of leadership (Bratton et al., 2005). In explaining the differences in management and leadership (see Chapter 1), we introduced the notion of contingencies by identifying some internal and external contingencies – strategy, government regulations or organizational design – that affect managerial behaviour.

Contingency, as it applies to organizational theory and practice, means that the effectiveness of a particular competitive or HR strategy, organizational structure or leadership or managerial style depends on the presence or absence of other factors or forces. Accordingly, there is no ‘one best’ way, structure or style. Instead, these factors must be gauged relative to the context, circumstances or other situational factors (Jaffee, 2001). The contingency theories, as they apply to leadership, propose that the appropriate leader behaviour depends on certain factors or contingency variables, including the task and the followers. Therefore, there is no one best behaviour or style of leadership, but, rather, situation X requires leadership behaviour or style B.

We next discuss Fiedler’s (1964) work that provided the general umbrella for House’s (1971) path–goal contingency theory and the widely known situational model developed by Hersey and Blanchard (1977).

Pause and reflect

Based on your own work experience or studies, do managers change their leadership style according to the task at hand or the experience of followers?

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Fiedler’s contingency theory Fred Fiedler’s contingency theory assumes that leaders are either task oriented or relationship oriented, an orientation that the leader cannot change. Task-oriented leaders are focused on accomplishing goals, meeting set targets and getting work done. In contrast, relationship-oriented leaders are focused on developing good, comfortable interpersonal relationships. The effectiveness of both types of leaders depends on the favourableness of the situation. The theory classifies the favourableness of the leader’s situation according to the leader’s position of power, the structure of the team’s task and the quality of the leader–follower relationships. Fiedler’s theory posits that the fit between the leader’s orientation and the favourableness of the leader’s situation determines the team’s effectiveness in accomplishing a task. Fiedler classifies leaders using the Least Preferred Co-worker (LPC) Scale (Fiedler, 1964, 1970).

The LPC Scale is a projective technique through which a leader is asked to think about the person with whom she or he can work least well (the least preferred co-worker, or LPC). The leader is asked to describe this least preferred co-worker using adjectives like pleasant versus unpleasant, friendly versus unfriendly, quarrelsome versus harmonious. Leaders who describe their least preferred co-worker in positive terms, such as pleasant, cheerful or friendly, are classified as high LPC, or relationship-oriented leaders. Those who describe their least preferred co-worker in negative terms, such as unpleasant, quarrelsome or gloomy, are classified as low LPC, or task-oriented leaders.

The LPC scale is a controversial element in Fiedler’s theory. Specifically, it has been criticized because it is a projective technique, with associated measurement biases and low measurement reliability (McMahon, 1972; Peters et al., 1985). The leader’s situation has three dimensions: task structure, position power and leader–member relations. Task structure refers to the number and clarity of rules, regulations and procedures for getting the work done. Position power refers to the leader’s legitimate authority to evaluate and reward performance, punish errors and

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demote group members. The quality of leader–member relations is an indication of the positivity of the leader’s relationship with their followers. Based on these three dimensions, the leadership situation is either favourable or unfavourable for the leader.

A favourable leadership situation is one in which the task is highly structured, the leader has considerable position power, and the leader–member relations are good. The most unfavourable leadership situation is one with an unstructured task, weak position of power for the leader, and poor leader–member relations. The three dimensions above combine in various ways to determine the favourableness of the situation. Fiedler posits that low and high LPC leaders are each effective if placed in the right situation. Specifically, low LPC (task-oriented) leaders are most effective in either very favourable or very unfavourable leadership situations. In contrast, high LPC (relationship-oriented) leaders are most effective in situations of intermediate favourableness.

What happens when a low LPC leader is in a moderately favourable situation or when a high LPC leader is in a highly favourable or highly unfavourable situation? Fiedler argues that leader orientation is difficult, if not impossible, to change. He recommends that the situation be modified to fit the leader’s orientation. A moderately favourable situation could be made more favourable to become a better fit for the low LPC (task- oriented) leader. A highly favourable or highly unfavourable situation could be changed to a moderately favourable one, which is a better fit for the high LPC (relationship-oriented) leader. There is considerable debate concerning the validity of Fiedler’s LPC model. While a large number of studies have been conducted, not all of them have supported the model, particularly when conducted in workplace conditions (Peters et al., 1985). It has also been pointed out that the LPC scale may not truly measure leadership style (Schriesheim and Kerr, 1977).

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House’s path–goal theory Robert House (1971) developed the path–goal theory of leadership, which has its roots in the expectancy theory of motivation (Vroom, 1964). Expectancy theory is based on the notion that work motivation is contingent upon the perception of a link between levels of physical or mental effort and reward (Bratton, 2020). In path–goal theory, the main task of the leader is to facilitate the follower’s path to the goal. The leader uses the most appropriate of four leader behaviour styles – directive, supportive, participative or achievement oriented – to help followers clarify the paths that lead them to work and personal goals.

The directive style is used when the leader must communicate expectations, schedule work and maintain performance standards. The supportive style is used when the leader needs to express concern for followers and create an organizational climate that demonstrates support. The participative style is used when the leader wants to share decision-making authority with followers. The achievement-oriented style is used when the leader must set challenging goals for followers, expect very high levels of performance and show strong confidence in the followers. Selective examples of contingency variables are shown in Table 6.2.

Table 6.2 Path–goal theory in action Table 6.2 Path–goal theory in action

Work characteristics

Follower characteristics Leadership style

Complex

Imprecise rules

Recalcitrant

Sclerotic Directive

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Work characteristics

Follower characteristics Leadership style

Stressful

Routine

Dissatisfied

Need for affiliation Supportive

Ambiguous

Unstructured

Need for empowerment

Need for clarity Participative

Multi-faceted

Challenging

High expectations

Motivated to learn Achievement oriented

The contingency variables identified in path–goal theory are the characteristics of the work environment (situation) and of the followers. Research has focused on matching leader behaviours to follower characteristics and environmental characteristics. For example, when tasks are ambiguous, directive leader behaviour is appropriate. When the environment is stressful, supportive leadership is appropriate (Maier, 1963; Valenzi and Dessler, 1978) When followers are ready to be empowered, participative leadership is appropriate. Followers who have high learning and achievement orientations need achievement-oriented leadership. These are but a few examples of the links between leader behaviour and the contingency variables. By selecting the appropriate behaviour style, the leader helps their followers achieve their personal goals. Leaders can try out several different styles in order to diagnose the situation and then apply the most appropriate behaviours.

The research support for path–goal theory has several limitations. First, the research support for the theory is weak (e.g. Schriesheim et al., 2006). Second, path–goal theory incorporates so many different aspects of leadership that interpreting the theory can be unclear. Third, the model neglects to explain adequately the leader–behaviour–follower motivation relationship. Fourth, the

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leader has to provide coaching to help followers achieve their goals, which assumes that the leadership is a one-way process and fails to recognize followers’ initiative and action.

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Hersey and Blanchard’s situational theory Developed by Paul Hersey and Kenneth Blanchard, the situational leadership model (SLT), like the path–goal theory, suggests that the leader’s behaviour must be flexible to reflect the situation. It posits that effective leadership depends on choosing the right leadership style contingent on the subordinates’ ability and motivation to perform a given task (Hersey and Blanchard, 1969, 1977; Blanchard et al., 2013). SLT employs two dimensions of leader behaviour drawn from the Ohio State studies: directive behaviour, which focuses on the task in hand (e.g. routine or nonroutine), and supportive behaviour, which focuses on followers’ job-related development (e.g. ability, training, experience). Followers’ development is the degree to which they are able or have the competence and willingness or commitment necessary to accomplish a given task or goal.

The principal tenets of SLT require a leader to appraise her or his subordinates and judge how competent and committed or motivated they are to perform and accept responsibility for completing a given task or goal. Followers who have low competence and low commitment are the least developed. Followers who have high competence and high commitment to accomplishing the goal are the highest in development, and in this situation there is little need for the leader to intervene. The followers’ development is categorized into four levels – low, moderate 1, moderate 2 and high – as shown in Table 6.3.

STL recommends that leaders adapt their leadership style to the ability or competence and commitment of the followers. It assumes that tasks and followers’ ability and commitment change over time, which means that a leader should adapt and become more or less directive or supportive to match the new situation. The four styles of leader behaviour – directing, coaching, supporting and delegating – associated with each level of follower development are shown in the table as well.

Table 6.3 Situational leadership in action Table 6.3 Situational leadership in action

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Follower development

Directive behaviour

Supportive behaviour

Leadership style

Follower development

Directive behaviour

Supportive behaviour

Leadership style

Low: Unable and unwilling High Low Directing

Moderate 1: Unable but committed

High High Coaching

Moderate 2: Able but variably willing Low High Supporting

High: Able and willing Low Low Delegating

Pause and reflect

The biopic Darkest Hour (2018), starring Gary Oldman, presents Winston Churchill as the imperturbable war leader with extraordinary rhetorical skills. After the war, as leader of the Conservative Party, Churchill lost the general election. If Churchill had the capacity to mobilize and unify people behind a collective endeavour in May 1940, why did he lose the general election in 1945? Was context a factor? If so, why?

Situational leadership theory recommends that a leader should use a directing style of leadership with low-developed followers who are unable (low competence) and unwilling (low commitment) to take responsibility for completing their work. This style is characterized by high concern with the task and less time on supportive behaviour. Adopting this style, a leader gives instructions about how the task is to be completed by the followers, and then controls them carefully. As followers develop to the second level, it is recommended that the leader adopt a coaching style, in which the leader focuses on both the task and

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supportive behaviours. The able (moderate to high competence) but with variable willingness (commitment) followers are the next most developed and competent and require a supporting style from the leader. This style is characterized by high supportive behaviour and low directive behaviour.

Finally, the highest developed followers are those who are both highly able and willing, therefore requiring a delegating style of leadership. The leader employing this approach offers less goal input and relationship support because the followers are highly competent and accept responsibility for completing the work. Task or directive behaviours are high in directing and coaching approaches and low in supporting and delegating approaches, whereas supportive behaviours are high in coaching and supportive and low in directing and delegating approaches. STL has intuitive appeal to many practitioners.

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Critiquing the contingency approach The contingency approach has the strength that it facilitates managers and leaders to become more context sensitive, flexible and responsive to peers (Graeff, 1983). Enhanced responsiveness to context and peers can emerge through the use of performance management tools. For example, 360-degree appraisal, which involves feedback from four groups of people – the appraiser (e.g. leader), the subordinate or appraisee (self- appraisal), peers and subordinates – can help to assess the need for leadership development (see Chapter 12) by giving managers and leaders the opportunity to see themselves through the eyes of others (Ayman and Lauritsen, 2018; Bratton and Gold, 2017).

There are, however, a number of conceptual and methodological limitations to contingency theories. All the theories incorporate multiple factors simultaneously into recommending a preferred leadership style, which is open to wide interpretation. A key methodological concern is that contingency theories do not explain adequately the causal effects underpinning the relationships they draw. The absence of central hypotheses does not allow for a reliable testing of the variability of dependent and independent variables. While some partial tests of contingency models have indicated support (e.g. Castro et al., 2006), others have not found a convincing relationship between situational variables and performance outcomes (e.g. Blank et al., l990). Gary Yukl concludes that ‘the evidence supporting contingency theories of effective leadership is weak and inconsistent’ (2011: 294).

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Conclusion In this chapter, we have addressed some evolving theories of leadership. These theories have attempted to explain how leaders emerge and direct or support their followers. We began with a consideration of the traits approach, which, despite its limitations, has consistently found a moderate association between intelligence and the Big Five personality attributes and various leadership outcomes. We noted, however, the doubts about the causal links between individual traits and attributes and organizational performance. We also reviewed early behavioural theories of leadership, which studied what leaders do and, in particular, how leaders behave towards subordinates. Two main types of behaviours were identified: results-driven behaviours and supportive behaviours. Finally, we examined three contingency theories. Considering contingencies and the situation in which leaders operate helps us to understand why leadership styles vary so much between one leader and situation to the next, and, therefore, they are an important part of the leadership process. Contemporary leadership theories have been built on the foundations of the early approaches we have just examined, and it is to these current prominent theories we now turn in Chapters 7 and 8.

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Chapter Review Questions

1. What traits would you look for in a person to be appointed to a leadership position in (a) HR department and (b) an IT department? How would the nature of the leadership position influence the traits you were looking for?

2. What traits are the best predictors of leader emergence and effectiveness? Why?

3. What do you feel is the primary contribution of the behavioural theories to our understanding of the leadership process?

4. What are the strengths and weaknesses of the early behavioural theories of leadership?

5. To what extent, if at all, should leaders change their style to the different development levels of their subordinates?

Assignment Task: Leadership traits

Form small groups of three to five people.

1. Using materials such as the Economist, Fortune, Forbes, Wall Street Journal or other management magazines, look up at least two articles on corporate leaders. Do the descriptions of these leaders’ behaviour fit any of the particular contingency theories examined in this chapter? What are the styles of leader behaviour that are cited most often (task oriented or people oriented)? What are today’s contingency variables that impact leadership? Do the articles provide any insight into the effects of ‘good’ leadership on organizational outcomes?

2. View the film Norma Rae (1979). This powerful film, based on a true story, portrays leadership among US textile workers. Reuben (Ron Leibman), a full-time union organizer, encourages Norma Rae (Sally Field) to recruit fellow workers in the plant. What leadership traits does Reuben have? What leadership traits does Norma Rae have? What implications do the events portrayed in Norma Rae have for managerial leadership?

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Go Online

Explore the real world of leadership by reading these case studies:

Now What? Now Who? A Mexican Small Family Business in Transition Leader–Member Exchange Theory: Barack Obama

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Erinn Woodside discusses how she led teams on the frontlines of Iraq and adapted her leadership style to suit an unstable environment.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Antonakis, J. (2011) ‘Predictors of leadership: the usual suspects and the suspect traits’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. Thousand Oaks, CA: SAGE, pp. 269–85.

Ayman, R. and Lauritsen, M. (2018) ‘Contingencies, context, situation and leadership’, in J. Antonakis and D. Day (eds), The Nature of Leadership (3rd edn). Thousand Oaks, CA: SAGE, pp. 138–66.

Graeff, C.L. (1997) ‘Evolution of situational leadership theory: a critical review’, Leadership Quarterly, 8 (2): 153–70.

Hannah, S.T., Uhl-Bien, M. Avolio, B.J. and Cavarretta, F.L. (2009) ‘A framework for examining leadership in extreme contexts’, The Leadership Quarterly, 20: 897–919.

Yukl, G. (2011) ‘Contingency theories of effective leadership’, in A. Bryman, D. L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. Thousand Oaks, CA: SAGE, pp. 286–98.

Zaccaro, S.J. (2007) ‘Trait-based perspectives of leadership’, American Psychologist, 62: 6–16.

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Case Study: Leadership training at Bluespire Technologic

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Background In post-Brexit Britain, it is predicted that employers across different employment sectors will face challenges to attract people with talent (Bratton and Gold, 2017). The term ‘talent management’ gained widespread use when, in a period of buoyant labour markets, Michaels et al. (2001) declared a ‘war for talent’. As the IT sector has grown in importance in post-industrial Britain, retaining talented IT specialists and line managers has become a top priority.

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Bluespire Technologic Bluespire Technologic is a medium-sized Scottish employer located in Dundee, 97 kilometers north of Edinburgh. The company develops software platforms that brings business information together in one place. Although based in the north-east of Scotland, the company serves a broad range of clients from multiple sectors throughout the UK, and employs 38 graduate IT and software engineers. Established in 2009, the company had no difficulty in recruiting or retaining its workforce in its early years. However, while the company has no difficulty recruiting new graduates, increasingly it has difficulty retaining talented staff. To retain staff and reduce recruitment costs, the company decided to introduce a leadership management development (LMD) programme for its six line managers.

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Investment in LMD One LMD programme the company CEO Brad Martin is looking at is the situational leadership model, which he believes will develop both line managers and teams, and improve manager–team member relationships within the company. The LMD programme is offered by a well-respected firm of management consultants. The CEO formed a senior management team to review the proposal. Prior to meeting, team members were asked to consider the following:

What specific leadership skills will the programme provide to line managers? How will the LMD programme fulfil a competence need as determined in line managers’ development plans? How will the LMD programme improve the individual performance of line managers and help retain talented staff?

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Team meeting At the meeting to review the LMD initiative, Joyce Donaldson, an experienced and well-liked senior manager, opened the discussion by speaking positively about the need for leadership training. ‘The LMD programme should encourage our line managers to treat their team members individually. It should also help our new graduates learn faster too’, she said. ‘Take, Phil, for example. He assigned the Southernrock Bank project to his team and allowed the team to determine how to accomplish the project. So, yes, if it empowers teams and we stop haemorrhaging talent, lets go for it.’

Not everyone agreed with Joyce’s position. Andrew, a senior manager, remarked, ‘It’s all well and good empowering teams but in my section, most team leaders have to give precise instructions on design issues, and team members need close supervision. Besides, I don’t see a LMD programme solving our retention problem.’

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Case exercise On your own, or in a group, provide a written recommendation to CEO Brad Martin on investing in a LMD programme. In your report:

1. Explain the style of leadership described by Joyce and Andrew, based on your understanding of the situational leadership model. Have the line managers treated team members in the wrong way?

2. Explain the strengths and weaknesses of the situational leadership model. The model suggests that when it comes to leading teams, no ‘one size fits all’. What does this mean?

3. Critically examine the argument that leaders’ leadership styles can have different causal effects on the performance of talented followers.

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Sources of additional information For more information on the situational leadership model, see Situational Leadership II, by K. Blanchard et al. (2013). Also go to http://enviableworkplace.com/wp-content/uploads/2010/04/Situational- Leadership-Model-overview.pdf (accessed 18 September 2019). Read Gary Yukl’s chapter, ‘Contingency theories of effective leadership’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds) (2011) The SAGE Handbook of Leadership, pp. 286–98. Read Butcher, D., Bailey, C. and Burr, J. (2016) ‘How leadership impacts organizational performance’, in J. Storey (ed.), Leadership in Organizations, London: Routledge, pp. 177–97 to explore the connection between leadership and performance.

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7 Charismatic and Transformational Leadership

John Bratton

‘The problem is, Theresa May has neither the strength, the cunning nor the charisma to bind her party’s long- suppurating wounds over Europe.’

Observer Editorial, 2017

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Chapter Outline Introduction The nature of charismatic leadership Neo-theories of charismatic leadership Transformational leadership Critiquing charismatic and transformational leadership Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain the meaning of charismatic and transformational leadership; explain what is meant by the charismatic and transformational approach to leadership; critique charismatic and transformational perspectives of leadership.

video

To learn more about the ‘dark side’ of charismatic leadership, don’t forget to watch the video conversation for this chapter online.

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Introduction That leaders should have ‘charisma’ is one of the most talked about issues in modern politics. After former British Prime Minister Theresa May’s 2017 ‘strong and stable’ election mantra evaporated, along with her sizable majority, May’s personal leadership qualities came under close public scrutiny. Many political pundits and her detractors agreed that she did not have that ‘quality’ to communicate effectively, to get people excited and then committed to her government’s programme. In contrast, the front-runner in the Conservative Party leadership contest to replace Theresa May, former foreign secretary Boris Johnson, is widely acknowledged as being the most charismatic politician of his generation (Parker, 2019). Other politicians acknowledged as charismatic include: wartime British Prime Minister Winston Churchill; American civil rights leader Martin Luther King; South African anti-apartheid leader Nelson Mandela; US President Barack Obama; First Minister of Scotland, Nicola Sturgeon; and New Zealand Prime Minister, Jacinda Ardern. The ability to use language to stir emotion, to persuade and to mobilize people can be called, for simplicity, the ‘charismatic effect’.

Charismatic and transformative leadership are two contemporary leadership theories that share a common theme in the leadership discourse: they view leaders as individuals who inspire others through language to change. When the charismatic leadership approach first emerged in the 1970s, it was considered so different from extant theories that it was described as ‘new leadership’ (Bryman, 1992). Charismatic and transformative theories of leadership are considered ‘close cousins’. While both take a leader-centred perspective on leadership, the focus is on a set of behaviours and skills that can be learned and developed.

This chapter starts by giving you a brief history of charisma before explaining the nature of charismatic leadership. It then examines transformational leadership, and discusses the similarities and differences between charismatic and transformational leadership.

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Finally, the chapter provides a critique of charismatic and transformational leadership.

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The Nature of Charismatic Leadership The English word ‘charisma’ derives from the Greek kharisma, itself drawn from the word kharis meaning favour or grace. It generally describes a speaker’s personal talent to ‘command and compel an audience’ (Perloff, 2010: 158). Charisma, some people believe, is that ‘something’ that differentiates Nicola Sturgeon from Theresa May, Barack Obama from Mitt Romney, and Nelson Mandela from Jacob Zuma.

Image 7.1 Charismatic and transformative leadership are two theories that share a common theme in the leadership discourse: they view leaders as individuals who inspire others through language to change. Charisma is that ‘something’ that differentiates Nelson Mandela from Jacob Zuma, and Barack Obama from Donald Trump. © John Bratton

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When charismatic organizational leaders put things into words and communicate through conversation, they can reassure, inspire and alter people’s perceptions of change. For example, every organizational change and the direction it takes originate in conversation. Every conversation or story and counter-story in meeting rooms and corridors has the ability to ‘push’ and ‘pull’ for differing interpretations of change (see e.g. Barry and Elmes, 1997; Baskin, 2008; and see also Chapter 13).

The theoretical foundation for the charismatic effect on followers is found in the writings of the ancient Greek philosopher Aristotle (384–322 BCE) and in the work of sociologist Max Weber (1864– 1920). In The Art of Rhetoric (Lawson-Tancred, 1991), Aristotle

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posited that persuasion is achieved using rhetorical means, which include the speaker’s personal character (ethos), stirring the hearers’ emotion (pathos) and using reasoned argument (logos). These three dimensions, or what can be called the ‘Aristotelian triad’, can be seen as a shell version of contemporary theories of charismatic leadership (Antonakis, 2018). It is important to note here, therefore, that the power of persuasion may be less to do with the leader’s personal qualities and more about the audience, when the speech stirs their emotions and meets their need for a visible personification of these deeper emotions. Communication scholars suggest that charisma is a personal attribute – command of language, use of non-verbal communication (e.g. hand motions, eye contact) – that can be cultivated, that many individuals may have and that some have more than others. If charisma is indeed something that individuals have, then it should be objectively verifiable. That is to say, we should be able to measure charisma and differentiate between a charismatic and a non-charismatic individual.

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Charisma as a relationship A related question is, ‘Once cultivated, can charismatic leaders lose their charisma?’ For instance, if we believe Martin Luther King to be a charismatic leader, then presumably he was charismatic all the time, throughout the day, as well as when he was giving speeches. Scholars suggest that context plays a role; for instance, size of audience, cultural dynamics and timing (Perloff, 2010); that charisma only emerges under certain situations – most notably when an audience is available. Further, an audience or followers may attribute high levels of charisma regardless of their leader’s rhetorical talent for being representative of, rather than distinct from, the audience itself (Platow et al., 2006). This suggests that charisma is not simply a possession but a relationship, not something individuals ‘have’ but something that others perceive (Bratton et al., 2005).

To take an example, some British people believed Winston Churchill to be a charismatic leader – but others do not, and it is these non-believers that pose the quandary. How can charisma be objective if it depends upon the belief and perception of others? And, if Winston Churchill were to be alone on a desert island, to whom would he be charismatic? The implication of these questions is that charisma, like beauty, lies in the eye of the beholder.

To return to the Greek origin of the word, charisma is not a ‘favour’ embodied in an individual because a ‘favour’ has to be given by another – it is essentially an exchange, not something you possess from birth or retain permanently. Indeed, the biographies of people that are recognized as charismatic inform us that it is only within a specific social context that charisma emerges. For instance, neither Winston Churchill, Martin Luther King nor Barack Obama were born charismatic, though, at a later stage of their lives, exceptional qualities were subsequently ‘recognized’ by their followers. Charisma from this perspective appears not to be a psychological phenomenon but is a social construct (Grint, 2000) and whether charismatics are effective leaders depends, to some extent, on the context.

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The ‘dark side’ of charismatics Charisma can be exploited for evil purposes, what others call the ‘dark side’ of charisma. For example, when exploited by psychopaths like Adolf Hitler, it can have dangerous, existential consequences. Work organizations are replete with leaders who are narcissistic and also display some behaviours associated with charismatic leadership (e.g. Conger and Kanungo, 1998). Some leaders at Enron, Tyco and WorldCom in the USA and at Royal Bank of Scotland and Carillion in the UK acted recklessly and unethically to further their own personal gain (see Chapter 4), and in some cases faced criminal proceedings for corruption and fraudulent behaviour. The lesson is that charismatic leaders do not always act in the best interests of their followers, shareholders or the communities in which they are based.

Pause and reflect

What is the ‘Aristotelian triad’? What relevance does it have to modern charismatic leadership?

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Weber’s theory of charisma Max Weber’s sociological writings were concerned with the rise of modernity and bureaucracy (Bratton and Denham, 2019). For the purpose of studying leadership, the importance of Weber’s sociology lies with his theory of domination. According to Weber, domination can be legitimate and illegitimate (coercive). Weber (1921/1968) was primarily interested in legitimate forms of domination or power, or what he called ‘legitimate authority’ that allocates the right to leaders to command and the duty of subordinates to obey. He argues that every form of rule attempts to establish and cultivate the belief in its legitimate authority. The starting point for his theory is his classification of legitimate authority into three types:

Traditional authority, in which compliance is due to the sacred nature of the office. Historically, this was the most important form of domination but it has declined, along with monarchies. Rational-legal authority, in which compliance is derived from the rationality of the authority. For example, people generally obey traffic laws because they appear to make sense, and not because police officers are charismatic or because they have some inherited authority. Charismatic authority, in which obedience is attributed fundamentally to the exceptional sanctity, heroism or exemplary character of an individual.

Weber established charisma as an important concept to describe a form of authority based on perceptions of an individual. He defines the term charisma as:

A certain quality of an individual personality by virtue of which he [sic] is considered extraordinary and treated as endowed with supernatural, superhuman, or, at least, specifically exceptional powers or qualities. These are not accessible to the ordinary person, but are regarded as of divine origin or as exemplary, and on the basis of

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them the individual concerned is treated as a ‘leader’. (1921/1968: 241)

Weber provided four related elements of charisma: (1) an individual of exceptional powers or qualities; (2) a social crisis; (3) a radical solution to the crisis offered by the individual; and (4) devoted followers. Weber posits that charismatic power, unlike traditional authority, is a powerful force for social change, which abandons traditional rules:

The power of charisma rests upon the belief in revelation and heroes, upon the conviction manifestations … are important and valuable; it rests upon ‘heroism’ … Charismatic belief revolutionizes men ‘from within’ and shapes material and social conditions according to its revolutionary will. (Weber, 1921/1968: 1116)

Charismatic leaders have no need to resort to force in order to persuade followers. Charismatic power is achieved by the voluntary acquiescence of these followers. Weber believed that charisma could not be analysed along a continuum; people were charismatic or they were not. This type of charisma can be called ‘pure’ or ‘strong’ charisma, to differentiate it from ‘weak’ charisma, which forms the basis of contemporary theories of charismatic leadership (Bratton et al., 2005).

Weber is emphatic that charismatic power emerges as a quality conferred on a ‘supernatural’ leader only during periods of ‘extraordinary’ social crisis. At such ‘moments of distress’, the charismatic leader ‘seizes the task for which he [sic] is destined and demands that others obey and follow him by virtue of his mission’ (1921/1968: 1112). However, the importance of a crisis situation offers an alternative understanding of charismatic leadership: not as a quality conferred on a leader but as a quality ‘projected’ on to a leader by virtue of situations, events and crises (Craib, 1997). For example, in 1940 following the evacuation of the British Expeditionary Force at Dunkirk, the British Prime

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Minister Winston Churchill demonstrated charisma. But Churchill’s charisma melted away like fresh snow in late spring after the war.

Although it might seem surprising, especially given the promotion of the 2018 film Darkest Hour, Ken Loach’s 2013 film The Spirit of ‘45 contains a clip from a newsreel showing Churchill electioneering on an open platform while being booed by the audience, which seems to contain many demobbed soldiers and sailors. Indeed, in 1945, the Labour Party in the general election defeated Churchill’s Conservative government. In Britain, Churchill is also remembered as a politician who had his share of failures and controversial views: for his rabid anti-union views, for example when he advocated a ‘shoot them down’ policy towards strikers during the labour unrest of 1910–14 (Hutt and Gollan, 1975: 60), and for his notorious comment about Mahatma Gandhi, ‘this malignant subversive fanatic’ (Guha, 2019: 359). In the 1960s, and after his release from prison after 27 years in 1990, Nelson Mandela, leader of the movement to end South African apartheid, moved an entire nation toward significant social change through the power of his ideas, charisma and oratory skills. In the 1980s, for a few years, it appeared that the British Prime Minister Margaret Thatcher also possessed charismatic powers during the Malvinas (Falklands) War with Argentina. However, her charismatic power had gone by 1990. Before and during his presidency (2009–2017), Barack Obama, to some, displayed charisma, elevating him to the nation’s ‘orator-in-chief’. He achieved this accolade by often organizing his speeches around the same structure as a sermon: beginning by finding common ground with the audience; bringing them down with a challenge; and concluding by lifting them up to higher ground than the opening (Kusnet, 2016). These examples serve to emphasize that charismatic power is conferred upon a leader by followers, but it can also be retracted. Weber devotes time to discussing how, in its pure or strong form, charismatic authority has a character ‘foreign’ to everyday life. Therefore, it exists only for a short period; periods of crisis facilitate charismatic leadership, and once a crisis has passed a charismatic leader needs to adjust to everyday life.

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Charismatic authority is a product of social relationships. While Weber did not provide a comprehensive exposition of the relational dynamics between a charismatic leader and followers, it is noteworthy that charisma formed part of his critique of bureaucracy, suggesting that at times ‘charisma is the great revolutionary force’ by changing attitudes and directions of action (1921/1968: 245, emphasis added). In the 1960s, scholars extended Weber’s theory of charismatic leadership to individual attributes and leader–followers dynamics (Conger, 2011).

Pause and reflect

Thinking about your own country, which leader – political, religious or corporate – would you describe as charismatic? Why? What role does context play in judging a leader to be charismatic?

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Neo-theories of Charismatic Leadership According to Weber’s definition, charisma only prevailed in a small group of people. For academics to co-opt charisma into leadership research, they had to use a ‘tamed’ or weaker version of charisma than that adopted by Weber (Shamir, 1999: 559–60). We examine next House’s and Conger and Kanungo’s theories of charisma.

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House’s theory of charisma House (1977) was one of the original academics who attempted to explain the behaviour of charismatic leaders and provide a theoretical explanation regarding the process charismatic leaders use to influence followers. House’s reinterpretation of charisma identified the necessary persuasive competencies to influence people and, importantly, proposed that individual-deference predictors of charismatic leaders might be empirically quantifiable. These insights were prescient and probably the most important in establishing the ‘foundations for how charisma is studied today’ (Antonakis, 2018: 63).

House argued that the charismatic effect was not the individual leader, nor the context, but the emotional interaction that occurs between a leader and his or her followers. According to House, charismatic leaders are those ‘who by force of their personal abilities are capable of having profound and extra-ordinary effects on followers’ (1977: 189). House called this reconstruction of charisma ‘organizational charisma’ (we call it ‘nurtured charisma’) since it implies no necessary connection to religion or prophecy, can be found amongst a wide group of organizational decision makers, and can be developed.

House and Shamir (1993) integrated charisma and theories of self-identity to explain how leaders engage followers. The term ‘identity’ is derived from the Latin root idem, implying sameness and continuity, but its precise meaning is contested. Sociologist Antony Giddens (1991: 52) writes that ‘self-identity … is not something that is just given … but something that has to be routinely created and sustained in the reflexive activities of the individual.’ As a theoretical model of charisma, House and Shamir (1993) proposed that leaders have extraordinary effects on followers, who are motivated by enhanced levels of self-identity that lead to personal commitment to the leader’s mission, self- sacrificial behaviour and fulfilment. Shamir et al. (1993: 582) argue that ‘charismatic leaders … increase followers’ self-worth … [and] general self-efficacy.’

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House (1999: 564) suggested that charismatic leaders accomplish significant achievements through the efforts of followers who are exceptionally loyal to the leader, have a high degree of trust in the leader, and are willing to make personal sacrifices in the interests of the leader’s vision and the collective, led by the leader. Contrary to Weber, House suggests that there are many charismatic leaders whose charisma did not diminish with time. Similarly, Bass (1999a: 546) observes that charisma can still be present in leaders beyond the moment of crisis. More controversially, perhaps, Bass posits that many charismatic leaders retain their charisma despite ‘failing to perform’ (1999a: 550). In essence, charismatic leadership can be effective because it ties followers and their self-identity to the organizational identity (Northouse, 2015). House’s notion of ‘organizational charisma’ forms the foundation of the ‘neo-charismatic leadership paradigm’ (Bratton et al., 2005: 208).

Critical Insight: Boris Johnson’s Brexit speech – an exemplar of charisma?

Go to YouTube and watch Boris Johnson’s 2018 Valentine’s Day ‘Brexit speech’. To better understand the ‘Aristotelian triad’ and its significance to contemporary theories of charismatic leadership, analyse Boris Johnson’s use of charismatic tactics in his Brexit speech.

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Activity As a guide:

1. How did Johnson’s personal character (ethos) come across? 2. What statements or words did Johnson use to stir the hearers’

emotion (pathos)? 3. What reasoned argument (logos) did Johnson employ?

Based on your analysis of his speech, to what extent will Johnson be seen as a charismatic leader? Of course, an operationalization of the Aristotelian triad in no way suggests that Johnson is effective as a leader. To help with the analysis, go to www.ukpol.co.uk/boris- johnson-2018-speech-on-brexit (accessed 23 October 2019).

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Conger and Kanungo’s theory of charisma Conger and Kanungo (1998) further developed charismatic leadership. They proposed that charisma is an attributional phenomenon. The attribution of charisma qualities to a leader is through a three-stage behaviour process. First, charisma is more likely to be attributed to a leader who articulates an attainable vision that will inspire follower collective action to achieve objectives that are necessary in fulfilling the vision. Second, a leader who creates an aura of confidence about the vision is more likely to be perceived as charismatic than a leader who demonstrates doubt and equivocation. Third, charisma is more likely to be attributed to a leader who uses unconventional and novel strategies or practices to achieve the vision. This three- stage process is said to engender high trust in the leader and enhanced follower performance.

As Weber (1921/1968) argued, contextual factors are important because attribution may be highly dependent upon the characteristics of the situation, such as an economic loss or turbulence and uncertainty or collapse of a company. Some organizational cultures may perhaps be more prone to charismatics; that is, where the context already supports unconventional and innovative approaches to problem resolution rather than resorting to conventional remedies (Howell and Avolio, 1993). A new software company, for instance, might be an appropriate example of the former (Cassidy, 2002), while a well- established, risk-averse bureaucratic organization might be an illustration of the latter.

A leader may engineer a ‘crisis’ to set the stage for demonstrating visionary leadership. As an extreme example, the French politician Marion Le Pen of the Front National engineered a sense of ‘crisis’ by talk of ‘swarms of migrants’ and ‘Islamic takeover’ fostering social divisions and the demonization of Muslims. Such narratives imply that not only is the context important where an objective crisis is self-evident (e.g. war, famine, bank collapse), but that individuals may just as surely perceive a crisis. Either way, people may be more susceptible to a charismatic leader and

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accept radical change. The idea that social crises can act as catalysts for change developed into a theory. The American economist Milton Friedman wrote the highly influential statement: ‘Only a crisis – actual or perceived – produces real change’ (1982: ix). This became known as ‘the crisis hypothesis’.

Two attributes are seen to be essential for charismatic leadership: the leader must be determined, self-confident and emotionally expressive; and their followers must want to identify with the leader as a person, whether they are or are not experiencing a crisis (Bass, 1990a). Conger and Kanungo do not consider a crisis, genuine or precipitated, to be a necessary condition for charismatic leadership. An individual can be validated as a charismatic leader by followers by communicating that the status quo is unsustainable and provide a new vision and strategy for the future. It is perhaps not surprising, therefore, that transformational leadership is considered as a ‘close cousin’ of neo-charismatic leadership.

Pause and reflect

To what extent is charismatic leadership more likely to be found in crisis situations? Is charismatic leadership better suited to private or public sector organizations? Why?

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Transformational Leadership In the 1990s, the theory of transformational leadership had become the ‘approach of choice’ for much of mainstream leadership theory (Bass and Riggio, 2006: xi). This development was, at least in part, prompted by research evidence, which showed that traditional leadership models, defined as ‘transactional’, only accounted for a relatively small percentage of variance in performance outcomes (Bryman, 1992). Research evidence on the new models, on the other hand, found that charismatic and transformational leadership are positively associated with a range of important individual (e.g. job satisfaction, motivation, commitment) and organizational (e.g. performance, innovation, change) outcomes.

Transformational leadership highlights the power of the human synergy between leaders and followers. Many writers use the terms ‘transformational’ and ‘charismatic’ leadership interchangeably. Burns (1978), an early theorist of transformational leadership, believed that ‘transformational’ leaders were the same leaders described as charismatic by his academic peers. Although charismatic and transformational leadership share some common features, there are important conceptual differences.

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Transactional and transformational leadership We can understand transformational leadership by contrasting it with ‘transactional’ leadership models, which are rooted in the employment relationship. Transactional leadership is primarily defined as an exchange relationship in which leader and follower are engaged in some kind of agreement, whether economic (e.g. reward), social (e.g. group membership) or psychological (e.g. self-esteem). Contingency leadership theories describe transactional leaders, who direct and nudge their followers toward established organizational targets by clarifying role and task requirements and giving support. The precise form of the exchange is negotiable but is bounded by mutual benefit (Burns, 1978). Indeed, these transactional exchanges constitute the ‘psychological contract’ – the implicit contract between employer and employee – which remains rooted in such an exchange process.

Pause and reflect

In Chapter 1 and above we discussed the psychological contract, a perceived set of expectations and understandings between employees and employers. How do transformational leaders in organizations define and maintain meaning and thereby influence the psychological contract?

In contrast, ‘transformational’ leadership is not an exchange process at all. Instead, according to Burns, leaders appeal to their followers’ sense of values beyond their own self-interests. It is possible for a leader to secure such a commitment from followers that satisfy the leader’s, rather than the followers’, interests. The objective of the transformation, however, has to be the benefit of the organization, not the benefit of the leader. Thus, for Burns, all transformational leaders are charismatic, but not all charismatics are transformational – those who are not are likely to be

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charismatic ‘power-wielders’ (cited by Bass, 1990b: 220). For Bass, transformational leadership occurs when:

leaders broaden and elevate the interests of their employees, when they generate awareness and acceptance of the purposes and mission of the group, and when they stir their employees to look beyond their own self-interest for the good of the group. (1990b: 21)

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Bass and Riggio’s transformational leadership model Bass and his colleague Avolio appropriated Burns’s notion of ‘transformational leadership’ to develop a similar model for organizational leaders (Conger, 2011: 89). At the centre of Bass’s model is the notion that transformational leaders are able to inspire followers to transcend their self-interests for the good of the organization. Whether related to organizational processes or products or services, all innovations begin with imagination and creative ideas produced by people and then implemented using organizational resources (Amabile et al., 1996). Transformational leadership theory suggests that leaders can create a culture which will facilitate informal learning and motivate followers to be performing at levels that exceed expectations. According to Bass (1985), the charismatic or ‘idealized’ effect is a necessary component of transformational leadership, but by itself it is insufficient to account for exceptional levels of performance.

In Bass and Riggio’s (2006) model, transformational leadership involves four essential behaviours:

Charisma or idealized effect: the leader must share ethical values and behave in ways that allow her or him to serve as a role model for their followers; Inspirational motivation: a leader must have the capacity to inspire and elevate employees’ motivation with challenging work and persuasion, to arouse ‘team spirit’, and achieve extraordinary outcomes at individual, group and organization level; Intellectual stimulation: the leader must encourage her or his followers’ efforts to be creative thinkers and innovate by questioning assumptions, the status quo, reframing problems, and approaching ‘old ways of doing’ in new ways; Individualized consideration: the leader must have the personal capacity to perceive and understand the individual emotions of her or his followers, to demonstrate concern for individuals’ needs, to help each employee to develop her or his skills and to be able to handle human relationships.

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Conceptually, the four behavioural elements of the leader mitigate or ‘augment’ the effects of traditional transactional leadership.

Figure 7.1 shows each of these elements in a schema of interaction between transactional and transformational leadership behaviours, which intervenes between the expected outcomes and the psychological contract between employer and employee. The social reconstruction of the psychological contract changes from a self to a collective base and results in employee performance beyond expectations.

There is great proximity between what Bass and Riggio are describing here and Blake and Mouton’s (1964) ‘concern for people’ leadership style discussed in Chapter 6. Bass and Riggio’s model acknowledges the role of emotional intelligence. This is the capability of a leader to identify and manage her or his own emotions, as well as the emotions of others (Goleman, 1995; Mayer et al., 2000), to facilitate creative thinking and to effectively manage emotions in relationships with other members in the organizations.

So how do transformational leaders link their vision to their employees’ growth needs and values? This, Bass and Riggio argue, is achieved by responding to individual followers’ learning and growth needs by empowering them. The leader’s vision is linked to their followers’ values through a ‘reframing process’ in which traditional issues are ‘reframed’ by leaders who, by appealing to their own vision and higher sense of morality and values, persuade followers to realign their own values to those of the leader and exert themselves above and beyond the contractual expectations. As such, anyone could demonstrate transformational leadership.

Figure 7.1 The augmented effect of transformational leadership (adapted from Bass and Riggio, 2006)

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In addition to the four behavioural elements of the leader, Bass and Riggio’s (2006) model includes two others: contingent reward and management-by-exception (MBE). The contingent reward component is related to follower performance on what needs to be done, with rewards offered in exchange for satisfactory accomplishment of the work. This component, therefore, though important, has the primary and deleterious side-effect of establishing a transactional or instrumental relationship between leader and follower (Burns, 1978). The follower learns that reward is contingent on work done.

The management-by-exception component consists of ‘active’ management-by-exception, in which leaders carefully monitor followers’ actions. In contrast, in the case of ‘passive’ management-by-exception, leaders only involve themselves when things go wrong so that their intervention is always associated with failure and admonishment.

Leadership in Action: Entrepreneurial charismatics or an entrepreneurial state?

In the media and popular management magazines and books on leadership, we read a lot about how the engine of innovation in Silicon Valley lies in its charismatic entrepreneurs and venture capitalists. According to this storyline, the fast-moving, risk-loving and pioneering charismatics and the private sector are what drive innovation. The charismatic and transformational theories of leadership tend to reinforce this popular narrative. The common

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conception of the role of risk-taking charismatic entrepreneurs is reflected in an article in the Economist:

Governments have always been lousy at picking winners, and they are likely to become more so, as legions of entrepreneurs and thinkers swap designs online, turn them into products at home and market them globally from a garage. As the revolution rages, governments should stick to the basics.

Economist Mariana Mazzucato challenges this common conception of innovation. Her book highlights the importance of context and, in particular, the role of government and the public sector in the innovation process. Mazzucato (2013) presents a counter argument to that which portrays governments, at best, as merely facilitating the economic dynamism of the private sector; or worse, governments are slow, heavy-handed and bureaucratic institutions which actively inhibit innovation. She postulates:

The fabricated image of a lazy State and a dynamic private sector is one that has allowed some agents of the economy to describe themselves as the ‘wealth creators’, and in doing so, extract an enormous amount of value from the economy – in the name of innovation … This fabricated story hurts innovation and increases inequality. (2013: 3–4)

Contrast Mazzucato’s thesis with the leadership theories examined in this chapter; for example, Kouzes and Posner’s observation that ‘leadership is inextricably connected with the process of innovation’ (1997: 51).

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Reflective questions 1. What evidence supports Mazzucato’s thesis? 2. What evidence challenges her argument? 3. Does Mazzucato’s thesis debunk charismatic theories of

leadership? Why?

(Hint: Search the Internet and watch the presentation at the UCL Institute for Innovation and Public Purpose IIPP by Director Mariana Mazzucato speaking about the concept of value, with an audience Q&A chaired by Paul Mason).

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Source Economist (2012) ‘The third industrial revolution’, 21 April. Available at www.economist.com/node/21553017 (accessed 17 September 2019).

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To explore this topic further see: Mazzucato, M. (2013) Entrepreneurial State. New York: Anthem Press, pp. 3–4.

Thus, Bass (1985, 1997) and Bass and Riggio’s (2006) model of transformational leadership includes both elements of the ‘new leadership’ (i.e. charisma, inspiration, stimulation, consideration) and elements of the ‘old leadership’ (i.e. reward for performance exchange). Bass and Riggio use a multifactor leadership questionnaire (MLQ) and statistical analysis to evaluate the effectiveness of transformational leadership over transactional leadership. The predictive validity of the MLQ factors has been supported by meta-analyses (Banks et al., 2016). These results suggest a hierarchy, with the four transformational factors – charismatic, inspirational, intellectual, individualized – at the top, followed by contingent reward, and then management-by- exception. The results reaffirm a fundamental point emphasized by Bass (1985). That is, transactional leadership, particularly contingent reward, provides a broad basis for effective leadership, but extraordinary performance and employee satisfaction, commitment and loyalty are possible from transactional leadership if augmented by transformative leadership (Bass and Riggio, 2006).

According to Bass, the transactional and transformational factors are independent of each other. A strong transactional leader may well prove to be a weak transformational leader, but Hughes et al. (1999) suggest otherwise – that, in fact, strong transformational leaders are also likely to be strong transactional leaders. In other words, all of these factors act as related resources for a leader to use, but they tend to be good or bad across the entire range. The implication of this is that leaders tend to be effective or ineffective leaders per se, rather than concentrating on one specific motivational method.

A recent development in the charismatic/transformational literature is the charismatic, ideological and pragmatic (CIP) model of leadership (Lovelace et al., 2019). While in their

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prominent model Bass and Riggio (2006) define their main components in terms of leader behaviours, the CIP model emphasizes a leader’s ‘sensemaking’ process before outlining the resulting leader behaviours. The notion of sensemaking is that reality is an ongoing achievement which develops from efforts to create order and make sense of events or conditions (Weick, 1993). Upper-echelon charismatic leaders provide a sense of identity, emphasize a sense of shared experience, and provide direction toward an organizational goal while also empowering followers to use their own discretion to accomplish the higher- order vision (Lovelace et al., 2019). Through sensemaking, leaders help followers see the past and to envision what is ahead more clearly. ‘Ideological leaders’ use past events to provide a common reference point for followers to facilitate sensemaking activities by limiting the uncertainty and anxiety associated with thinking about an unknown change. The CIP model postulates that an effective leader is a pragmatist, solving complex organizational problems. A leader’s cognitive orientation (i.e. her or his prescriptive mental model) leads them to define problems, react to situations in a certain way, and emphasize certain skills or processes in their problem-solving approaches. Thus, a leader’s cognitive orientation strongly influences an organization’s response to complex problems, with significant consequences for various outcomes (Lovelace et al., 2019).

The Bass and Riggio model is probably the ‘most influential’ contemporary theory of leadership (Antonakis, 2018: 66), but it has received criticism for its tendency to be US-centric. An interesting question, therefore, is to what extent particular social classes, genders, ethnic groups or nationalities are more prone to the appeals of charismatic or transformational leadership. As Chapter 4 explained, cross-cultural studies seem to confirm the universality of some aspects of charismatic leadership, though the influence of leadership is particularly popular in the USA and significantly less so in Nordic countries (see House, 1999).

The connection between charismatic leadership and culture is illustrated by Finland. One Finnish word is hard to translate into English: talkoo, meaning ‘working together, collectively, for a specific good … cooperating, everyone together, equally’ (Henley,

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2018a: 24). In Finland, where cooperation and relative equality are recurring themes, employees may be less prone to the appeals of charismatic leadership. Indeed, there is a large body of research on the relationship between national cultures and what counts as good leadership and, most particularly, the influence of culture in enabling and constraining various forms of leadership (see e.g. Chapter 4, also Guthey and Jackson, 2011).

Pause and reflect

Thinking about the Finnish example, is the appeal of charismatic or transformational leadership more or less likely in an egalitarian society with relative equality? Why?

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Transformational leadership, innovation and change Numerous leadership writers suggest that leadership can help facilitate innovation and organizational change. Kouzes and Posner (1997: 51) argue that ‘Leadership is inextricably connected with the process of innovation.’ As noted already, leaders can facilitate change by communicating a vision in a way that inspires employees, challenging them to look at old problems in new ways. Kotter (2012), for example, emphasizes the importance of communicating a vision in generating a compelling case for innovative change. In effect, the Bass and Riggio model of transformational-transactional leadership is essentially an emotional bonding between leader and followers, which results in followers doing things they would probably not do under a non- charismatic leadership.

But having vision and oratorical skills cannot be enough to generate innovation because there are plenty of managers with a ‘vision’ and some communication skills that are ineffective for leaders in facilitating innovation or change. Employment relations scholars emphasize the value of employee ‘voice’ in the innovation and change process (Emmott, 2015). Employee ‘voice’ is the promise of an effective employment relationship built on trust and respect, which can be a key driver of workplace innovation and change.

Although it is not well understood, employee voice is the product of a culture where followers feel able to speak out, make suggestions and engage in decision making with a degree of confidence that they will be listened to and not penalized for doing so. The intellectual stimulation and individualized consideration domains in Bass and Riggio’s model act as antecedents or ‘enablers of engagement’ or ‘employee voice’, which, research suggests, encourage followers to be creative and innovative and open to change. In summary, transformational leadership must be inclusive, open and engaging, otherwise trust, knowledge creation and sharing will falter (see e.g. Adler and Kranowitz, 2005; Marchington and Wilkinson, 2012).

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Critiquing Charismatic and Transformational Leadership Although in some models charisma is only one element of transformational leadership, charismatic and transformational leadership are often treated synonymously. Mainstream leadership studies have criticized transformational leadership for its lack of conceptual clarity. It treats leadership as a personality trait rather than a behaviour or competency that people can learn (Bryman, 1992). Transformational leadership also reinforces the ‘heroic leader’ perspective (Yukl, 1999) because of its basic premise that it is the leader who inspires and mobilizes followers to do exceptional things. Further, it is argued that the charismatic nature of transformative leadership presents significant risks for organizations (Conger, 1999). Reverence and blind obedience to a leader can risk the Icarus paradox. Based on the fabled Icarus of Greek mythology, the Icarus paradox refers to the phenomenon of a business failing after a period of apparent success, where this failure is brought about by the very elements that led to its success (Miller, 1991). An apparently successful iconoclastic, charismatic and transformative leader can imperil an organization by overstretching resources and risk-taking. Arguably, the Icarus paradox and blind obedience to a transformational leader were factors that led to the epic implosion of the Royal Bank of Scotland. As one female bank employee put it, ‘Grown men saying they were too scared of Fred [‘Sir’ Fred Goodwin, RBS’s CEO] to give him bad news? Isn’t that a bit pathetic?’ (Martin et al., 2014; quoted by Bratton, 2015: 280).

Critical management theorists contend that charismatic- transformational leadership theories downplay the importance of power. The disposition of followers to attribute charismatic qualities is not because of reference to the leader’s personal qualities but by their location in the organizational hierarchy and, concomitantly, to economic power (Clegg and Dunkerley, 1980, 2005; Shils, 1965). The locus of charismatic qualities is never too far from the locus of power, yet it is striking that mainstream

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leadership scholars pay so little attention to the whole issue of relations of power, and the way it is distributed, directed and effectively contested in organizations. In terms of the employment relationship, charisma may be present in the act of obedience but it does not account for the whole act of obedience. Corporate leaders are attributed charisma (what we call ‘nurtured’ charisma) ‘simply by virtue of the tremendous power concentrated in them’ (Shils, 1965: 207). Thus, it is contended that charismatic and transformational leaders achieve, and expect, obedience by a combination of charismatic and rational-legal types of authority. This perspective helps to correct the tendency to ascribe greater causal power to charismatic and transformational qualities rather than to economic power or context.

Finally, ethical concerns revolve around the transformational leadership model (see Chapter 5). That persuasion by transformational leaders for followers to accept the need for ‘commitment’ by displaying certain behavioural competencies, simultaneously, as the spectre of precarious work is omnipresent (Hewison, 2016), alongside an acceptance of increased insecurity in the employment relationship, is arguably ethically deficient.

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Conclusion Charismatic-transformational leadership is a complex phenomenon and it is not fully understood. Research has tended to describe the power of charismatic leaders without explaining the actual processes that achieve obedience and inspire followers to do extraordinary things. Contemporary reinterpretations of charisma have emphasized the role of rhetoric in leading change and the way that rhetoric, from its classical Aristotelian definition until today, involves the capacity to communicate a vision and to ‘move’ people. Further, a leader who creates an aura of determination and confidence about the vision is more likely to be perceived as charismatic than a leader who demonstrates doubt and equivocation. Charisma is also more likely to be attributed to a leader who uses unconventional and novel strategies or practices to achieve the vision.

We examined the theory that the charismatic effect is a necessary element of transformational leadership, but emphasized that, by itself, it is insufficient to account for the transformational process. It seems that three other elements – inspirational motivation, intellectual stimulation and individualized consideration – are essential to transformational leadership. The CIP model, examined as part of the charisma/transformative literature, focuses on the complex cognitive processes of leaders, as well as recognizing the significance of followers and context.

Cross-cultural studies suggest that further research is needed on the influence of culture in enabling and constraining transformational leadership. But despite its limitations, transformational leadership appears to have become highly influential and an integral part of leadership and change management theory.

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Chapter Review Questions

1. What relevance is the ‘Aristotelian triad’ to contemporary theories of charismatic and transformational leadership?

2. To what extent, if at all, are transformational and charismatic leadership identical?

3. How do charismatic leaders maintain control over their followers?

Assignment Task: Leadership speeches

Form a small group and watch the two YouTube videos: Martin Luther King’s ‘I have a dream’ speech at www.youtube.com/watch? v=smEqnnklfYs and Steve Jobs’s most inspiring speech at www.youtube.com/watch?v=PAs867sz9oE (both accessed 27 September 2019).

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Questions 1. Both these leaders were regarded by many of their followers as

charismatic, but how is this represented in the videos? 2. Do Luther King and Steve Jobs need a group of followers in

their immediate presence to appear charismatic, or can they seem charismatic even when on their own?

3. Do they display similar behavioural and attitudinal characteristics?

4. Is a crisis or radical change a critical prerequisite for the appearance of their charisma?

Go Online

Explore the real world of leadership by reading these case studies:

Leader–Member Exchange Theory: Barack Obama Transformational Leadership—Steve Jobs

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Marianna Fotaki from the University of Warwick explains her work researching narcissistic leaders, and how the positive and negative attributes of these leaders can affect organizations and wider society.

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The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Antonakis, J. (2018) ‘Charisma and the “new leadership”’, in J. Antonakis and D.V. Day (eds), The Nature of Leadership. London: SAGE, pp. 56–81.

Bass, B.M. and Riggio, R.E. (2006) Transformational Leadership (2nd edn). Mahwah, NJ: Lawrence Erlbaum.

Conger, J.A. (2011) ‘Charismatic leadership’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. Thousand Oaks, CA: SAGE, pp. 86– 102.

Diaz-Saenz, H.R. (2011) ‘Transformational leadership’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. Thousand Oaks, CA: SAGE, pp. 299–310.

Lovelace, J.B., Neely, B.H., Allen, J.B. and Hunter, S.T. (2019) ‘Charismatic, ideological, and pragmatic (CIP) model of leadership: a critical review and agenda for future research’, The Leadership Quarterly, 30 (1): 96–110.

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Case Study: Leadership at Watson Winery

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Background In 2007, the Australian wine industry was booming, having had extraordinary growth in productivity, profitability and exports for over a decade. The industry contributed over A$40 billion a year to the Australian economy. A surge in the planting of vineyards resulted in an oversupply of wine, and by 2010, Australia was producing 20–40 million cases a year more than it was selling. Price discounting reduced profitability.

The industry’s woes impacted on Watson Wines. A family-owned company headquartered in South Australia, Watson Wines employed more than 1,500 people worldwide. Its brands were sold in over 100 countries, with its premium-vintage sparkling wine aimed at the more affluent export markets.

On retirement, George Watson, who founded the company, appointed his daughter Stella Watson as Chief Operating Officer. Stella’s management team included a General Manager of Corporate Affairs and Strategy, Oliver Taylor, who took pride in the fact that he had led the division during the prosperous years. Oliver had been with the company since its inception and was a lifelong family friend.

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The problem Stella had been keenly aware of falling sales, with the company’s financial reports mirroring the current crisis faced by other Australian wine companies. She kept abreast of the information provided by Wine Australia, and eagerly sought out any advice or help from others in the field. When Stella turned to Oliver for his guidance, she was surprised at how he remained committed to the current direction of the company; despite the signs it was no longer the logical path to take. He talked continuously about past achievements but could not articulate his vision for the future. When Stella suggested he reach out to his staff for new ideas, she was politely rebuffed. ‘My staff know what is expected and what our goals are,’ he remarked. ‘I don’t see any need to change what has been working so well for us.’

At a recent Wine Australia conference, Stella met a new business school graduate, Samuel Adams. He impressed her with his approach to the dire situation faced by the wine industry. Samuel spoke passionately about the benefits of employee engagement and spoke about employee input into corporate initiatives. Stella felt herself caught up in his enthusiasm as he described his vision: ‘In boom times we didn’t have to try too hard to sell wine, but things have changed. We have to be global-thinking now in order to survive. We can match any wine country in the world in terms of quality and technical ability, but we have to improve our marketing. We have to create a demand for our product again in the world market.’ Stella was particularly impressed with his idea that the industry needed to move away from the low-cost, high-volume model of the past and focus on producing high-quality wines.

Samuel’s ideas were not far from Stella’s mind when at a monthly staff meeting shortly after the conference, she was confronted with the reality of the lowest sales in ten years. Employee layoffs were imminent if conditions remained unchanged. Stella thought of Samuel’s vision and what he could do for her company if given the opportunity. She also knew that making a change to the leadership in strategy and market development would be the hardest decision she would ever face as the head of the company.

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Case exercise 1. Drawing from this chapter, how would you characterize Oliver’s

leadership? 2. In what ways do Samuel’s ideas about dealing with the challenges in

the Australian wine industry reflect a transformational leadership style?

3. What would you advise Stella to do in terms of the leadership in strategy and market development? What would be your justification?

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Sources of additional information Bartlett, C.A. (2009) Global Wine War 2009: New world vs. old, case study. Boston, MA: Harvard Business Publishing.

Charters, S., Clark-Murphy, M., Davis, N., Brown, A. and Walker, E. (2008) ‘An exploration of managerial expertise in the Western Australian wine industry’, International Journal of Wine Business Research, 20 (2): 138–52.

Williams, K.M. (2013) ‘A profile of cellar door personnel: an exploratory case study analysis of two Australian wine regions’, Journal of Human Resources in Hospitality and Tourism, 12 (1): 91–108.

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8 Relational and Distributed Theories of Leadership

John Bratton

‘A bullying genius may well destroy others who are not only human, but who given the opportunity and encouragement may be an equally valuable source of ideas.’

Mark Moody-Stuart, 2014: 268

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Chapter Outline Introduction Classical relational studies Contemporary theories of relational leadership Positivist dyadic relational perspectives Social constructionist group-level relational perspectives The growth of distributed leadership Practising distributed and shared leadership Evaluation and criticism Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain the nature and the benefits of follower-centric approaches to understanding leader–follower relations and the leadership process; understand positivist/entity and social constructionist perspectives on relational leadership; explain how dyadic and group relationship dynamics influence the leadership process; critically discuss the competing views of what distributed leadership represents in organizations; engage critically with important themes in team leadership.

video

To learn more about distributed leadership, don’t forget to watch the video conversation for this chapter online.

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Introduction The leadership theories we have described thus far have focused on the efforts of leaders in relation to followers in different situations. The emphasis of these leader-centric approaches to understanding leadership has been on how leaders engage and influence people in the organization. In this chapter, we introduce you to a development in theory building over the last three decades that shifts the focus primarily to followers and the role followers play in the leadership process. The field of ‘followership’ studies evolved as a strategy to solve a range of cooperation and coordination problems in work groups and self-managed teams (Bastardoza and Van Vugt, 2019). Follower-centric approaches cultivate the opinion that followers’ self-concept – how we perceive ourselves through attitudes, values, perceptions, emotion – directly influences the leader–follower relationship and effectiveness, which has given rise to relational and distributed leadership theories. Follower-centric theories explore leadership as an interdependent relationship that involves the human chemistry between leader and follower(s) in a purposeful relational process of influence (e.g. Shamir et al., 2007; Riggio et al., 2008). As a result of this symbiotic relationship, leaders and followers influence each other through the perceptions they hold about who they are, how they see others and their behaviours and actions. Another closely related stream of theory building focuses on the concept of distributed leadership. Distributed theories of leadership shift the focus away from leaders in hierarchical positions within the organization to viewing followers as reflective and proactive: as leaders across the organization.

We begin this chapter with a discussion of the genesis of relational leadership through the work of classical social theorists Georg Simmel (1858–1918) and George Herbert Mead (1863– 1931). It then proceeds to analyse dyadic and group relationships between leader and followers. It also explains why and how distributive leadership developed before providing an overview of how distributed leadership has been introduced in the workplace.

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Classical Relational Studies Studying micro aspects of human interaction is rooted in work on the sociology of mind first enunciated by the German sociologist Georg Simmel and developed by the American philosopher and social psychologist George Herbert Mead. These scholars advanced the idea that people not only shape the relations they engage in, but also are simultaneously shaped by reciprocal human interactions, and it is this insight that forms the basis of ‘new’ thinking on the leadership process.

Simmel regarded society as a myriad web of complex human interactions and relationships between individuals. For Simmel, society is constituted of a web of interactional forces between individuals and groups, and his focus on the concept of reciprocity emphasized that every single social phenomenon has meaning only through its relationships with others. As a social theorist, Simmel is attentive to the seemingly mundane nuances of everyday urban life, such as linguistic practices, human interaction in small groups, and the cultural implications of body language.

Simmel investigated the influence of numbers upon human relationships. For Simmel, the size of a group influences how individuals interact with one another. Adding new members to the group alters the group dynamics, since the increased number of relationships results in different configurations of interactions. He coined the terms ‘dyad’ and ‘triad’ to designate, respectively, groups consisting of two and three members. A dyad is a relationship of two; a triad has a relationship among three; and a quintet, with five members, has ten relationships. These are examples of forms in which group size affects the kind of relationships that are possible within it. As Figure 8.1 shows, when a third member joins a group to form a triad, the dynamics change: one new member brings two new relationships.

Figure 8.1 The incremental effect of group size on relationships

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If you have lived in a student residence, you should be able to recognize these group dynamics. Simmel’s treatment of the effects of groups size contains a paradox. In general, the larger the size of the group, the more its members can become dissimilar to each other, and the more independence and intellectual development can take place. This phenomenon has obvious implications for leading work teams.

Simmel’s most insightful observation is that the individual is not an isolated observer of the physical world, but a participant in human society whose personality is formed through social affiliation and interaction. He writes, ‘a man’s [sic] inner personal unity is based upon the interaction and connection of many elements and determinants’ (quoted in Bratton and Denham, 2012: 310).

This arresting idea influenced the work of George Herbert Mead. In his posthumously published Mind, Self and Society (1934/2015), Mead analysed in detail how the human self is created by social processes, emphasizing that the human mind developed thanks to cooperation and complex social relationships. He writes, ‘We attempt … to explain the conduct of the individual in terms of the organized conduct of the social group, rather than … in terms of the conduct of the separate individuals belonging to it’ (1934/2015: 7).

Mead’s theory of self incorporates the crucial condition of ‘reflexiveness’ – the ability to unconsciously turn back the experience of the individual upon themselves – for the development of the human mind. He noted:

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It is absurd to look at the mind simply from the standpoint of the individual human organism … it is essentially a social phenomenon … It is by means of reflexiveness … that the whole social process is thus brought into the experience of the individuals involved in it … Reflexiveness ... is the essential condition … for the development of the mind. (Mead, 1934/2015: 133–4, my emphasis)

Mead views the mind in terms of what it does, the role it plays in human interaction. He emphasized the significance of human intersubjectivity: a myriad of human interactions, individual self- reflection and meaning that is modified through social interaction. This Mead called the ‘act’ or, if other people are involved, the ‘social act’. After his death, Mead’s work became known as ‘symbolic interactionism’ (Bratton and Denham, 2019). While rarely acknowledged, Mead’s conceptualization of the social act looms large in the contemporary relational leadership theories which we discuss next.

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Contemporary Theories of Relational Leadership Since the 1990s, the relational leadership school of thinking has gathered ‘momentum’ (Epitropaki et al., 2018). The premise of relational leadership is that leadership is a two-way influence relationship between a leader and a follower, and the quality of the relationship affects attitudes and behaviours. For scholars, the focus is on the dynamic leadership relationship between leaders and followers in which influence is interactionally and dialectically achieved, leading to a reconfiguration of management practices and relationship development. There is no doubt that the work of Simmel and Mead has contributed to the analysis and understanding of relational leadership.

Leadership scholars have extended early theories, and subsequently focused on the nature of the vertical interactions leaders engage in with each of their followers. The relational leadership theory argues that leadership effectiveness hinges on the ability of a leader to create high-quality relationships with others in the organization. Thus, while leadership is always dependent on the context, the context is established by positive symbiotic relationships. Relational leadership has been defined as ‘A social influence process through which emergent coordination … and change … are constructed and produced’ (Uhl-Bien, 2006: 655).

This definition proposes that a relational orientation to understanding leadership starts not with an individual leader or follower but with social interaction, and views leadership as relationally co-constructed (Fairhurst, 2007). Relational-based research has examined the significance of a two-way influence relationship between a leader and a follower aimed at achieving shared (supposedly) goals (Graen and Uhl-Bien, 1995), relationships between a leader and a group or work team (Seers, 1989), and relationships within social networks (Balkundi and Kilduff, 2006). We shall examine examples of these diverse

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studies, but before we do, we need to take a sojourn into ontology debates, which is a branch of philosophy concerned with the nature of social reality (Bryman, 2015).

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Ontology and relational leadership The aim of this section is to help you understand the distinct ways to study relational leadership. Two ontological debates are of particular relevance to organizational researchers, and these revolve around two questions: ‘Does social reality exist independent of our perceptions?’ and ‘Is what passes for reality merely a set of mental constructions?’. The more we affirm ‘yes’ to the first question, the more we move towards the positivist position. Scholars holding this view maintain that there is such a thing as social reality, and the job of the researcher is to discover what that reality is. The more we affirm ‘yes’ to the second question, the more we move towards the social constructionist position. Scholars holding this view empathize with the German philosopher Friedrich Nietzsche’s (1844–1900) famous adage that there are no facts, only interpretations. Such scholars maintain that there is no objective social reality in which our views of the world can be tested.

For example, the workplace has rules and regulations and adopts standardized procedures for producing goods or services. Employees entering the organization learn and apply the rules and follow standard procedures. Thus, the organization is a social order that confronts individuals as an external reality beyond their influence and control. To a large extent, this represents the positivist position that advocates the application of the research methods of the natural sciences to the study of social institutions. The alternative constructionist position maintains that the rules and procedures are less rigorously imposed; indeed, a social order is internalized, challenged and created to some extent by employees through engagement. For example, one scholar conceptualized a hospital as one of ‘negotiated order’ (Strauss et al., 1973).

Ontological debates also revolve around two other questions: ‘Is social reality largely fixed, something that individuals and groups have to confront but over which they have little or no control, akin to the weather?’ and ‘Is social reality not necessarily pre-existing

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but fluid, and open to be shaped by individuals and groups through their social interactions and agency?’.

An affirmative answer to the first question means that you agree with the positivist position, and agreement with the second affirms support for social constructionism. Based upon these different ontological positions, we can divide relational leadership research into positivist and constructionist perspectives. These can, in turn, be classified into studies that focus on dyadic relationships and group-level relationships. Figure 8.2 presents a taxonomy of relational theories as well as selective authors.

Figure 8.2 A taxonomy of relational theories (adapted from Epitropaki et al., 2018: 112)

The next two sections examine two important streams of relational leadership theories: dyadic relationships from a positivist-based position and group-level relationships from a constructionist position.

Critical Insight: Leadership scholars as researchers

Ontological considerations cannot be divorced from issues concerning the conduct of leadership research because they affect how research questions are formulated and how the research is carried out.

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Activity Read Alan Bryman’s chapter in ‘Research methods in the study of leadership’, in SAGE’s Handbook of Leadership, edited by Bryman et al. (2011), pp. 15–28.

1. What research methods have dominated leadership research? 2. How does the choice of research methods reflect different

ontological perspectives?

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Positivist Dyadic Relational Perspectives Leadership theorists looking at relationships through a positivist prism treat leaders and followers as stable entities who have different roles in the organizational context. The focus of analysis is on individuals and their personal values, attitudes, perceptions and behaviours, and how they interact in relationships instrumentally in order to influence and accomplish mutual goals (Graen and Uhl-Bien, 1995).

Leader–member exchange (LMX) theory focuses on the quality of the dyadic relationship between a leader and an individual (see Figure 8.3). It argues that because followers are uniquely different, leaders should establish a special relationship with each of his or her followers, rather than treating followers as a homogeneous group. Thus, early research focused on the nature of the vertical linkages (or relationships) developed between a leader and each of his or her followers.

Figure 8.3 The vertical dyad

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Pause and reflect

Thinking of a lecturer (or manager) you know, does this lecturer or manager have favourite students/co-workers who make up an ‘ingroup’? If yes, are you corroborating LMX theory.

LMX research has studied multiple variables as potential antecedents of dyadic relationship quality, including contextual forces, operational imperatives, leader attributes, follower characteristics and interactional variables (Epitropaki et al., 2018). We will go on to consider these now.

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Antecedents of dyadic relationship quality The role of contextual forces and organizational imperatives, such as culture and reaching performance or quality targets, as one might expect, strongly influences the employment relationship and, in turn, the symbiotic relationship. For example, downsizing can have a negative effect on follower morale (Brockner et al., 1987), hinder followers’ learning capacity (Fisher and White, 2000) and dismantle social networks (Cascio, 2009). Strategic economic imperatives too are negatively correlated with LMX quality (Wajcman, 1998). National culture has also been identified as an antecedent of LMX quality. For example, high-quality LMX relationships are more noticeable to individualists than collectivists (see Chapters 2 and 4, and Anand et al., 2010).

The quality of LMX can be affected by leader attributes, such as emotional intelligence (Rosete and Ciarrochi, 2005), the personality trait agreeableness (Schyns, 2015), ethical behaviour (Mahsud et al., 2010) and support for HRM policies (Straub et al., 2018). The quality of LMX can also be affected by follower characteristics, such as the Big Five ‘super traits’ that underlie most of the significant variations in human personality. As you may remember from Chapter 6, and further discussed in Chapter 13, the ‘Big Five’ traits are conscientiousness, agreeableness, neuroticism, openness and extraversion. Personality-based research unsurprisingly suggests that followers high in agreeableness and conscientiousness and low in neuroticism tend to report higher LMX quality (Dulebohn et al., 2017).

LMX is both a dyadic and dialectical process, and therefore in order to understand it consideration must be given to the interactional variables between leader and follower. Perception is an example of an interactional variable. Liden et al. (1993) found that perceived congruence between follower and leader is important in determining LMX quality. Perceived high LMX quality is positively related to feelings of energy in followers, which, in turn, are related to greater involvement in creative work (Atwater and Carmeli, 2009). This finding underscores the importance of perception because it is through our perception that we decide

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what social reality is, and, perhaps even more importantly, perception plays a role in shaping the tone of employee relations in the workplace (Bratton, 2020).

Another interactional factor is the role played by the psychological contract, which you might remember from previous chapters is the informal set of expectations and understandings between leader and follower (e.g. Rousseau and Ho, 2000). The psychological contract represents a dynamic and reciprocal unwritten agreement that gives primacy to open-ended deals about what the follower and the leader expect to give and receive from the employment relationship. Over time, new expectations are added and the leader’s perceptions of the follower’s dependability, competencies and obligations evolve. We might therefore plausibly expect follower, as well as leader, perceptions of the psychological contract to affect LMX quality.

Consistency with this view brings to the fore the concept of equity, which is discussed in more detail in Chapter 13, as a potential antecedent of the LMX relationship. Individual followers expect to receive a similar ratio of inputs (e.g. effort) to outputs (e.g. pay) to comparable others. Arguably, this process of ‘social comparison’ has contemporary resonance in the 2017 controversy and backlash from female journalists about the extreme gender pay gap at the BBC (Ruddick, 2017).

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Differentiated LMX relationships Early LMX research of dyads found two broad types of relationships: those that were based on expanded role responsibilities, which were labelled the in-group, and a second type of relationships that was based on restricted role responsibilities, which were labelled the out-group (Graen, 1976). Just how a leader chooses who falls into an ‘in’ or ‘out’ group is ambiguious, but there is evidence that in-group members have attitudes, personality and demographic characteristics that are similar to their leader (Uhl-Bien, 2003). Members of the in-group receive more information, support and attention from their leader than do out-group members. Whereas in-group followers go ‘beyond the contract’ and do extra tasks for the leader, members of the out-group usually work to contract and leave work at the designated time (Dansereau et al., 1975). A number of prescriptions stem from this analysis: a leader may offer certain followers increased involvement in decision making and/or creative work. In turn, these followers may reciprocate by expending even more energy on and having a greater commitment to their work goals. If this happens, such followers become members of the in-group.

Less privileged employees who are not offered such a special relationship become members of an out-group. As such, they have a relationship with the leader that is formally prescribed, with the follower exerting a measured level of effort in exchange for a determined level of reward. Think of a manager or lecturer you know. Does she or he have favourites who make up an in-group? If the answer is yes, you are corroborating LMX theory. Followers are mindful of their relative standing in a set of differentiated LMX relationships. We might conclude that when followers perceive themselves to be in the out-group, there is a negative correlation with job satisfaction and wellbeing (Hooper and Martin, 2008). In the words of Epitropaki et al., ‘not all relationships are created equal’ (2018: 121).

Pause and reflect

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Why might qualitative research be more appropriate than quantitative research to examine group-level relationships?

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Social Constructionist Group-level Relational Perspectives Since its inception, differentiation has been an inherent assumption of LMX theorizing. Leadership theorists, adopting a positivist perspective, have produced three distinct streams of work: (1) perceived LMX differentiation (Hooper and Martin, 2008); (2) relative LMX (Hu and Liden, 2013); and (3) group-level LMX differentiation (Erdogan and Bauer, 2010). Perceived LMX differentiation seeks to capture the perceived variability of LMX relationships within a group, whereas relative and differentiation LMX work analyses the dyadic relationships in work groups, characterized by complexity and interdependency. These studies underscore the importance of context and role conditions.

In contrast, scholars adopting a constructionist position view relationships through a socio-cultural prism. Here self-concept is important. Focusing on the self emphasizes the panoply of diversity and the indeterminate nature of human interaction and lived experiences, which are ‘intersubjectively constructed in everyday interactions’ (Epitropaki et al., 2018: 124). It is important to remember that human interactions are embedded in cultural and linguistic contexts, meaning that verbal and non-verbal language, for example, can affect the type and quality of social encounters (e.g. Morgan and Smirchich, 1980; Charmaz, 2000). The constructionist approach to understanding the nature of relationships draws heavily from classical social theorists. In particular, Mead’s analysis of the social self is predicated on the belief that ‘individuals’, through language, social interaction and processes of socialization, learn to develop ‘selves’ within society (Bratton and Denham, 2019).

From a constructionist perspective, leadership does not exist as an entity, rather it emerges through processes of interaction and co-construction. There are core orienting principles that seem to be embedded in current conceptualizations of relational leadership: intersubjectivity, dialogue, reflectiveness and

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sensemaking. These principles, which have undeniable affinity with some aspects of Mead’s (1934/2015) work, have found expression in the work of the Russian psychologist Lev Vygotsky’s (1978) cultural-historical activity theory (CHAT), which examines the relationship between the human mind (what individuals think and feel) and activity (what individuals do). It rests on the assumption that consciousness is essentially subjective and shaped by the history of each individual’s social and cultural experience. Vygotsky argued that individual and group agency occur through interconnected human interaction.

We introduced the concept of sensemaking in Chapter 7. Sensemaking shapes human relationships, with the premise that social reality is an ongoing achievement that arises from efforts to establish order and understand the events that occur (Weick, 1993). The reality people construct is not fixed, it evolves, is co- constructed and relational (Gergen, 2009). Importantly, the dynamic relationship between leaders and followers imposes an ‘invisible hand’ on sensemaking. Thayer (1988) provides a noteworthy analysis of the process, the crux of which is the idea that a leader is one who shapes the [minds] of followers. He writes:

A leader at work is one who gives others a different sense of the meaning of that which they do by recreating it in a different form, a different ‘face,’ in the same way that a pivotal painter or sculptor or poet gives those who follow him [or her] a different way of ‘seeing’ … The leader is a sense – giver. (Thayer, 1988, and quoted by Weick, 1995: 10)

The crux of distributed theories of leadership is that the role of the leader as a ‘sense giver’ is not determined by the leader’s position in the organizational hierarchy, but by the two-way relationship between leader and follower.

The theory conceptualizes relational leadership as emergent, negotiated and co-constructed through ongoing interaction – a sensemaking process (Gittell and Douglass, 2012); arguably,

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processes that define what it is like to be a human being. These processes result in new ways of thinking and change (e.g. Barge and Fairhurst, 2008; Crevani et al., 2010; Gittell and Douglass, 2012). From this perspective, leaders, followers and contexts are all continually reconfigured in ways that either enlarge or contract the social ‘space’ possible for action (Holmberg, 2000). Put another way, ‘relationship’ is a verb, not a noun. This perspective has implications in that it shifts the focus from individual leaders or followers to emphasize that ‘leadership resides … in the between space of the relationship’ (Epitropaki et al., 2018: 125, emphasis added). It also has practical implications in helping sensitize leaders and managers to the importance of their relationships, the minutiae of everyday conversations, and mundane interactions with employees (Cunliffe and Eriksen, 2011).

Image 8.1 Relational theories conceptualize leadership as emergent, negotiated and co- constructed through ongoing social interaction. Group size influences how individuals interact. A dyad is a relationship of two; a quintet has ten relationships.

Interesting, Uhl-Bien (2006) suggests that relational leadership theory can encompass the two epistemological camps (positivist and constructionist) and span across two levels of analysis

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(dyadic and group). Epitropaki and her colleagues (2018) offer a bridge between these different paradigms. Figure 8.4 shows differential LMX relationships developing between an in-group of five followers and an out-group of four followers, as well as the ‘between space’ in which, for constructionists, leadership resides.

Pause and reflect

Look at Figure 8.4.

1. How does a team that increases in membership from four (six relationships) to seven members (twenty-one relations) change interactions, the ‘between space’ in which leadership resides?

2. How does understanding this conceptual model help you understand your experience of study groups at university?

Figure 8.4 Relational leadership processes (adapted from Epitropaki et al., 2018: 126)

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The Growth of Distributed Leadership Distributed leadership theories shifts the focus from hierarchy to heterarchy; from heroic to ‘post heroic’ leadership. The idea is that leadership resides not solely in senior individuals at the top of the organization, but in every person who, in one way or another, takes on the role of leader in a group or team (Gronn, 2002a; Goleman et al., 2002). The notion of distributed leadership is not a new concept, although it is called different things in the literature, including ‘dispersed’ (Gordon, 2010), ‘co-leadership’ (Vine et al., 2008), ‘shared’ (Conger and Pearce, 2009) and ‘rotated’ or ‘team’ leadership. The common theme underpinning the perspective is the lateral sharing of the leadership responsibilities throughout the organization and team. The various conceptualizations explicitly view it as an interactive collaborative process that brings to the fore human capability and the importance of relationships. It is associated with the critique of Taylorist and hierarchical work structures (Boltanski and Chiapello, 2018). Changing the design of work was accompanied by consensual employment practices, with employees acting in concert in informal roles across all organizational levels, and not confined to those with formal senior leadership roles (Bryman, 1999).

Distributed theories of leadership do not disavow vertical leadership, but propose that gifted leaders ‘lead from behind’ by empowering their subordinates (Spillane, 2007). Acting as a coach, rather than an ‘all-knowing’ expert, a leader’s prime responsibility is to facilitate the leadership of their direct line managers so they can be effective leaders in their unit (Hill, 2008). Distributive leadership is strongly reminiscent of Peter Senge’s work, which insists that, in creative organizations, ‘leaders are designers, stewards, and teachers’ (Bass: 1990b: 220, emphasis added), and echoes Mintzberg’s (1999) notion of ‘leading quietly’.

The purpose of the next section is to examine two primary leadership foci: distributed leadership and team leadership. So what does it mean to distribute or share leadership?

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Distributed leadership Researchers have conceptualized distributed leadership as an interactive process disassociated from the organizational hierarchy (Harris and Spillane, 2008). A compelling way to understand distributed leadership is the idea of ‘levels’ of leadership linked to different levels of strategic decision making (see Chapter 2, Figure 2.2). Executive-level leadership involves people with power practising strategy formulation (Parker, 2018). By contrast, distributed leadership involves people with less power engaged in operational activities, which, it is argued, can help the development of employee cohesion and vision building (Ensley et al., 2006). Distributed leadership has also been modelled around a set of competencies: problem solving, negotiating win-win solutions through team learning, and use of shared visioning to engage and empower employees (Lambert, 2002). As Burke et al. observe, distributed leadership is not ‘a pattern of highly differentiated roles, but several members adopting and exercising more than one leadership role, as the situation dictates’ (2011: 343, emphasis added). Research evidence suggests that distributed leadership has a positive relationship with performance outcomes (Ensley et al., 2006). However, as with the earlier leadership theories, as important as behaviours and competencies are in identifying effective leaders, context and the situation matter too. Underpinning the distributed perspective is the notion that managers can actually have more power if they devolve some power to a unit or team leader or, indeed, other employees not formally designated as leaders in the organization.

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Teams and team leadership Research and practitioner interest in distributed leadership and team leadership is not random but, as explained in Chapter 1, linked to particular corporate strategies generally responding to the crisis of capitalism (Boltanski and Chiapello, 2018; Mason, 2019). From the 1980s, concerns about the need to ‘re-engineer’ organizations (Hammer and Champy, 1993), to create ‘lean’ workplaces (Womack et al., 1990) and to meet the ‘Japanese threat’ (Bratton, 1992; Elger and Smith, 1994; Milkman, 1991) heralded a new organizational model in which the employment relationship is characterized by teamworking, flexibility and employee ‘voice’ mechanisms. In this context, research focused on the chemistry of teams and how leaders create and manage teams (Kaplan et al., 2009). Whereas bureaucracies emphasize control over people through the replacement of human judgement with the dictates of rules, regulations and structures, the self- management work teams (SMWT) movement proclaimed the need for redesigning organizations to allow members to undertake a wider range of tasks, including self-inspection, decision making and leadership responsibilities.

In terms of leadership theory, Table 8.1, showing the key characteristics of SMWT compared to bureaucratic work organization, emphasizes the importance and role of contextual factors in understanding leadership and HRM. For example, in a traditional hierarchical factory manufacturing identical components in large batches, leadership is autocratic with little, if any, scope for employee input into decisions. HRM tends to support this business model by implementing reward practices that emphasize ‘payments-by-results’ (the higher the number of widgets produced, the higher the pay) and the minimal training practices necessary to undertake the low-skilled, repetitive work. In contrast, SMWT places much greater emphasis on fostering a work culture in which team members can engage in decision making, quality control and leadership activities. To support this business model, HR reward practices are designed to encourage quality not quantity, and HR training extends to developing leadership skills. It becomes essential, therefore, to align HRM and leadership

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practices with a new organizational architecture and work practices (Danford et al., 2008).

High-performance team working is generally enacted through mutual leader–follower reciprocation: leaders develop high- commitment and trust-building work practices, and, in return, subordinates experience higher levels of job autonomy, involvement and leadership engagement (Boxall and Macky, 2009; Bridger, 2015). The model implies that, through team or rotated leadership, members experience (or perceive) higher levels of involvement in decision making and subsequently are more inclined to experience higher levels of job commitment and organizational engagement.

Table 8.1 Traditional and high-performance team models Table 8.1 Traditional and high-performance team models

Work characteristic Traditional focus

High-performance team focus

Competitive advantage Cost Quality

Resources Capital People andinformation

Quality What is affordable No compromise

Focal point Profit Customer

Structural design Hierarchical

Flattened and flexible

Work organization

Specialized and individual Flexible and teams

Control Centralized Decentralized

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Work characteristic Traditional focus

High-performance team focus

Labour Homogeneous Culturally diverse

Leadership Autocratic Distributive andshared

Culture Macho and rules Learning Source: adapted from Bratton and Gold, 2017: 434

Team leadership involves team members performing leadership functions as they relate to the operational work of the team (Erez et al., 2002), so that the member in charge at any moment in time is the one with the key relevant knowledge and ability for the aspect of the task at hand. Burke et al. have provided a definition, where they propose that team leadership is:

the enactment of the affective, cognitive, and behavioural processes needed to facilitate performance management and team development. (2011: 338)

This perspective defines the team leader’s main role as being to do, or get done, whatever needs doing to address team problems. Team leadership is conceptualized as any behaviour that helps the team identify task-related or person-related problems and generate and implement solutions. Zaccaro et al. (2001) propose that team leadership affects team performance and outcomes by effecting team processes: cognition, motivation, coordination and learning. For example, effective leaders affect cognition by instilling an understanding of the goals and each member’s contribution to performance. Leaders effect motivational processes through their planning and by the climate of the team in order to set team norms. Leaders impact team coordination by developing the team’s understanding of just-in-time practices and awareness of what resources are available to the team. Finally, leaders influence team and individual informal learning by

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coaching, mentoring and encouraging members to develop a ‘questioning frame of mind’ (Bratton et al., 2004: 53). Evidence suggests that work teams with shared or rotated leadership experience more consensus, more trust and less conflict than teams without shared leadership (Bergman et al., 2012).

Leadership in Action: Culture and harsh control in small teams

Globalization is often proposed as the unrestricted movement of goods and labour across state borders. However, the complex interweaving of transnational capital, national regulation and the nexus of business, local government and local culture are crucial to understanding the process (Poster and Yolmo, 2016). Multinational corporations (MNCs) have become a compelling focal point of the globalization process, as movers of technology and disruptors of local business and labour practices.

MNCs increasingly use a ‘flexible’ system of production in which their geography is dispersed, their functions are diversified, and their plans are changeable. Flexibility includes the use of work teams. While teams can have positive effects on productivity, many MNCs have encountered challenges in managing multicultural teams. These challenges are primarily related to team members’ different cultural understandings about their role in the team.

Amazon has long faced criticism over its treatment of warehouse workers. In the early days of Amazon, its founder and CEO, Jeff Bezos, instituted a rule: every internal team should be small enough that it can be fed with two pizzas. The goal was not to cut down on the catering bill. It was focused on two aims: efficiency and scalability. Teams can be harmful to employees’ health. A 2015 New Yorker exposé of Amazon’s practices described highly skilled employees ‘crying at their desks and suffering near-breakdowns from pressure they were under’ (Hern, 2018: 10). These reports highlight the centrality of culture and power in leadership. Effective leadership in MNCs must address cultural misunderstandings and power imbalances.

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Reflective questions 1. Have you ever worked in a group with members from different

cultural backgrounds? 2. Discuss how culturally-based misunderstandings or

‘disconnects’ can influence LMX quality.

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Sources Gibson, C.B. and Zellmer-Bruhn, M.E. (2001) ‘Metaphors and meaning: an intercultural analysis of the concept of teamwork’, Administrative Science Quarterly, 46 (2): 274–303.

Hern, A. (2018) ‘The two-pizza rule and the secret of Amazon’s success’, Guardian. Available at www.theguardian.com/technology/2018/apr/24/the-two-pizza-rule- and-the-secret-of-amazons-success (accessed 9 July 2019).

Kokt, D. (2003) ‘The impact of cultural diversity on work team performance: a South African perspective’, Team Performance Management, 9 (3/4): 78–83.

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To explore this topic further see: Corgnet, B., Hérnan-Gonzalez, H. and Rassenti, S. (2013) Peer pressure and moral hazard in teams: Experimental evidence. ESI Working Paper, 13–01. Retrieved from http://digitalcommons.chapman.edu/esi_working_papers/57. Accessed 10 December 2019.

Mazzucato, M. (2013) Entrepreneurial State. New York: Anthem Press, pp. 3–4.

Pause and reflect

Look at Table 8.1.

1. What organizational practices and behaviours have the potential to practise shared leadership?

2. As a student, have you ever participated in a group to complete an assignment for a module? If so, did you have a group leader or did members take on different leadership roles at different times?

3. Does your group experience shed light on shared leadership?

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Practising Distributed and Shared Leadership The work characteristics in Table 8.1 are potentially the antecedents associated with leaders practising distributed/shared and team leadership. Here we group these factors into four main groups: structural and job design; HRM policies and practices; the role and behaviour of appointed leaders; and organizational culture and climate (see Figure 8.5).

Figure 8.5 Practising distributed/shared and team leadership

Structural or organizational design is the planning and implementation of a structural configuration of roles and modes of operation, often displayed in an organizational chart. Research findings consistently point to the significance of organization design in predicting the development of decentralized autonomous decision making and shared leadership (Mabey et al., 1998). Job design is the process of assigning tasks to a job, including the interdependency of those tasks to other jobs. Researchers have found that multi-tasking and autonomy in self- managed work teams (SMWT) are more likely to develop shared/team leadership (Katzenbach and Smith, 2005).

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As previously explained, HRM policies and practices can facilitate the development of distributed/team leadership (Danford et al., 2008). Pearce et al. (2014) found that recruitment, reward systems and training and development were linked to the development of shared/team leadership (Fausing et al., 2015; and see Chapter 9). Our final antecedent is culture and climate. Scholars have identified both as being important influences on group behaviour and shared leadership (e.g. Serban and Roberts, 2016; and see Chapter 4).

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Evaluation and Criticism In its current phase of development, research on relational and distributed leadership has made several positive contributions to our understanding of leadership. First, LMX theory has significantly increased our understanding of leadership processes through its focus on dyadic and group relationships. The theory directs managers to assess the quality of the relationship between the leader and each follower and to sensitize leaders to the importance of ‘difference’. Over time, LMX research has taken into consideration aspects of context, such as culture and its affect on dyadic relationships; for example, emphasizing the role of communication in the leadership process.

Second, the relational constructionist lens offers new insights into relationships beyond the dyad to multi-member networks of relationships, which increase in complexity as the group or team increases in numbers. As such, the relational leadership conceptual framework captures the essence of leadership as a rational, interactional, dynamic and multi-level phenomenon (Epitropaki et al., 2018). Third, a strength of distributed/shared leadership is that it appears to be an important predictor of positive performance outcomes at individual, group or team, and organizational levels of analysis (Wassenaar and Pearce, 2018). Further, shared leadership theories provide a cognitive guide that helps managers design and maintain effective teams (Northouse, 2015).

However, scholars have identified a number of conceptual and methodological weaknesses of relational and distributed leadership. First, LMX theory still remains ambiguous in its explanation of how the dyadic relationship develops. Also, it is unclear how single dyads affect each other and how, for example, income inequality in dyadic relationships affects overall group outcomes. Income inequality is high in the UK: FTSE CEOs earn on average 386 times more than workers on the national living wage. Wilkinson and Pickett’s (2018) new research focuses on the psychological costs of inequality. It is their contention that

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inequality creates greater social divisions and tensions, which in turn foster a lower tendency towards trust and reciprocity or what is known among sociologists as social capital. Third, research has shown that workforce diversity and diversity-related policies and practices contribute to organization performance (Ng and Stephenson, 2017), but there is a paucity of empirical research on how diversity affects dyadic and group relationships.

Turning to the limits of distributed and shared leadership theories, there are several issues to consider. First, there is debate among critical workplace scholars regarding the tendency of leadership researchers not to give sufficient consideration to economic (i.e. profit or cost-reduction targets) imperatives and asymetrical power relations (see Chapter 3). Shared leadership literature suggests that line managers should create and maintain a strong team- affective climate, which has been characterized by warmth, support, acceptance, sincerity and enthusiasm. But, as Wajcman (1998) reminds us, while the normative rhetoric may be ‘people- centred’, the reality is that powerful paradoxical demands dictate leadership behaviour that permits few substantial modifications from unpopular cost-reduction decisions, which will impact negatively on dyadic relationships. The notion of ‘paradoxical leadership’ has recently emerged in the literature, which highlights paradoxical imperatives at the centre of more follower-centric approaches to leadership (e.g. Lavine et al., 2014). Economic imperatives that dictate that ‘empowered’ and ‘engaged’ workers should do ‘more with less’, for example, will cause tension and the undermining of trust (Alfes and Langner, 2017; Francis and Keegan, 2018).

Second, while Wassenaar and Pearce (2018) conclude that there are many precursors that are likely to develop team leadership, there appears to be a marked insufficiency of research evidence about the extent of change in the practices, particularly outside the domain of education, which give expression to the central concepts of shared leadership (Leithwood et al., 2009).

Finally, while evidence mounts that high-quality LMX relationships (e.g. Martin et al., 2016) and team leadership (e.g. Pearce et al., 2014) can have positive effects on performance outcomes,

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numerous observers recognize significant methodological challenges. These have been summarized as measurement problems and over-reliance on single-source data, typically from HR managers (Anand et al., 2011: 321). Assessment of LMX from the leader’s perspective has found that agreement between leaders and members on perceived LMX is typically low – with correlations in the 0.2s (2011: 322). Given that much of the study of relational and shared leadership is actually about interaction and the behaviour of leaders and followers, mediated by culture and climate, it is surprising that qualitative research methods, such as observing leader–follower relations or interviewing the participants, are seldom used.

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Conclusion This chapter has emphasized the centrality of relationships in organizational leadership. There is so much material to cover on relational and distributed leadership theories that one chapter cannot deal adequately with all the complexities. By necessity we have been highly selective. We have reviewed the leader– member exchange (LMX) model of leadership, which describes how leaders interact and develop exchange relationships with different employees over time. This focus on difference therefore echoes contingency theories such as situational leadership (Bratton et al., 2005).

The chapter also explored relational leadership perspectives across two levels of analysis (dyadic and group) and two dominant epistemological perspectives (positivist and constructionist). We opined that the relational leadership approach captures what it is like to be a human being, as well as the essence of leadership as a rational, interactional phenomenon. We explained how interest in distributed leadership parallels the move towards post-bureaucratic designs, particularly the enthusiasm for work teams. The central premise of distributed or shared leadership is the idea that managers in hierarchical positions can actually gain more power if they delegate and share power with line managers and team leaders. We made the observation that distributed or shared leadership can improve organizational performance, but it does not negate the need for vertical strategic leadership.

Finally, we identified the potential antecedents associated with leaders’ practising distributed/shared and team leadership.

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Chapter Review Questions

1. How can LMX theory help us understand the leadership process? 2. Explain the difference between relational leadership theories that

focus on dyadic relations using a positivist lens and group-level relations using a social constructionist lens.

3. How can relational goals be impaired by extreme income inequality?

Assignment Task: LMX

With respect to the implication of LMX differentiation for team performance, line managers seem to be faced with a dilemma. On one hand, research shows that where line managers develop different LMX relationships with different team members, this may become disruptive for team-member relationships and overall performance in work teams. On the other hand, it may not be possible for managers to form similar LMX relationships with all team members due to time constraints. Morgeson et al. (2010) use a functional/positivist lens to delineate the specific behaviours of team leaders.

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Questions 1. What should team leaders do to effectively deal with their LMX

relationships? 2. Should they form different quality LMX relationships or treat

every team member the same? 3. Looking at this problem through a constructionist lens, would

your answers be different?

Go Online

Explore the real world of leadership by reading this case study:

Leader–Member Exchange Theory: Barack Obama

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Paul Gray, former CEO of NHS Scotland, shares his personal experience of the success and challenges of distributed/collective leadership, and explains why this model can be so important in implementing ideas in the public sector.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Bastardoza, N. and Van Vugt, M. (2019) ‘The nature of followership: evolutionary analysis and review’, The Leadership Quarterly, 30 (1): 81–95.

Epitropaki, O., Martin, R. and Thomas, G. (2018) ‘Relational leadership’, in J. Antonakis and D.V. Day (eds), The Nature of Leadership London: SAGE, pp. 109–37.

Pearce, C.L., Wassenaar, C.L. and Manz, C.C. (2014) ‘Is shared leadership the key to responsible leadership?’, Academy of Management Perspectives, 28: 275–88.

Tse, H.H.M. (2014) ‘Linking leader-member exchange differentiation to work team performance’, Leadership and Organization Development Journal, 35 (8): 710–24.

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Case Study: Teams at Agri-Tru

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Background More than 200,000 British expats call South Africa their home, attracted to its relatively low cost of living and warm climate. One of the most popular cities for expats moving to South Africa is Cape Town. Capricorn Park is a relatively new industrial precinct for commercial and light manufacturing, situated about 25 km from Cape Town, the harbour and the airport. This prime location provides for a reasonable commute from some of the more sought-after southern suburbs of Cape Town. Capricorn Park is situated in a nature conservation area with perimeter fencing, access control and 24-hour manned security. These features, in addition to its focus on environmentally friendly working spaces, have compelled such well- known international companies as SPI, KMP, Pyrotech and Nuwater to make Capricorn Park their home base in South Africa. As Capricorn Park tends to attract respectable companies that provide good jobs, employee turnover is relatively low.

Agri-Tru, a producer of agricultural equipment based in the UK, decided to make the move to Capricorn Park for these reasons. As there is a requirement in South Africa for international businesses to employ at least 60 per cent South African citizens or permanent residency holders, Agri- Tru has a diverse workforce with over eight languages being spoken at its Capricorn Park office.

As the newly appointed head of marketing at Agri-Tru, British expat George Davies was excited about leading a division based in Capricorn Park responsible for the launch of a new production line as he had never been given an international assignment before. Upon his arrival at the office, the three teams of workers assigned to the marketing campaign greeted him warmly. George felt some comfort to see that one of the team leaders was a fellow British expat named Howard Clives. Arno Naidoo and Jabulani Botha led the other two teams, both black Africans born and raised in South Africa.

As everyone appeared enthusiastic to start, George spent little time on introducing himself or on explaining the project details and immediately began to delegate tasks to the teams. ‘I am sure we will get to know each other over the next few months’, he remarked to the group. ‘Let’s get started!’

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The problem Within a few weeks of his arrival, George had noticed that Howard was much more responsive to his requests and had no problems meeting the tight deadlines on the project. Arno and Jabulani, on the other hand, were consistently failing to communicate with George about their teams’ progress on their assignments. At first George attributed this to a language barrier, but it was apparent that both team leaders could speak and write English extremely well despite English not being their first language. George was also struck by how Arno and Jabulani promoted a more relaxed work culture than what he was used to in Britain, with formal business clothes not considered a necessity for their teams.

Feeling pressured by the head office to get the marketing strategy off the ground so the Sales Division could begin its work, George began to rely more heavily on Howard’s team and delegated the more important and desired work to them. George and Howard worked long hours together, sharing stories of their youth spent in Britain and going out for dinner with their spouses in tow. During this time, the other teams were barely keeping up with their work, which spurred George to turn to Howard’s team with increasing frequency. This did not go unnoticed by Arno and Jabulani and their teams.

When Howard unexpectedly fell ill just days before a major presentation for the company’s senior management who were flying in from Britain, George was forced to turn to Arno and Jabulani for help. He was taken aback when, instead of being eager to be part of the high-profile event, Arno and Jabulani both handed George their resignations, stating that they felt underused and disrespected. George left the office that day with his head spinning, wondering how he had ended up in such a dire situation.

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Case exercise 1. How do the concepts of the in-group and out-group of LMX theory

explain how the teams performed and Arno and Jabulani’s reaction? How else do the principles of LMX theory apply in this case?

2. What other factors do you think may have contributed to George’s dilemma?

3. What could George have done differently as the Division Leader with the teams and their leaders to ensure the marketing strategy’s success?

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Sources of additional information Matkin, G.S. and Barbuto, J.E. (2012) ‘Demographic similarity/difference, intercultural sensitivity, and leader-member exchange: a multilevel analysis’, Journal of Leadership & Organizational Studies, 19 (3): 294– 302.

Minseo, K. and Beehr, T.A. (2019) ‘The power of empowering leadership: allowing and encouraging followers to take charge of their own jobs’, The International Journal of Human Resource Management, DOI: 10.1080/09585192.2019.1657166

Mitchell, M.S., and Uhl-Bien, M. (2003) ‘The new conduct of business: how LMX can help capitalize on cultural diversity’, in G.B. Graen (ed.), Dealing with Diversity. Greenwich, CT: Information Age Publishing, pp. 183–218.

Nishii, L.H. and Mayer, D.M. (2009) ‘Do inclusive leaders help to reduce turnover in diverse groups? The moderating role of leader–member exchange in the diversity to turnover relationship’, Journal of Applied Psychology, 94 (6): 1412–26.

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Part III Managing People and Leadership

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9 Human Resource Management and Leadership

John Bratton

‘People are the only element with the inherent power to generate value. All other variables offer nothing but inert potential. By their nature they add nothing, and they cannot add anything until some human being leverages that potential by putting it into play.’

Fitz-enz, 2000: xii

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Chapter Outline Introduction The nature of human resource management Scope and functions of human resource management Theorizing human resource management Human resource management and leadership Critiquing the human resource management discourse Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

define human resource management (HRM) and its relation to leadership; analyse the scope and functions of HRM; explain and evaluate the different theoretical approaches to studying HRM; assess the contribution of HRM to the process of leading and the process of following; critique assumptions found in mainstream HRM literature.

video

To learn more about recruitment, don’t forget to watch the video conversation for this chapter online.

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Introduction Leadership theorists often cite the obvious that to be a leader one has to have followers. In the chapters you have read so far covering trait, behaviour and contingency theories of leadership, followers, if they feature at all, are depicted as passive recipients of policies and diktats handed down by leaders. Our coverage of relational leadership directs attention to the differences that exist between people – the leader and each of the leader’s followers. Organizations are, of course, composed of people. You may ask why people or human resource management (HRM) are important. In a nutshell, leaders and managers are dependent on suitably talented people who have knowledge and skills, working with physical and financial resources, which, as our opening vignette highlights, will add value and create a viable business or service. People are the wealth creators and without them organizations would not exist. We believe it is important to examine how people are managed and how HRM is linked to the process of leading and following. As you read in Chapter 1, HR practices can help to mediate the positive effect of leaders’ interactions to influence single individuals or small groups or teams of employees, and at the organizational level, leaders can also change the organizational culture. Our coverage of transformative leadership in Chapter 7 further underscored the role of HRM in transactional exchanges.

Image 9.1 HR practices can help to mediate the positive effect of leaders’ interactions to influence individuals. At the organizational level, they can help leaders change the organizational culture.

In this chapter, we define HRM and explain its role in creating the leadership relationship. The aim is to provide a framework for subsequent chapters on managing and developing people and leading change (Chapters 10–17). It provides critical insights into the interconnectedness of HR practices and leader– follower relationships and how HR practices can facilitate or hinder the leadership process. After defining HRM and describing its scope and function, the chapter

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scrutinises models of HRM. Finally, it concludes with an evaluation of HRM for leadership and a critique of the HRM discourse.

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The Nature of Human Resource Management Since the 1990s, it has been widely documented that HRM has played a fundamental role in designing and enacting workplace changes (van Wanrooy et al., 2013). To meet the challenges posed by global competition, organizations have introduced a myriad of new methods of working (Boltanski and Chiapello, 2018; Farnham, 2015a), which can potentially impact profoundly on the employment relationship and the way people are managed and led. HRM policies and practices and leaders together help shape leader–follower relations, and without an understanding of HRM processes, our understanding of leadership is incomplete.

The term ‘human resource management’ has been hotly debated and a generally accepted definition remains elusive. Storey defines HRM as ‘a distinctive approach to employment management which seeks to achieve competitive advantage through the strategic deployment of a highly committed and capable workforce using an array of cultural, structural and personnel techniques’ (1995: 5). Its reference to ‘strategy’, ‘committed’ employees and changing the organization’s ‘culture’ highlight the role of senior leaders in people management. Boxall and Purcell define HRM as ‘the process through which management builds the workforce and tries to create the human performances that the organization needs’ (2016: 7). Both Storey’s and Boxall and Purcell’s definitions highlight the importance of performance and the role of managers’ micro-level (e.g. individual commitment) social influence in achieving those performance goals. Bratton and Gold argue that

HRM is a strategic approach to managing employment relations which emphasizes that leveraging people’s capabilities and commitment is critical to achieving sustainable competitive advantage or superior public services. This is accomplished through a distinctive set of integrated employment policies, programmes and practices, embedded in an organizational and societal context. (2017: 5)

This definition conceptualizes HRM in terms of people management, one that emphasizes the goals that underpin the processes, that applies organizational behaviour (OB) and leadership knowledge to leverage people’s potential capabilities to enhance individual and organizational performance. The definition also conceives HRM as embedded in a capitalist society and its associated ideologies and global structures. In terms of identifying effective leaders, HRM formulations remind leaders that human knowledge and skills are a strategic resource that needs investment and adroit management of followers. HRM could be defined simply as those activities and practices associated with managing people that meet the strategic objectives of the organization.

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Scope and Functions of Human Resource Management While there are multiple definitions, HRM is fundamental to every organization that employs people. HRM is concerned with managing employment relationships in the workplace. The literature identifies three major subdomains of HRM knowledge: micro, strategic and international (Boxall et al., 2008).

The largest subdomain refers to micro HRM (MHRM), which is concerned with managing individual employees and small work groups. Similar to the ‘individual’ and ‘group’ levels of analysis in OB, MHRM draws on theory and research from psychology and sociology.

The second domain is strategic HRM (SHRM), which concerns itself with the processes of linking HR strategies with business strategies, and measures the effects on organizational performance (see Chapter 2). Senior HR professionals seek to affect their organization’s strategic decisions and performance through two levels of influence: individual and organizational. At the individual level of influence, HR professionals use their knowledge and interactions to influence other upper-echelon leaders. At the organizational level of influence, HR leaders can change HR policies and practices to indirectly influence line managers and employees.

The third domain is international HRM (IHRM), which focuses on the management of people in global companies operating in more than one country. The proliferation of interest in IHRM springs directly from economic globalization and international supply chains. Multinational corporations (MNCs) are crucial agents in the transformation of national employment management systems. Yet, executive leaders must be sensitive to, and adapt to fit, domestic legal requirements and local cultural expectations and norms (Kramar and Syed, 2012).

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Micro HRM activities Key MHRM activities are designed in response to organizational goals and contingencies, and each one contains alternatives from which leaders can choose. Some of these key activities have been devolved to line managers (e.g. selection) while others (e.g. training) have been outsourced to specialist companies.

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Workforce planning More than ever, effective leadership and management demand an understanding of workforce diversity and its strategic significance (CIPD, 2019c). Workforce planning, also referred to as HR planning (HRP), is, according to the CIPD, ‘a core business process to align changing organizational needs with people strategy’ (CIPD, 2018a). The process seeks to forecast the supply and demand for skills against the requirements of future services or production delivery in a global economic context of uncertainty and rapid change. The workforce planning process has four stages:

1. An evaluation of the existing employees. 2. An assessment of the proportion of current employees that are likely to

remain by the forecast date. 3. A forecast of employee requirements needed for the organization to achieve

its strategic goals by the forecast date. 4. Decisions to ensure that the necessary employees are available as and

when needed.

Workforce planning involves two broad activities: the use of statistical modelling to estimate employee supply and demand; and the strategic understanding and nuances associated with long-term planning, for example identifying new supply chains or investment opportunities (Curson et al., 2010). The process generates forecasts relating to the demand for labour, based on meeting the requirements of the strategic business plan.

Pause and reflect

Bilateral global migration flows between all countries and is a global phenomenon. Thinking about your own country, how do you think bilateral migration affects workforce planning?

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Recruitment and selection Informed by the workforce plan, recruitment and selection activities collectively aim to attract a large pool of candidates from which the employer selects a candidate based upon the criteria in the job description and personnel specifications. A job description provides a description of the tasks and responsibilities that make up the job. A personnel specification attempts to profile the ‘ideal’ person to fill the job position. Both job descriptions and personnel specifications have been key instruments in the traditional repertoire of managers. The main means of attracting applicants include advertising, websites, professional agencies, walk-ins and employee referrals.

The selection methods chosen to select candidates will depend on a number of factors, such as the characteristics of the work and level of responsibility. Selection methods must be consistent in order to ensure a fair comparison across candidates: this is called the reliability criterion. In addition, the selection technique must actually measure what it sets out to measure: this is called the validity criterion. An interviewee’s capability may affect perceptions of that individual’s commitment to an employer. It is assumed that interviewers perceive highly-capable candidates to have lower commitment to the organization than less capable candidates, therefore perception may penalize high-capability candidates in the hiring process (Galperin et al., 2019). This counter-intuitive finding highlights that capability signals do not necessarily afford talented candidates an advantage in selection (see Chapter 12).

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Individual performance appraisal Performance appraisals, sometimes called ‘performance reviews’, aim to ensure that employees’ performance contributes to organizational objectives (CIPD, 2018a). Increasingly, individual performance appraisals (IPA) are one of a number of HR tools that have significant outcomes for, among other things, employees’ development needs and rewards. The process assumes that the principal dimensions of an employee’s performance can be defined precisely, and be measured over specific periods of time that take into account constraints within the performance situation (Furnham, 2004). Both the HRM and leadership literature rely on an explicit assumption that financial rewards motivate the individual. As you will recall from reading Chapter 7, when, after a period performance assessment, a leader recognizes a follower’s accomplishments and gives a bonus, this is a form of ‘transactional’ leadership. There is good evidence that measuring individual performance is ‘notoriously subject to individual supervisory biases’ (Kepes et al., 2009: 525). To preclude unintended consequences on the psychological contract, which, you will recall, is underpinned by trust and the perceived ‘fairness’ of the employment relationship (Guest and Conway, 2002), organizations need to design IPA processes systematically and comprehensively.

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Training and development The activities covering training and development range from informal on-the-job learning to formal or planned learning on an MBA programme. In many organizations, the training and development of managers are seen as part of a strategy involving succession planning and leadership development (see Chapter 12). Human resource development (HRD) ‘is constituted by planned interventions in organizational and individual learning processes’ (Stewart et al., 2007: 66). A significant contribution to understanding how adults learn is illustrated by Kolb’s (1976; Peterson et al., 2015) learning cycle. A learning cycle is a concept of how adults learn from experience. It has a number of stages, the last of which can be followed by the first. Importantly, Kolb sees adult learning as a continuous process that is based on experiences employees encounter and how they interpret, make sense of and respond to that experience (see Figure 9.1).

Figure 9.1 Kolb’s experiential cycle of learning

From a leadership perspective, Kolb’s model heightens awareness of the factors that inhibit as well as stimulate the learning process at work. To be effective, work-based learning requires supportive leaders’ behaviours (Gold et al., 2013). Ramus and Steger (2000) reported that these behaviours include competence building (supporting training initiatives), dialogic communication and engagement (encouraging followers to engage and bring forward their ideas and criticisms), and information dissemination (sharing organization information).

Pause and reflect

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To what extent and under what circumstances might a pay increase serve to motivate followers?

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Rewards Rewards are the centrepiece of the employment relationship for they underscore the fact that the relationship constitutes an economic transaction. That is, an employee engages in work-related physical and/or mental activities that benefit the employer in return for some payment or reward. Bratton and Gold (2017: 262) define reward as ‘A package of monetary, non-monetary and psychological payments that an organization provides for its employees in exchange for a bundle of valued work-related behaviours.’

Leaders can provide two broad types of reward: extrinsic and intrinsic. Extrinsic rewards satisfy an employee’s basic needs for survival, security and recognition, which include financial payments. Intrinsic rewards refer to psychological ‘enjoyment’ and the satisfaction of ‘challenge’, sometimes called ‘psychic income’, that an employee derives from her or his paid work. The growing interest in spiritual leadership, which focuses on leaders mobilizing followers’ values and sense of calling to motivate followers (Fairholm, 1996), has underlined the importance of corporate values, work design and human relationships as an intrinsic motivator (Lockwood, 2007).

Leadership in Action: The leader–follower pay gap

Over the past 30 years, increases in CEO pay have far outstripped earnings gains made by other employees throughout North America and Western Europe. Over the same period, income inequality started an upward trajectory and by the early 21st century had returned to levels of income inequality not seen since the 1920s. Accompanying the upward trend has been the social acceptance for the income gap between the CEOs and workers to widen. Although the matter of global inequality is extraordinarily complex, the statistics are truly breathtaking. Data shows that in the USA, top executives received an average pay rise of 17.6 per cent in 2017–18 while their employees’ wages increased by just 0.3 per cent over the year. The CEOs of America’s top 350 companies earned 312 times more than their employees on average in 2017. On 1 April 2019, the UK’s national minimum wage increased by 38p to £8.21. In contrast, the median average pay for leaders of FTSE 100 companies is £3.9 million a year, which is around 120 times the £28,758 average pay of UK workers. There are 1,542 dollar billionaires in the world, of which the top 500 own $5.3 trillion. Thirty-six million people are dollar millionaires. They make up 0.7 per cent of the world’s adult population and own 46 per cent of global wealth. At the other end of the spectrum, about 3 billion people, or almost 50 per cent of the world’s population, live on less than $2.50 a day (Bratton and Denham, 2019).

Justification for the CEO–employee pay gap is that high pay is necessary to motivate corporate leaders to perform well. However, research does not support this assertion. Piketty (2014) and Stiglitz (2017) provide evidence that growth in CEO pay is driven by share value, not the individual capability and performance of CEOs. There is compelling evidence, however, that extreme income inequality negatively impacts employee morale, commitment and wellbeing.

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Reflective questions 1. Between 1 January and 1 April 2019, the average FTSE 100 CEO earned over

£972,258. The average worker earned £7,189 over the same period. Do you think the pay gap between CEOs and their employees is justified?

2. What are the potential consequences of the pay gap on leader–follower relations?

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Source High Pay Centre (2018) ‘Executive pay at FTSE 100 companies’. Available at http://highpaycentre.org/pubs/hpc-briefing-executive-pay-at-ftse-100-companies-that- are-not-accredited-li (accessed 17 September 2019).

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To explore this topic further see: Bachelder, J. (2018) ‘Growth in CEO pay since 1990’, Harvard Law School Forum. Available at https://corpgov.law.harvard.edu/2018/09/19/growth-in-ceo-pay-since-1990 (accessed 17 September 2019).

Bell, L.A. (2005) ‘Women-led firms and the gender gap in top executive jobs’, IZA Discussion Paper. Available at http://ftp.iza.org/dp1689.pdf (accessed 17 September 2019).

Thompson, D. (2013) ‘What’s behind the huge (and growing) CEO–worker pay gap?’, The Atlantic, 30 April. Available at www.theatlantic.com/business/archive/2013/04/whats-behind-the-huge-and-growing- ceo-worker-pay-gap/275435 (accessed 17 September 2019).

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Employee relations The term ‘employee relations’ is used to encompass both collective and individual dimensions, union and non-union relationships within the organization. The CIPD (2019d: 1) emphasizes that ‘employee relations continues to shift from “collective” institutions … to the relationship with individual employees, the ideas of “employee voice” and the “psychological contract” have been accepted by employers.’ In workplaces where a trade union is recognized for collective bargaining purposes, employee relations include negotiating the substantive (pay and hours) and procedural (e.g. grievances, sabbatical leaves and redundancy) issues of employment contracts, and administrating collective agreements. In non-union workplaces, employee relations include an assortment of HR practices covering (1) employee voice, (2) communication, (3) grievance handling and (4) employee discipline.

These four dimensions of employee relations can be operationalized both informally or formally and without or with a union voice (Edwards and Sengupta, 2010). A formal employee voice scheme, for example, can include leaders, followers and/or union leaders participating in decision making on a governing body. On the other hand, employee voice may be informal, for example a leader listening to suggestions from followers. The antecedents of leadership behaviours and the theories of ‘leader–member exchange’ (see Chapter 8) underscore the importance of interpersonal employee voice in the workplace.

Figure 9.2 provides a framework for studying key HR policies and practices. Its premise is that people should be managed in a way that is congruent with the organization’s strategy (Fombrun et al., 1984). These HR practices are the tools of micro and strategic HRM (Sheehan et al., 2016), which upper-echelon leaders can directly influence and change (see Chapter 16).

Figure 9.2 A framework for studying key HR policies and practices

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How HR activities are organized and how much power HR leaders have relative to that of other leaders is affected by both external and internal factors unique to the organization. A regulation-oriented national business system (e.g. Denmark, Norway and Sweden), with strong trade unions, employment laws and affirmative action, elevates the status of HR professionals and strengthens the corporate HR function. In contrast, a market-oriented national system (e.g. the UK and the USA), with low union representation and weak employment laws, typically weakens the HR function and HR leaders (Jacoby, 2005; Parry, 2011).

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HR strategy and leadership As you have hopefully recognized through the text so far, both HRM and leadership are seeking to enhance the organization’s performance through three levels of influence: individual, group and organizational. In addition, HRM activities and leaders’ influence are both concerned with the enactment of the organization’s strategic goals. Boxall and Purcell (2016) identify four strategic key goals:

Cost-effectiveness: maximizing profits or minimizing costs. Flexibility: short-run responsiveness and long-run agility in response to external pressures. Social legitimacy: how people are managed and led affects the ethical standing of the organization in society. Power: managers aim to enhance their power as stakeholders.

The goals of HRM may vary between private- and public-sector organizations. These strategic goals underscore the contribution of HRM principles to creating an effective leadership relationship, and the need for HR strategy. The concept of HR strategy describes a leader’s pattern of strategic choices in managing people. The concept refers to ‘the critical set of economic and socio-political choices that managers make in building and managing a workforce’ (Boxall and Purcell, 2016: 26). Senior leaders rarely adopt a universal HR strategy for all their employee groups because different business models require different people with diverse skill sets and experience, therefore variegated HR practices operate within organizations.

Critical Insight: Understanding ‘critical’ HRM

As you have seen throughout this book so far, Organizational Leadership aims to help you develop critical thinking skills when reading other texts in leadership and management and related fields. Almost 60 years ago, sociologist Peter Berger wrote that the first wisdom of sociological enquiry is that ‘things are not what they seem’ (1963: 23). A deceptively simple statement, Berger’s idea suggests that most people live in a social world they do not understand. This chapter aims to shed light on how HRM impacts on people and, in particular, leader–follower relations. Bratton and Gold (2015) argued for students to be exposed to critical HRM (CHRM). This approach to studying HRM is inspired by the work of the late C. Wright Mills’ belief in the ‘sociological imagination’: the ability to see the relationships between individual life experiences and the larger society because the two are related (1959/2000). For Watson (2010), a critical approach to studying HRM provides inspiration to apply the ‘sociological imagination’ to matters of HRM ‘outcomes’ that have ‘wider social consequences’.

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Activity To help you understand better the HRM discourse, read Bratton and Gold (2015) and Watson (2010). Working on your own, or in a group:

1. Identify the dominant assumptions that underlie the two articles. 2. What do you understand by the term ‘critical HRM’ (CRHM)? 3. As an intellectual activity, how does CHRM help to understand (a) the rhetoric and

reality of HRM and (b) how HR policies and practices and leadership complement each other?

What HR strategies have leaders used to render followers’ behaviour measurable and controllable? Using the core premise of indeterminacy to frame the argument and to guide their enquiry, researchers have identified alternative HR strategies around the notion of direct control by line managers versus responsible autonomy, entailing complex forms of self-control found in teams (Bratton, 1992; Edwards, 1979). The choice and adaptation of a HR strategy is governed by the organizational context (e.g. size, structure, technology) and the employers’ exposure to international competition (Ibsen and Nayrbierg, 2019). Thus, when managing people, control and cooperation coexist, and the extent to which there is any ebb and flow in intensity and direction between types of control will depend upon the ‘multiple constituents’ of leader–follower relations and the process of following (see Chapter 13).

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Theorizing Human Resource Management So far, we have focused on the meaning, scope and functions of HRM. We now turn to an important part of the mainstream HRM discourse, the search for a theoretical model that demonstrates analytically the nature of the discipline. You may ask, why bother looking at theoretical models? As Richard Hyman observed, ‘practice without theory is blind’ (1989: xiv). Models are important because they provide an analytical framework for studying HRM. They provide a characterization of HRM that establishes a cluster of variables and relationships between the dependent and independent variables to be researched. For example, ‘Do pro-environment “green” HR practices (independent variables) promote pro-environmental employee behaviours (dependent variables)?’ Academics in the USA and the UK have offered several different HRM models.

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The Michigan model of HRM The Michigan model developed by Fombrun et al. (1984) is associated with the Michigan Business School. The model’s ‘cycle’ consists of four core HR activities: selection, appraisal, training and rewards. It emphasizes the interrelatedness and coherence of HRM activities, which requires HR strategies to have a tight alignment to the overall strategies of the business. The Michigan model takes a ‘hard’ approach to people management, with a focus on performance. People are considered a means to an end or a ‘resource’ (Bratton and Gold, 2015). The strength of the model is its coherence and the importance of ‘matching’ internal HR policies and practices to the organization’s external business strategy. Its weaknesses are its prescriptive nature and its focus on just four HR practices, and it also ignores different stakeholders such as workers.

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The Harvard model of HRM The Harvard model offered by Beer et al. (1984) provides one of the first comprehensive formulations on the nature of HRM. The framework consists of six basic components: situational factors; stakeholder interests; HRM policy choices; HR outcomes; long-term consequences; and a feedback loop through which the outputs flow directly into the organization and to the stakeholders (see Figure 9.3).

The stakeholder interests recognize the importance of ‘trade-offs’, either explicit or implicit, between the interests of business owners and the interests of employees (e.g. health and wellbeing) and labour unions (e.g. a voice over investment decisions).

Figure 9.3 The Harvard model of HRM (Beer et al., 1984)

The situational factors influence leader choice of HR strategy. This model incorporates workforce characteristics (e.g. skilled, unskilled or professional), management philosophy (e.g. neoliberal), labour market regulations (e.g. working time directives), societal values (e.g. self-reliance) and patterns of unionization (e.g. high union membership), and suggests a meshing of product market and socio-cultural factors (Evans and Lorange, 1989).

HRM policy choices emphasize that a leader’s decision and actions in people management can be fully appreciated only if it is recognized that they result from an interaction between constraints (e.g. trade unions, food protection standards) and choices (e.g. high technology and high skill, high wage versus low- technology and low skill, low wage). It shows leaders as real change agents, capable of influencing organizational parameters itself over time.

The HR outcomes of high employee commitment to the goals and values of the organization are sometimes referred to as ‘organizational citizenship’, and the competence necessary to provide a high-quality product or service is linked to longer-term effects on organizational effectiveness and societal wellbeing. The

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underlying assumptions built into the model are that talented followers are rarely fully utilized in the workplace, and that they show a desire to experience individual growth through work. Thus, HRM is indivisible from a ‘humanistic message’ about human growth and dignity at work.

The long-term consequences distinguish between three levels: individual, organizational and societal. At the individual level, the HR outputs comprise the psychological rewards that followers receive in exchange for their effort. At the organizational level, increased effectiveness ensures the survival of the firm, while, at the societal level, as a result of fully utilizing people at work some of society’s goals (e.g. employment) are attained.

A feedback loop shows that long-term consequences and outputs can influence situational factors, stakeholder interests and HR policies.

The strength of the Harvard model lies in its classification of inputs and outcomes at both the organizational and the societal level. As Boxall (1992) observes, the model contains elements that are analytical (i.e. situational factors, stakeholders and strategic choice) and prescriptive (i.e. notions of commitment, competence etc.). A weakness, however, is the absence of a coherent theoretical basis for measuring the relationship between HR inputs, outcomes and performance (Guest, 1997).

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The Storey model of HRM The Storey (2007) model compares HRM with ‘traditional’ or personnel management policies. It describes HR policies as well as focusing on the processes through which HR policies and practices influence employee behaviour and performance. It is what Weber called an ‘ideal type’, that is a ‘mental image’, which cannot actually be found empirically in any real organization. Its purpose is to serve as a contrast between theory and social reality in order to establish the differences or similarities between the two positions, and to understand and explain whether one variable (e.g. pay) is responsible for causing the other variable (e.g. individual effort); this is called a ‘causal relationship’ (Bratton and Denham, 2019).

The four main elements in Storey’s model are: beliefs and assumptions, strategic qualities, the critical role of managers, and key levers (see Table 9.1).

Table 9.1 The Storey model of HRM Table 9.1 The Storey model of HRM

Personnel and industrial relations (IR) and human resource management (HRM): the differences

Dimension Personnel and IR HRM

Beliefs and assumptions

Contract Careful delineation of writtencontracts Aim to go ‘beyond contract’

Rules Importance of devising clearrules/mutuality ‘Can do’ outlook; impatience with ‘rules’

Guide to management action

Procedures/consistency/control ‘Businessneed’/flexibility/commitment

Behaviour referent Norms/custom and practice Values/mission

Managerial task vis-à-vis labour

Monitoring Nurturing

Nature of relations Pluralist Unitarist

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Personnel and industrial relations (IR) and human resource management (HRM): the differences

Dimension Personnel and IR HRM

Conflict Institutionalized De-emphasized

Standardization High (e.g. ‘parity’ an issue) Low (e.g. ‘parity’ not seenas relevant)

Strategic qualities

Key relations Labour management Business customer

Initiatives Piecemeal Integrated

Corporate plan Marginal to Central to

Speed of decision Slow Fast

Critical role of management

Management role Transactional

Transformational leadership

Key managers Personnel/IR specialists General/business/linemanagers

Prized management skills

Negotiation Facilitation

Key levers

Foci of attention for interventions

Personnel procedures Wide-ranging cultural, structural and personnel strategies

Selection Separate, marginal task Integrated, key task

Pay Job evaluation; multiple fixedgrades Performance-related; few if any grades

Conditions Separately negotiated Harmonization

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Personnel and industrial relations (IR) and human resource management (HRM): the differences

Dimension Personnel and IR HRM

Labour management Collective bargaining contracts

Towards individual contracts

Thrust of relations with stewards

Regularized through facilities and training

Marginalized (with exception of some bargaining for change models)

Communication Restricted flow/indirect Increased flow/direct

Job design Division of labour Teamwork

Conflict handling Reach temporary truces

Manage climate and culture

Training and development Controlled access to courses Learning companies

Source: Storey, 2007: 9

The model depicts a ‘recipe’ of ideas. The most fundamental belief and assumption is that, ultimately, it is talented people that really distinguish successful organizations from mediocre ones (see Chapter 12). It follows logically from this that leaders ought to nurture followers as a valued asset and not simply regard people as a cost. Moreover, leaders should ‘strive’ for ‘commitment and engagement’ that goes ‘beyond the contract’ (Storey, 2001).

Strategic qualities seek to demonstrate that HRM is a matter of critical importance to strategic planning and execution. In Storey’s words, ‘decisions about human resources policies should … take their cue from an explicit alignment of the competitive environment, business strategy and HRM strategy’ (2001: 10).

The critical role of managers adds extra understanding by emphasizing the role of leaders at every level of the organization in the effective delivery of HR practices (Bratton and Gold, 2017; Purcell et al., 2009). As Storey argues, ‘If human resources really are so critical for business success, the HRM is too important to be left to operational personnel specialists’ (2007: 10). There is also an appreciation of the role of transformational leadership.

The key levers element in the model focuses on the methods used to implement HR policies and practices. What is persuasive about the narrative is evidence of a shift away from rules as a basis of good practice, to the management of

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organizational culture as a means of implementing transformative change (see Chapter 16). The strength of Storey’s model is its recognition of the critical role of all leaders in enacting HR policies and practices and the importance of managing culture. A weakness, perhaps for practitioners, is the absence of a more business-focused approach and a focus on cost-efficiencies.

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The Ulrich business partner model The professional institutions, such as the UK Chartered Institute for Personnel and Development (CIPD), have long sought to demonstrate the added value of HR activities in business terms. Such a position requires a transition from HR professionals focusing on the functional activities, such as recruitment and training, towards a partnership orientation, with HR professionals sitting ‘at the top table’ and engaged in strategic decision making. The model most favoured to support such a transition is David Ulrich’s (1997) business partner model. Ulrich’s original model highlights four key roles that HR leaders need to adopt to add the greatest value to the organization:

Strategic partner: future/strategic focus combined with business processes. Change agent: future/strategic focus combined with people. Administrative expert: operational focus combined with process. Employee champion: operational focus combined with people.

Ulrich posits that HR professionals must focus on both the strategic and the operational, in both the long and the short term. Activities range from managing business processes to managing people, suggesting that there are core competencies that HR professionals must secure and develop to help deliver value to the organization. A core HR competency, argues Ulrich et al. (2012), is that of being both credible (respected, listened to, trusted) and active (taking a position and challenging assumptions).

More recently, the business partner model has been questioned. The CIPD recommends that HR professionals exercise caution when implementing the model, as there is a risk when the HR function is segmented of creating ‘silos’ (CIPD, 2019e). The strength of Ulrich’s model is its business-focused approach and affirmation of the strategic importance of HRM and HR leaders. Its shortcoming relates to senior managers’ perceptions of the independence and credibility of HR professionals (Rees and Johari, 2010), and whether the model can resolve long-term tensions of identity, performance and organizing (Gerpott, 2015).

Pause and reflect

Reviewing the models, what beliefs and assumptions do you find implied in them? What is the message for leaders?

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Human Resource Management and Leadership This section addresses two questions: how does HRM contribute to the leadership process; and does HRM make a difference to individual and organizational performance? As you have hopefully understood through this chapter so far, the way HRM has been conceptualized avers HRM and leadership are both concerned with understanding how, and why, people behave in the workplace and, more fundamentally, how leaders can mobilize and leverage human capability to enhance individual performance.

Conceptualizing leadership as a human process within an employment relationship has several implications for the way we understand how HR practices influence the behaviour of both leaders and subordinates and the leader–subordinate dyad (for discussion of followers’ behaviour, see Chapter 13). HR practices form part of the transformational leadership model. The suggestion here is that clusters of follower-centred HR practices support manifestations of transformational leadership. Think back to Bass and Riggio’s (2006) model mentioned in Chapter 7 (Figure 7.1) in which transformational leadership is described as involving four behaviours: idealized influence; inspirational motivation; intellectual stimulation and individualized consideration. In addition, it includes two others: contingent reward and management-by-exception (MBE). Each of these behaviours offers important insight into the nature of leadership and the contribution of HRM.

Table 9.2 provides examples of each of the six transformational and transactional behaviours that encompass transformational leadership. In short, transformational leaders engage in these behaviours to enhance their organization’s performance through their engagement with, and influence on, subordinates.

Table 9.2 HRM and transformational leadership behaviours Table 9.2 HRM and transformational leadership behaviours

Dimension Example of leadership behaviours and HR practices

Idealized influence

Leaders share ethical values and behave in ways that allow them to serve as role models for their subordinates. Behaviours are influenced by the ethical dimension of HRM.

Inspirational motivation

Leaders inspire and elevate subordinates’ motivation with challenging work. HR job design practices.

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Dimension Example of leadership behaviours and HR practices

Intellectual stimulation

Leaders encourage subordinates to be creative thinkers and innovate. Employee voice processes help subordinates examine and reframe problems.

Individualized consideration

Leader must have the personal capacity to engage, perceive and understand individual emotions and needs of subordinates. HRD provides planned interventions in individual learning processes to develop employee skills.

Contingent reward

Leaders reward subordinates for satisfactory accomplishment of the work. Reward management schemes, including variable pay systems (VPS), e.g. merit pay and profit-related pay, provide options.

Management- by-exception

Leaders monitor subordinates’ actions. Performance appraisal is used to monitor and evaluate subordinates’ capability and potential, enabling leaders to make informed decisions for the purpose of performance.

The second question, ‘Does HRM make a difference?’, is important. Evidence that better HR practices can indeed lead to improved performance has fundamental implications for whether or not leaders should invest in HR interventions. It has not been lost on either HRM academics or practitioners that evidence on the effectiveness of HR interventions, and HR leaders’ related involvement in strategic planning, enhances the status of the academic discipline and the authority and self-importance of HR leaders in the workplace. It is, therefore, unsurprising that demonstrating that there is a positive link between particular clusters of HR practices and organizational performance has dominated HRM research (Guest, 1997; Edwards and Sengupta, 2010).

A number of empirical studies have found that bundles of HR practices are indeed positively associated with improved organizational performance (e.g. Boxall and Macky, 2009; Ichniowski et al., 1996; Paauwe, 2004). Gerhart (2008), however, identifies empirical and theoretical challenges in the modelling of HRM– performance linkages. In terms of empirical evidence, there is little evidence of organizations adopting a ‘coherent’ HRM agenda, especially among smaller organizations. In terms of theory, researchers face the challenge of estimating causal inferences on HR–performance linkages (Purcell and Kinnie, 2007). Researchers continue to express doubts about the claims for a HR–performance connection, and even when a positive link is established, there can be no certainty of the direction of causality (Thompson and McHugh, 2009).

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Critiquing the Human Resource Management Discourse The more critical evaluations of HRM models expose internal paradoxes. Paradox is inherent in HRM. It results when, in pursuit of a specific organizational goal or goals, leaders call for or carry out actions that are in opposition to the very goal(s) the organization is attempting to accomplish. Acceding to the imperatives of increasing shareholder value, for example, a tendency for corporate leaders to strive for profit maximization by implementing a HR plan of redundancies – so- called ‘downsizing’ – can have a negative effect on employee morale, learning capacity, and ‘hollow out’ the organization’s skills capacity (Little and Innes, 2003). Therefore, an HR strategy that includes workforce downsizing and compulsory redundancies is unlikely to engender follower trust, loyalty and commitment and will cause a misfit with HRM and relational leadership values.

There is a cacophony of critical voices exposing paradox and tension in HR practices. Selection of the ‘best’ HR practice has tended to be viewed in terms of standardizing and objectifying the selection process (Townley, 1994). Critics of IPA argue that it is a HR tool illustrative of power/knowledge that seeks to monitor and control (Bain et al., 2002), and that meaningful behaviour is rarely quantifiable and behaviour that is quantifiable is rarely meaningful (Wright, 1991). HRD is seen as an essential part of ‘capturing’ employee subjectivity (values, attitudes and initiative) in achieving corporate objectives so that learning is a new form of management control (Spencer, 2001). Reward exhibits the ‘overarching tension’ between management theories that view people as a commodity, to be hired for a price (wage), and social psychological theories with regard to the leadership conundrum of follower motivation (Corby et al., 2009; Hutton, 2015).

The HRM mantra of employee development and wellbeing sits uncomfortably with the reality of the gig economy, a world of short-term employment contracts (CIPD, 2018b). Employment contracts have become increasingly flexible, which is to say more inhumane and ‘brutal’, and critics of HRM provide a sustained critique with respect to exploitation and growing inequality: ‘Trust relationships between managements and workforces are typically lacking’, observes Hutton (2015: 181). In sum, critics argue that HR policies and practices have given rise to a shift from long-term ‘relational’ employment contracts between the employer and the employee towards short-term ‘transactional’ and ‘precarious’ contracts, which contradicts the goal of follower commitment and cooperation and relational leadership values.

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Conclusion In this chapter, we have examined some popular HRM models which enable us to connect the outer (wider environment) and inner (organizational) contexts, and explore how, similar to situational leadership theories, people management adapts to changes in the context. We discussed a core assumption underlying much of the HRM literature, that different business strategies are associated with a different approach to managing people, that is, with a different HR strategy. Strategic corporate and business-level planning provide the context within which plans for managing people are developed and implemented. These strategic plans provide a map for managers to follow in order to fulfil the organization’s long-term goals. We have demonstrated how HRM theory and practice can complement and support organization leaders. As part of the review of the links between OB, HRM and leadership theories, we identified how specific HR practices covering subordinate training and development, rewards and employee relations’ mechanisms manifest in transformational leadership behaviours. Despite the economic and political pressures from globalization, a divergence of HR practices continues to remain. This is because HRM is influenced and shaped by national and organizational cultures in the developed and the developing world.

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Chapter Review Questions

1. What is meant by micro HRM and strategic HRM? How do societal factors influence, or determine, the choice of HR strategy and practices?

2. What is the role of HRM in promoting workplace transformational change? 3. Do HR practices generate superior organizational performance? 4. What can leaders do to influence line managers so as to put best HR practices into

effect?

Assignment Task: Zero-hourS contracts

In 2017, the UK Office for National Statistics (ONS) reported that there were 1.8 million contracts that did not guarantee a minimum number of hours, compared to 1.7 million in the year to November 2016. In terms of labour market share, zero-hours arrangements still made up 6 per cent of all contracts. However, the ONS warned that the comparison should be ‘treated with caution’, as the survey was changed from being voluntary to compulsory between these two periods. During the three months to December 2017, 901,000 people were employed on zero-hours contracts, making up around 2.8 per cent of all people in employment. During the same three months in 2016, this figure was 905,000. The ONS also noted that increased awareness of zero- hours contracts – as in workers recognizing they were engaged in this type of contract – may have influenced the increase in numbers.

The term ‘precarious employment’ has been used to describe the employment relationship of those workers on zero-hours contracts. Standing (2011) argues that workers on zero-hours contracts constitute the ‘precariat’, a new class of workers. These workers are living and working precariously, usually in a series of short-term jobs, without recourse to stable occupational identities or careers, social protection or relevant protective regulation (Savage et al., 2015)

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Questions 1. Research online sources including data from the ONS to write a report that

includes: (a) figures that chart the growth of zero-hours contracts, and (b) compare the UK’s national figures with a particular sector (e.g. hospitality).

2. In the light of these comparisons, provide some explanation for differences and, based on your knowledge of transformational leadership, discuss the effect of precarious employment on followers, for example organizational citizenship behaviour (OCB), motivation and creativity.

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For further information see: Faragher, J. (2018) ‘Zero hours contracts increase by 100,000 as workers more aware’, Personnel Today, 23 April, p. 1. Available at www.personneltoday.com/hr/zero-hours- contracts-increase-by-100000-as-workers-more-aware (accessed 29 September 2019).

Savage, M., Cunningham, N., Devine, F., Friedman, S., Laurison, D., McKenzie, L., Miles, A., Snee, H. and Wakeling, P. (2015) A Pelican Introduction: Social class in the 21st century. London: Pelican.

Standing, G. (2011) The Precariat: The new dangerous class. London: Bloomsbury.

Go Online

Explore the real world of leadership by reading this case study:

Leader–Member Exchange Theory: Barack Obama

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Diane Vincent, former Director of People and Organizational Development for the Scottish Fire and Rescue Service, shares her insights into how traditionally male- dominated industries can attract and recruit a more diverse workforce, particularly into leadership roles.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading CIPD (Chartered Institute of Personnel and Development) (2013) ‘HR and its role in innovation’. Available at www.cipd.co.uk/knowledge/culture/innovation/hr-role- report (accessed 17 September 2019).

CIPD (Chartered Institute of Personnel and Development) (2019) ‘The psychological contract’, Factsheet. Available at www.cipd.co.uk/knowledge/fundamentals/relations/employees/psychological- factsheet (accessed 17 September 2019).

Legge, K. (2006) ‘Human resource management’, in S. Ackroyd, R. Batt, P. Thompson and P. Tolbert (eds), The Oxford Handbook of Work and Organizations. Oxford: Oxford University Press, pp. 220–41.

Sambrook, S. (2008) ‘Critical HRD: a conceptual analysis’, Personnel Review, 38 (1): 61–73.

Wall, T.D. and Wood, S.J. (2005) ‘The romance of human resource management and business performance, and the case for big science’, Human Relations, 58 (4): 429–62.

Watson, T.J. (2010) ‘Critical social science, pragmatism and the realities of HRM’, The International Journal of Human Resource Management, 21 (6): 915–31.

Wilkinson, A., Redman, T., Snell, S.A. and Bacon, N. (2013) ‘Field of human resource management’, in T. Redman, S.A. Snell and N. Bacon (eds), The SAGE Handbook of Human Resource Management. London: SAGE, pp. 3–11.

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Case Study: HR practices at Analytica InfoServices

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Background Analytica InfoServices is an IT company designing IT systems for hospitals and GP surgeries. Based in Dublin, the MD and founder of the company, Fintan Brennan, moved the company from Leeds in 2018 after the Brexit vote. The company currently employs 25 staff, but plans to add more staff over the next few months. In anticipation of the expansion, Fintan recruited Amy Murphy, a HR specialist with 10 years’ experience working in hospital administration. Although the transfer has been relatively smooth, Fintan recognizes that staff are experiencing increasing difficulties in meeting the demand for IT services and that more attention needs to be given to performance appraisal and more IT specialists need to be recruited sooner rather than later.

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The problem Twenty of the staff have been recruited over the last 12 months and are organized into four teams. Each team is led by a manager with extensive IT experience, who reports directly to Fintan. In Fintan’s view, the current assessment of performance has been undertaken rather informally. While managers and staff have a general understanding of the principles underpinning individual objective setting, Fintan confided in Amy that ‘realistic, time-specific and measurable objectives are loosely interpreted’ by the managers. Differences and variations in performance tend to be ‘overlooked’; although the first annual company profit share satisfied most staff, some of the company’s ‘star’ performers were less happy. Compounding the problem, said Fintan, ‘most of the new hires have little or no experience of a performance culture.’

Fintan called a meeting of his managers and HR specialist with the aim to reaffirm his belief that expansion of business in Ireland was contingent on an effective IPA system and the recruitment of more IT staff. In discussion, Erinn, a team manager, gave a positive account of appraisal: ‘The new staff like to talk about what they are doing, the challenges and where they see their career going in the future’, she said. However, Bob, another team manager, who perceives Erinn’s team is favoured by Fintan and receives the most interesting assignments, was unconvinced about the value of IPA. He said, ‘Appraisal is just a box- ticking exercise with little constructive outcome apart from a lot of bloody talking.’ Fintan is concerned that the most talented staff are unlikely to stay with the company, unless IPA is more closely connected to performance and personal development and is perceived to be fair.

Like IPA, recruitment of staff had been informal, with team managers ‘given a free rein’ and most recent staff had been recruited on the basis of ‘word of mouth’, and job descriptions were not produced. Bob commented that ‘the “high-flyers” we hired six months ago have already left the company.’ Six new staff will be recruited: two entry-level IT analysts, two senior staff, one IT consultant and one IT software engineer.

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Case exercise In small groups, playing the role of Amy Murphy, HR manager, prepare a report for Fintan Brennan that outlines the way forward. The report will need to consider:

1. Should Analytica InfoServices retain IPA? If you recommend retention, what learning activities could improve appraisal? If you recommend replacement, what alternative approach, if any, would you advise?

2. Relational leadership theory advises leaders to build high-quality relationships with all of the followers. What is your assessment of how IPA can help Fintan and his managers co-construct leadership at Analytica InfoServices?

3. What changes to the recruitment and selection process would you recommend?

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Sources of additional information Bain, P., Watson, A., Mulvey, G., Taylor, P. and Gall, G. (2002) ‘Taylorism, targets and the pursuit of quantity and quality by call centre management’, New Technology, Work and Employment, 17 (3): 170–85.

Bednall, T.C., Sanders, K. and Runhaar, P. (2014) ‘Stimulating informal learning activities through perceptions of performance appraisal quality and human resource management system strength: a two-way study’, Academy of Management Learning and Education, 13 (1): 45–61.

Chartered Institute of Personnel and Development (CIPD) (2018) ‘Performance appraisal’, September. Available at www.cipd.co.uk/knowledge/fundamentals/people/performance/appraisals-factsheet (accessed 29 September 2019).

Hutchinson, S. (ed.) (2013) Performance Management: Theory and practice. London: CIPD.

McKenna, S., Richardson, J. and Manroop, L. (2001) ‘Alternative paradigms and the study and practice of performance management and evaluation’, Human Resource Management Review, 21 (2): 148–57.

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10 Talent Management and Leadership

Kirsteen Grant

‘I view my primary job as strengthening our talent pools. So I view every conversation, every meeting as an opportunity to talk about our talented people.’

Jack Welch, former CEO, General Electric (Michaels et al., 2001: 31)

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Chapter Outline Introduction The nature of talent and talent management Leading and managing talent The influence of ‘talented followership’ on co-producing leadership Collaborative talent management Critiquing the talent management debate Conclusion

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Learning Outcomes After completing this chapter, you should be able to explain and evaluate:

the nature of talent and the complexities and organizational challenges surrounding talent management; leaders’ and line manages’ roles in talent management and capacity building; the value and limitations of talent collaborations; the critical research that challenges the mantra of ‘talent are our most valuable asset’.

video

To learn more about talent management, don’t forget to watch the video conversation for this chapter online.

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Introduction As you now hopefully recognize, there is a growing body of voices advocating the need for relational or shared approaches to leadership whereby leaders and followers work collaboratively to co-produce the leadership relationship at different levels in the organization. Moreover, because of the seriousness of the global and national challenges organizations face, they are more likely solved collaboratively by leaders working with talented followers. The notion of talent management (TM) has become a topic of immense interest (McDonnell et al., 2017). Prior to the 2008 global financial crisis (GFC), McKinsey and Company proclaimed the ‘war for talent’ (Chambers et al., 1998). Then, the dominant narrative was that for sustainable competitive advantage, leaders had to address the mounting challenge to attract, develop and retain the best people. Since 2008, rising employment insecurity has meant that, for many organizations, attracting talent has become a less pressing challenge. However, many multinational corporations (MNCs) in emerging economies report that a lack of talent has become a major obstacle to strategy implementation (Meyer and Xin, 2018). Yet, despite the enduring interest in TM, there is still widespread disagreement over its precise meaning (Gallardo-Gallardo et al., 2013). That being said, no matter which interpretation is adopted, the premise of talent leadership and followership is that it calls for mobilization of collective human capability, the pooling of existing and new knowledge, and resource allocation across the organization (Meyers et al., 2019).

In this chapter, we examine leaders’ roles and responsibilities in the identification, development and mobilization of talent within and across organizations. After exploring the nature of TM alongside the conceptual and organizational challenges enveloping TM, we explore leaders’ and line managers’ roles in capacity building and in implementing and facilitating TM practices. Given the growing interest in examining the active role of followers, we consider the importance and influence of ‘talented followers’ before the potential value and pitfalls of talent

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collaborations. Last, we provide a critical analysis of the mainstream debate on TM.

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The Nature of Talent and Talent Management As the term suggests, TM is activity concerned with managing people, but what do we mean when we pair the two words ‘talent’ and ‘management’? Although the language of TM has become ubiquitous, there is an enduring lack of clarity regarding its precise definition (Gallardo-Gallardo et al., 2013). For example, among the 75 per cent of organizations reported within the CIPD’s (2017a) resourcing and talent planning survey (based on 1,068 responses) deploying some form of TM, interpretations of what exactly constitute ‘talent’ and ‘talent management’ vary considerably between organizations and industry sectors. Indeed, Lewis and Heckman (2006: 139) point to a ‘disturbing lack of clarity regarding the definition, scope and overall goals of talent management.’ One approach focuses on ‘strategic choice’ (see Chapter 2), which often defines talent in terms of organizational context (Thunnissen et al., 2013), including the extent to which an organization defines talent as being an exclusive (targeted at particular roles or people) or inclusive (whole workforce) phenomenon (Meyers and van Woerkom, 2014).

Image 10.1 Analytically, talent management emphasizes the fundamental inter- relatedness and coherence of HRM. But, while the HR function may be the champion of talent management strategy and practices, line managers are ultimately responsible for their enactment.

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Early conceptualization of TM focused on workforce planning and recruitment activities (see Chapter 9). Cappelli (2008: 74) defines TM simply as ‘a matter of anticipating the need for human capital and then setting out a plan to meet it.’ In contrast, D’Annunzio- Green defines TM as ‘a holistic approach to human resource planning aimed at strengthening organizational capability and driving business priorities using a range of HR interventions’ (2008: 807, emphasis added). Similarly, Meyers and van Woerkom (2014: 192) argue that TM comprises ‘the systematic utilization of human resource management … activities to attract, identify, develop, and retain individuals who are considered to be “talented”’. Meyers et al.’s (2019) definition reflects the potential scope of TM, which often extends to HRM practices such as employer branding to attract talented people, training, rewards, employee engagement designed to motivate and retain talent and, where recognized, engagement with trade unions (see Chapter 9, Figure 9.1). Contemporary definitions of TM therefore encompass a complex range of policies and practices that often pervade every aspect of the ‘employment journey’ from the point of entry – attracting and recruiting talented people – through to ensuring high performance, commitment and retention, and ultimately long- term growth through work. Analytically, TM emphasizes the fundamental inter-relatedness and coherence of traditional HRM.

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Crowley-Henry and Ariss (2018) argue that TM approaches are generally constructed from a limited human capital-based perspective wherein organizations focus on readily accessible skills, disregarding the potential of skilled migrants. This observation emphasizes that, in order to create a framework for shaping TM, managers must first agree how to define talent; in other words, which particular people or groups of people (often referred to as talent pools) are of most value and are most critical to sustainable competitive advantage and organizational success.

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Who are ‘talent’? This is not necessarily an easy question to address. In the extant mainstream literature on TM, the most fundamental belief/assumption is the notion that, ultimately, it is talented people, rather than mediocre people, who distinguish successful organizations from mediocre firms. It follows logically from this that talented employees ought to be nurtured as a valued asset and not simply regarded as a cost. As you will recall from Chapter 9, demographic changes and migration flows will, as in the 1990s, once again elevate the notion of competing for talent. For example, in 2018 the UK Migration Advisory Committee (MAC) proposed a less restrictive immigration regime for ‘higher-skilled’ workers than that for ‘lower-skilled’ workers, despite warning that EU migration was ‘falling sharply and there are some reasons to think those falls will continue in the near future’ (MAC, 2018: 5). UK business leaders have criticized MAC’s proposal, suggesting that ‘The idea that only high-skilled immigration should be allowed is both ignorant and elitist’ (Sabbagh and O’Carroll, 2018: 1). Two points are worth noting: first, reduced migration flows either into the EU or North America and makes it increasingly challenging for organizations to attract and retain talented people. Second, while ‘precarious’ employment models – a growing feature of the gig economy – increase workforce flexibility, it is an employment practice that dilutes an organization’s ability to identify talented people and develop talent ‘pipelines’ and succession plans for medium- to longer-term business needs.

Interpretations of which employees to view as ‘talent’ vary widely but it is generally agreed that the process is influenced by two strategic factors: first, the extent to which an organization relies upon its ability to recruit high-quality candidates from its external labour market; and second, the extent to which it needs or wishes to grow its own talent and develop employees more organically from within the organization (Swailes et al., 2014). It should be obvious that the external and internal conditions within which an organization operates are of central importance to its TM strategy (Thunnissen et al., 2013). As such, an organization may choose to focus its TM policies and practices exclusively on current high

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performers or upper-echelon senior leaders. Additionally, or alternatively, it might focus on high-potential talent; for instance, by developing a talent pool of graduates, middle managers or technical specialists who have been identified as having the potential to fill more senior business-critical roles in the future. This approach to succession planning is particularly important where there is a shortage of requisite skills within the external labour market, if the skills required are highly technical and take time to develop. In contrast, where an organization’s HR strategy focuses on nurturing and developing its own talent, TM practices are not exclusively tailored towards particular talent pools. Rather, all employees are regarded equally as possessing talent and able to contribute, in a variety of ways and at different levels, to organizational success.

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Exclusive and inclusive talent management The exclusive approach to TM targets particular employees, groups of employees, or talent pools, based on either their current high performance or predicted future high potential to fulfil critical roles. The assumptions behind this approach mirror the resource- based view (RBV) of the firm (Barney, 1991). In the RBV model, sustainable competitive advantage is achieved through careful analysis of employees’ inimitable skills and capabilities. Barney identified four key characteristics of human capabilities – value, rarity, inimitability and non-substitutability – as being important levers for sustainable advantage (Bratton and Gold, 2017: 56). Putting TM in terms of a simple SWOT analysis, this approach to people management highlights the strategic value and importance of harnessing internal ‘strengths’ and, arguably, suggests that top talent should indeed be nurtured and managed differently to that of other employees. Therefore, this approach calls for segmentation, or differentiation, of the workforce, based on employees’ contribution, performance and potential.

However, this is not to say that those people who do not make it into a talent pool are not talented, or that their contribution to the organization is not valued. The exclusive approach simply enables appropriate development opportunities and resources to be directed more efficiently and timeously towards particular talented people or talent pools in order to develop the capability and potential for medium- to long-term business needs. One way to illustrate the concept of exclusive TM is to consider managing a world-class football team. Each player is brought to the club based on their talent – the club does not acquire untalented players. However, not every player will always play in the starting eleven. Players will have their own areas of expertise such as playing in forward or midfield positions, or as a defender or goalkeeper, all of which are important to the team and club’s overall performance. Some top international players like Raheem Sterling and Lionel Messi are top talent (fulfilling a current critical role). Other ‘high-potential’ players take time to develop and reach their full potential. For example, as part of their development, they may be loaned out to another club while they gain experience, or

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they might play in more minor games or only part of a major game as a substitute. The football manager therefore needs to manage this talented group of players, responding to the particular needs and availability of the talent.

Pause and reflect

How does this football example compare to managing talent in private or public sector organizations? What might be the unintended consequences of this differentiated approach to TM?

The exclusive approach can also be problematic. For instance, it is sometimes described as an elitist approach with potential to impact negatively on equality and diversity by creating multi-tiered workforces differentiated by those who are considered to be talented and those who are mediocre (Sheehan and Anderson, 2015; Yost and Chang, 2009). This in turn implies the creation and nurturing of ‘in-groups’ and ‘out-groups’, which we discussed in Chapter 8. These groups also have the potential to impact negatively on leader–follower relationships and teamwork (e.g. DeLong and Vijayaraghavan, 2003). The exclusive approach brings to the fore the centrality of organizational culture and climate, especially how TM practices are operationalized by leaders and line managers and how, in turn, these practices are perceived by employees (Sumelius et al., 2019). For example, leaders who typically value more inclusive approaches to managing and developing people may be more critical of exclusive forms of TM.

In contrast, the inclusive approach to TM does not discriminate or differentiate the workforce based on the extent of talent, contribution or potential. Rather, fair and equal access to career development and progression opportunities is available to all employees (Swailes et al., 2014). The belief is that every employee has some degree of talent, that talent can be nurtured and developed over time, and that all employees are capable of contributing in some way to organizational performance (Gallardo-

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Gallardo et al., 2013). Although valuing talent equally perhaps sounds appealing and guards against workforce polarization, the corollary is that organizations tend to find it more difficult to develop clear talent pipelines and succession plans for medium- to long-term business needs. Moreover, resources (financial and non-financial) are spread more thinly across the organization, as opposed to being strategically aligned with and directed towards identified talent pools.

Finally, where TM rests on the inclusive approach, it may be beneficial for organizational leaders to deepen their understanding of the nature of inclusive TM within their organization. This clarifies an organization’s TM offering through differentiating between routine HRM and training provision, and actual TM practices. Thus, even if all employees are valued equally as possessing talent or potential, identifying how particular skills and talents could be more effectively and consistently differentiated and leveraged at particular career junctures may prove beneficial. Talent differentiation could then be more clearly aligned to the organization’s strategic objectives as well as individuals’ career development and aspirations (Collings, 2014).

Pause and reflect

For organizations that adopt an exclusive approach to TM, how might this affect leader–follower relations? Conversely, what might be the leader–follower implications where a whole workforce or inclusive approach to TM is used? (Hint: see Chapter 8 and the discussion on relational theories of leadership.)

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Leading and Managing Talent Avedon and Scholes (2010: 92) note that ‘Nothing defines success better than when the TM practices are so ingrained in the organization that they are part of the management culture.’ This statement underscores the important role that both senior leaders and line managers play in mobilizing and managing an organization’s talent. While the HR function may be the champion, or guardian, of TM strategy and practices (Farndale et al., 2010), line managers are ultimately responsible for their enactment on a day-to-day basis (Purcell and Kinnie, 2007). It is important to be aware that the way in which TM practices are intended by management might differ considerably from how they are perceived and understood by employees (Thunnissen, 2016). This is often dependent on the dominant organizational culture and is regarded as the implementation gap (e.g. Boxall, 2012). For example, there may be a tradition in the organization for people to be promoted on their seniority, rather than through a competitive internal process. It is therefore suggested in the literature that managers consistently reinforce and role-model the desired behaviours, values and leadership styles. While there are many areas of overlap between the roles of senior leaders and those of operational line managers (see Chapter 1), there are also some notable differences. The extent of these differences is influenced by the size and structure of the organization. For example, larger organizations tend to have more hierarchical and bureaucratic structures and reporting lines than small and medium-sized enterprises (SMEs). Thus, large organizations typically have more demarcated roles and responsibilities for leadership and management. For the purpose of this chapter, the term ‘leader’ is intended hereon as a generic term encompassing all aspects of TM and leadership. The following section examines the key high- level responsibilities of leaders in the TM processes.

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Workforce planning As we discussed in Chapter 9, workforce planning is concerned with ensuring that the right person is in the right job at the right time. To do this, leaders first need to understand the composition of skill needs and gaps within their area of responsibility. This process, as we explained, often involves subjective managerial judgement to assess skills (Taylor, 2016). Further, there is an acknowledgement that traditional workforce planning does not address some important issues relating to talent promotional prospects. Such issues indicate a need for a more encompassing HR system (Guerry et al., 2015).

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Talent attraction The ability to attract the best talent is a critical aspect of TM. An effective recruitment and selection strategy calls for an understanding of the organization’s employment offering and employer brand (Ambler and Barrow, 1996). According to Walker (2008), an employer brand relates to an often intangible set of attributes and qualities that make an organization unique, promises a particular kind of employment experience, and is attractive to people who are likely to perform best within its culture. The strength (reputation) of an employer brand can therefore have considerable impact on the extent to which an organization is viewed by prospective employees as being an ‘employer of choice’. Thus, the employer brand plays a pivotal role in either attracting or deterring particular people from the labour market. Complementing the employer brand, Hatum (2010: 37) emphasizes the importance of also developing a strong employee value proposition (EVP), which he defines as ‘what employees can expect to receive from the company in exchange for the work they perform’. For Michaels et al. (2001: 43), an EVP is concerned with ‘how well the company fulfils people’s needs, their expectations, and even their dreams’. This observation might sound familiar as it very much links in with the notion of the psychological contract, discussed in Chapters 8 and 9. Making judgements on an individual’s personal characteristics and suitability for employment is inherently problematic and many routine ‘selection methods contain significant flaws’ (Rumbles and French, 2016: 186).

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Performance and reward management Performance management (PM) is an everyday management activity aimed at ensuring the effective management of individuals and teams to achieve high levels of organizational performance. Effective PM is a critical component of TM. For Bach and Edwards (2013: 223), its value resides in ‘the cycle of integrated activities, which ensures that a systematic link is established between the contribution of each employee and the overall performance of the organisation’. Therefore, leaders use PM tools and processes, such as individual performance appraisal (IPA), to direct, monitor and evaluate employees’ performance against their specific work objectives and their overall contribution to the organization’s strategic objectives.

PM can be viewed as a systemic process by looking at the employee life-cycle and the TM activities that potentially contribute to improved performance (Rees and Tymon, 2016). Thus, PM can be used to identify, rate and reward talent and high potential, and to formulate learning and career development plans that are reflective of performance ratings. Despite their potential importance to TM decision making, PM processes are often criticized for being outdated, reactive, overly complex and ineffective (e.g. Armstrong and Baron, 2005) and encourage managers to be fixated on targets (Reeves, 2008). The efficacy of PM processes therefore needs to be considered carefully within the context of any TM strategy (see Chapter 13).

There are also many theories of performance-related pay and reward. The question of whether money is a motivator that can lead to enhanced performance is a very complex one with no definitive answer (Latham, 2007). Suffice to say, as we discussed in Chapter 9, both motivation and performance are affected by many ‘intrinsic’ and ‘extrinsic’ factors. Individual performance, reward and TM decision-making processes are often interlinked and, as such, consideration needs to be afforded to their compatibility and consistency.

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Talent development The business case for investment in talent development is built on the economic goal to sustain organizational performance in a turbulent environment (Tymon and Mackay, 2016). Talented employees need to be strategically developed in line with the organization’s goals and objectives. Endorsing the RBV model (Barney, 1991), most organizations invest in talent training and development in order to update employee skills, improve job performance and develop the competencies and dynamic capabilities that employees need to meet the strategic objectives of their organizations. Training and development are also important to talented employees for whom they increase employment duration, commitment and career advancement (Tharenou, 2013).

According to Garavan et al. (2012), effective training and development require the creation of a flexible TM architecture, wherein employees can be strategically and continuously developed and mobilized to where their contribution is best suited or required. Within this architecture, and with the caveat that employees also have a responsibility to develop themselves, leaders are usually well equipped to assist in the sourcing, creation and facilitation of both formal and informal development opportunities for employees (Conger, 2010). For example, employees might undertake formal qualifications, training or coaching as part of their exclusive talent development programme. On an informal level, leaders are also often well placed to connect employees, for instance through mentoring or establishing networks with senior leaders or subject matter experts.

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Talent mobilization The TM architecture is intended to facilitate continuous development and mobilization of talent to ensure that the right skills are available and can be deployed in the right place at the right time. Within smaller organizations, this might simply be about ensuring or sharing the availability of skills across departments or functions, whereas in MNCs, talent mobilization may be on a regional, national or global scale (Collings et al., 2018). While there is a tendency to consider TM in the context of talented ‘individuals’ or ‘stars’, Gold et al. (2016) highlight that performance is normally enhanced through collective endeavour, for example through projects teams sharing ideas and learning together rather than individual application of talent. The synergies derived from teams and talent blending are therefore important. For this reason, leaders need to pay attention to how work is organized and how jobs and teams are configured in order to maximize skills utilization and performance (Grant et al., 2014; Grant and Maxwell, 2018). For example, leaders can play an important role in helping to break down traditional departmental silos and professional or skill barriers through encouraging inter-disciplinary project and cross-organizational working.

Pause and reflect

Within larger organizations, what might be the key differences between senior leaders’ and line managers’ roles and responsibilities in TM?

Leadership in Action: Leading talent within Skyscanner

Part of the Ctrip Group and founded in 2003, Skyscanner is a leading global travel search site. The website is free to use, is available in 30 languages, and is used by approximately 70 million people per

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month. Its simple vision is ‘to inspire travellers around the world and make travel search as easy as possible through our world-class technology.’ Skyscanner now employs over 1,000 people across nine offices around the world. Skyscanner is an organic, high-growth business and one of its key growth needs, according to Ruth Chandler, Chief People Officer, is being able to attract and retain talented people with high learning agility. Skyscanner’s resourcing strategy is to hire the best talent the market has to offer with competencies such as leadership, adaptability, resilience and teamwork, as well as technical skills.

Inclusion and diversity are high on the talent agenda and the company’s approach to TM appears inclusive and transparent. Leaders seek to understand both the business and individuals’ needs in order to strive to implement development solutions that offer a ‘win/win’ outcome. The culture at Skyscanner is organic, collegiate and developmental. Chandler explains that the culture is ‘forgiving’, in that people are encouraged to experiment and test new ideas, and cites examples of ‘quick up-skilling and accelerated development’ across the business. Skyscanner understands that employee engagement is a key driver of performance. Chandler explains that, critical to Skyscanner’s success, leaders understand how to build trusting relationships with their teams and are able to balance this with operational delivery. Leadership development therefore focuses not just on leaders’ traits, but also on the business context.

One of the challenges for Skyscanner’s leaders is analysing the general environment over both the long and short terms, in order to understand what the business needs today as well as keeping an eye on the future to support its growth. Chandler acknowledges that the agile and flexible approach to TM can make it more difficult to map out traditional career paths. Policies therefore act as guidelines, designed to facilitate rather than restrict talent potential and performance. Chandler also recognizes that, as the business continues to grow, its approach to TM may need to become more formal, while at the same time being able to maintain its unique culture and employee agility.

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Reflective question What are the strengths and limitations of the inclusive and flexible approach to TM that Skyscanner has adopted? Do you think this approach would work as effectively in other types of organizations?

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Source Based on an interview between Dr Kirsteen Grant (chapter author) and Ruth Chandler, Chief People Officer at Skyscanner.

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To explore this topic further see: www.skyscanner.net

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The influence of ‘talented followership’ onco-producing leadership We have seen that leadership is dependent upon followership. However, while the concept of talented leaders is widely discussed in literature, little consideration is given to the importance or influence of ‘talented followers’. Recent perspectives on followership depart from traditional interpretations which adopt a leader-centric perspective and assume the presence of an organizational hierarchy, or power distance, between leaders and followers (DeRue and Ashford, 2010). More recently, scholars have advocated a growing need for shared, or relational, approaches to leadership whereby leaders and followers work collaboratively to ‘co-produce’ leadership at both local and organizational levels (Reicher et al., 2005). This idea of co-production emphasizes leadership as a ‘process’ (Uhl-Bien et al., 2014: 83), which integrates both formal and informal leadership and suggests that leadership is shared between leaders and followers. In other words, it is devolved throughout an organization. As such, co-production of leadership requires followers to demonstrate key skills and qualities that would traditionally only have been required by leaders. Effective followers perform in ways that are mutually beneficial to leaders and followers, for example by demonstrating an understanding of the strategic aspects of the business, possessing high levels of task knowledge and being able to engage in effective upward communication and constructive challenge. Followers are also likely to benefit from high levels of self-awareness and emotional intelligence, as with effective followership comes the ability to engage in reflective practice and demonstrate a moral and ethical responsibility for one’s actions (Northouse, 2019).

Arguably, this emerging followership paradigm elevates the role of followers to one that is ‘broader and more consequential’ (Shamir, 2007: xi) than within traditional interpretations of followership. As such, the growing recognition of ‘exemplary’ or ‘star’ followers, to

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use Kelly’s (1992) terms, suggests that exemplary followers are capable of crafting positions of significant influence within organizations through the co-creation of a culture of (formal and informal) leadership throughout an organization. This, in turn, creates a virtuous cycle of dynamic leader–follower interactions whereby leaders are followers and followers are leaders. Many of the qualities possessed by leaders and followers working together to co-produce leadership are therefore mutually reinforcing. This contemporary perspective, or reversed lens (Shamir, 2007), which holds that ‘followership co-creates leadership’ points to the potentially important role of TM in leader–follower relations – one which has received very limited research attention to date. The obvious inference is that the co-production of leadership may be most effective when formal organizational leaders work with the most talented employees (e.g. Riggio et al., 2008). In other words talented followership. If one accepts the view that talented followership is required to create great organizational leaders, then traditional views of ‘high potential leadership talent’ perhaps need to be re-examined. Moreover, this also raises important questions concerning the eligibility criteria and future content of leadership development initiatives and programmes within organizations.

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Collaborative Talent Management We have seen throughout this chapter that using skills and talent to their full potential requires the appropriate organizational infrastructure and blending of talent (Gold et al., 2016). This talent infrastructure may be contained within an organization (intra- organizational collaboration) or it may span two or more independent organizations (inter-organizational collaboration). Intra-organizational collaboration thrives within enabling organizational cultures and flexible structures that value talent mobility, teamwork and developmental assignments. This is also true of external collaborations, for example, between different universities and external entrepreneurial ‘hubs’, although these tend to be more complex to initiate due to multiple competing demands and the diversity of ideas and expectations of collaborating partners. This is often the case when initiating TM collaborations as mirroring one of the key debates inherent in the TM literature, collaborators often lack consensus on the scope and definition of TM, which means that the outcomes and value to be derived from the collaboration may also lack clarity (Gadsden et al., 2017).

Pause and reflect

What do you think are the main challenges of internal TM collaboration? What about external, or inter-organizational, TM collaborations? (Hint: see Chapter 17 and the discussion on cross- organizational leadership.)

Practitioners can gain many advantages from working across organizational boundaries through collaborative TM. For example, collaborations facilitate the sharing and generation of new knowledge and innovation, and collaborative processes can improve the efficacy of working practices through pooling resources such as technology, facilities and finance. While leading

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collaborations can be highly challenging (Huxham and Vangen, 2000), inter-agency or inter-organizational collaboration among public service organizations in particular can be extremely beneficial in avoiding unnecessary duplication and improving the end-to-end journey of the customer or service user. An example is the integration of health and social care services in the UK. This means that health and social care organizations are working more closely to understand each other’s needs, roles and challenges, and jointly co-produce innovative solutions for mutually beneficial outcomes.

Critical Insight: Inter-agency collaborative talent management

UK public service organizations are facing increasing pressure to work together more efficiently to design and deliver public services. They face significant talent shortages and operational pressures in the foreseeable future. In Scotland, the Commission on the Future Delivery of Public Services (Christie Commission, 2011) proffered a number of recommendations, including:

public service organizations to develop a systematic and co- ordinated approach to workforce development; combining leadership and management development into a single cross-public service development programme; development of a competency framework to apply to all public service workers.

A report by the Office of the Deputy Prime Minister (ODPM, 2005) echoed similar messages for public services in England and Wales.

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Activity 1. What opportunities do the recommendations offer to improve:

(a) skills and talent development, and (b) service delivery and service user experience?

2. What unintended consequences might be associated with implementing such recommendations?

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Sources Christie Commission (2011) ‘The commission on the future delivery of public services’. Available at www.gov.scot/resource/doc/352649/0118638.pdf (accessed 17 September 2019).

Office of the Deputy Prime Minister (ODPM) (2005) ‘Vibrant local leadership’. Available at http://forumpartnerships.archiv.zsi.at/attach/UK_05_R_ODPM_Vibran tLocalLeadership.pdf (accessed 17 September 2019).

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Further reading Gadsden, S., McLaughlin, D., Grant, K., Mackie, R., Cassidy, N. and Derbyshire, H. (2017) ‘Talent management in public services in Scotland’. Available at www.improvementservice.org.uk/documents/research/talent- management-final-report.pdf (accessed 30 September 2019).

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Critiquing the Talent Management Debate The HRM canon has been subject to widespread criticism (Bratton and Gold, 2017) and the analytical approach of this criticism can be applied to TM. Critical scholars lament that much of HRM research does not adequately emphasize structural antagonisms and contradictions (Thompson and McHugh, 2009), the routine neglect of those most directly impacted by HR policies and practices – the employees (e.g. Thunnissen et al., 2013) – and the ‘collateral damage’ resulting from the application of HR policies and practices (Delbridge and Keenoy, 2010: 803).

The hyperbole surrounding the global talent ‘war’ leaves little room to dispute the strategic importance of TM. However, a large number of commentators have sought to explore the ambiguity associated with the term ‘talent management’ itself. The term, while ubiquitous in the scholarly and practitioner literatures, remains shrouded in conceptual ambiguity (Gallardo-Gallardo et al., 2013; McDonnell et al., 2017). The major area of contestation arises from extreme variations in interpretations of who are considered to be ‘talent’ and how they should then be strategically developed and managed (Lewis and Heckman, 2006). This calls for organizations to clarify what type of talent is most valued within their organizational context for competitive advantage – technical expertise, specialist knowledge, leadership potential, or a combination of these. In other words, leaders need to address the question of ‘Talent for what?’ (Thunnissen, 2016).

Pause and reflect

Who, in your view, should be regarded as ‘talent’ within an organization? For example, do you believe the term should encompass all employees; future high-potential employees; star

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performers, etc? What might be the leadership implications of defining talent according to your view?

The pure ‘talent’ or ‘star’ paradigm might be considered a highly decentralized employment model. Its premise is that recruiting talented people and allowing them the ‘freedom’ to perform with minimal rules and supervision is the best way to achieve sustainable competitive advantage. However, research evidence on the effectiveness of ‘“star-focused” organizations is at best “ambiguous”’ (Heckscher, 2015: 249). It is also noteworthy in much of the TM research that there has been a failure to critically scrutinize the ‘unintended consequences’ and, in particular, how the ‘talent paradox’ plays out between the actors (Daubner-Siva et al., 2018: 75). Relatedly, while research suggests that talented employees tend to derive more positive attitudinal outcomes (Björkman et al., 2013), the largely managerialist nature of TM scholarship to date unwittingly assumes that TM practices result in mutual (employer–employee) gains. As in strategic HRM, evidence-based analytical TM is highly relevant given that its raison d’être is to leverage talented people’s knowledge and capabilities. Moreover, given the growing demands for organizations to develop strategies which are environmentally sustainable and socially just, a reflexive, critical analysis of TM is equally important to understanding leading and managing people in contemporary organizations (Bratton and Gold, 2017).

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Conclusion Since the later 1990s, TM has become a topic of immense interest. We have seen that being able to attract, develop, mobilize and retain the most talented people is arguably the main challenge facing all organizations. Yet, despite the enduring interest in TM, the meaning of talent and TM and its scope is contested. This means that organizational context is important and TM might look and feel differently within different organizations and business sectors. An important variation in the operationalization of TM is the extent to which an organization considers talent as being an exclusive (targeted at particular roles or people) or inclusive (whole workforce) approach.

No matter which interpretation of TM senior leaders adopt, the premise of talent leadership is that it calls for the mobilization of collective human capability, the pooling of existing and new knowledge, and the deployment of resources across the organization. This chapter has offered a framework for examining and understanding leaders’ roles and responsibilities in identifying, developing and managing talent. We have emphasized that leaders play a crucial role in ensuring that the right skills are available, effectively managed to maintain employees’ commitment and engagement, and mobilized in the right place and at the right time. Organizational leaders are instrumental in identifying and developing talent and high-potential employees to meet the current and future needs of their organization.

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Chapter Review Questions

1. What are the strengths and limitations of exclusive and inclusive approaches to TM?

2. What are the key areas of complexity for leaders to be aware of when conceptualizing and deploying TM in their organization?

3. In what ways can collaborative TM benefit each partner, and what pitfalls should they be aware of when initiating collaborations?

Assignment Task: The CEO of Guardian Life in anage of digital disruption

This assignment task is based on a short interview with Deanna Mulligan, CEO of Guardian Life. The interview was conducted by Rik Kirkland, a Partner with McKinsey (New York Office). Watch the video at www.mckinsey.com/business-functions/organization/our- insights/the-ceo-of-guardian-life-on-talent-in-an-age-of-digital- disruption or read the interview transcript and then answer the questions below.

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Questions 1. What do you think about the idea of ‘disruption’ in business and

deliberately seeking to hire people who have the necessary skills and experience to lead an organization through new disruption?

2. Thinking about the rise of the gig economy and millennial talent that wants to be independent, how might contemporary organizations best tap into this talent? What barriers might they face?

3. How do you think the talent mindset within Guardian Life is changing and challenging the traditional HR function?

Go Online

Explore the real world of leadership by reading this case study:

Sydney Brian-Peters: A Case Study in Gender and Leadership Issues

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Stephen Moir, Executive Director of Resources for the City of Edinburgh Council, shares his insights into inclusive talent, how an

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organization can attract the right talent and the importance of the employer brand.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Avedon, M.J. and Scholes, G. (2010) ‘Building competitive advantage through integrated talent management’, in R. Silzer and B.E. Dowell (eds), Strategy-driven Talent Management: A leadership imperative. San Francisco, CA: Jossey-Bass, pp. 73– 122.

Collings, D.G., Mellahi, K. and Cascio, W.F. (eds) (2017) The Oxford Handbook of Talent Management. Oxford: Oxford University Press.

Lewis, R.E. and Heckman, R.J. (2006) ‘Talent management: a critical review’, Human Resource Management Review, 16 (2): 139–54.

McDonnell, A., Collings, D.G., Mellahi, K. and Schuler, R. (2017) ‘Talent management: a systematic review and future prospects’, European Journal of International Management, 11 (1): 86–128.

Meyer, K.E. and Xin, K. (2018) ‘Managing talent in emerging economy multinationals: integrating strategic management and human resource management’, The International Journal of Human Resource Management, 29 (11): 1827–55.

Meyers, M.C. and van Woerkom, M. (2014) ‘The influence of underlying philosophies on talent management: theory, implications for practice, and research agenda’, Journal of World Business, 49 (2): 192–203.

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Case Study: Leading talent within Royal Bank of Scotland

In 2009, some UK banks recorded losses of £28 billion. The scale of the banking crisis led to public acts of atonement before the British Parliament Select Committee and widespread public criticism of what was described as the ‘buccaneer culture’ of US and UK banking (Bratton and Bratton, 2015: 315).

A decade on, RBS employs some 77,000 people across its global operations, providing a wide range of products and services to personal, commercial and large corporate and institutional customers through a number of well-known banking brands. The executive management team has endeavoured to return the bank to financial viability at functional level, and senior managers have led the way in building a different organizational culture. Greig Aitken, Group Head of People, Strategy and Insight at RBS, explains that in the enduring period following the global financial crisis, a key part of RBS’s recovery plan resided in its ability to develop a people strategy that ensured it was able to attract, engage and retain great talent to support RBS’s ambitions. Aitken explains:

We focus heavily on identifying the key drivers to sustained high performance in leaders and their teams as well as what drives strong engagement and discretionary effort. To do this, we looked at what differentiates great leaders, highly engaged staff, and effective line managers and what impact these attributes have on business performance.

A key element of Aitken’s role is working with leaders from across the businesses to help them fully understand the effectiveness of their people management and its impact on bottom-line business performance. Citing the well-known adage that ‘what gets measured gets managed’, Aitken explains that RBS’s evidence-based data measures form a core part of their human capital approach, with each leader having desktop access to his or her own team’s results. Indeed, over 4,000 separate teams across the multiple businesses receive updated leadership and engagement index scores twice a year to support their planning and assess the progress of their people.

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These data enable and empower leaders and managers to make more informed talent decisions, target their efforts and ensure that they understand their role in building high-performing teams. Performance and talent development then centre around five integrated indicators of sustainable high performance in leaders and their teams, namely: organizational culture; employee engagement; leadership; line management effectiveness; and RBS’s bespoke Determined to Lead (DTL) performance excellence programme.

But it’s not just about metrics. Aitken is passionate about supporting leaders through insight as well as data. Highlighting the crucial role that leaders play in talent development and retention, he reminds us that for many people, they join a company but ultimately leave their manager. He emphasizes that there must be a focus on the ‘how’ (behaviours) as well as ‘what’ is being done, and stresses the importance of equipping leaders and managers, at all levels, with the support they need for both themselves and their teams to flourish. For example, leaders have access to a range of tools and techniques to help them drive up people performance, including a dedicated online ‘global career hub’ complete with interactive toolkit and self-service 360-feedback tool. Aitken refers to the importance of ‘joining up the dots’ through the integration of leadership tools, coaching and key behavioural and relationship techniques that are developed within the DTL programme.

The term ‘talent’ is part of RBS’s everyday language, but there is an assumption that no employee is devoid of talent and that talent has to be recognized at different levels. No matter what the level of employee, RBS’s EVP encompasses four key elements: a fulfilling job; excellent training; fair pay (including flexible benefits); and good leadership. According to Aitken, ‘we often recruit for attitude and train for competence. It’s more about how we tap into and develop talent. We need to get the right skills in the right place.’ He explains that succession planning is common at senior and upper-echelon levels, but that there is also flexibility for people to move between functions to gain experience and develop their career paths in the way they aspire to. For instance, Aitken cites RBS’s Next Generation Leaders’ Programme as an example of a critical talent development programme, and emphasizes the importance of building diverse skills for jobs that do not even exist yet.

RBS’s leadership and talent interventions have certainly led to some impressive results. The Bank found that two of its most predictive measures resided in its leadership index and engagement index (both designed in partnership with Harvard Business School and Willis Towers Watson). In 2014, its leadership index was 2 percentile points below the financial services sector norm for global banks. Now, in 2018, it is 8 points above the norm. Similarly, between 2014 and 2018, its employee

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engagement index rose from 16 percentile points below the sector norm to 2 points above. According to Aitken:

We’ve found that where you have strong leadership and strong engagement, you have significant out-performance in sales and customer service. Discussing important topics such as leadership with business leaders gets much more traction and sustained attention if they’re directly linked to business outcomes and customer service.

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The problem Currently, line managers’ understanding of their team’s performance data is variable across the business. Many line managers do not see the added value of performance metrics and, consequently, there is a general lack of buy-in and commitment in some areas to using the data. However, quantitative measures of employee and team performance are important to RBS and the key leadership challenges are threefold: (1) deepening line managers’ understanding of their team’s performance data; (2) increasing managers’ buy-in and commitment to using the data; and (3) empowering and supporting managers to make qualitative and demonstrable performance improvements.

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Case exercise It is widely recognized that there are many pitfalls with targets. Reeves (2008) used the term ‘targetology’ to describe the fixation of many organizations with meeting targets. With this in mind, working in a group or alone, prepare a report that:

1. Examines the strengths and limitations of focusing on performance data as a means of driving up people performance.

2. Explains how leaders could make better use of performance data to improve TM practices.

3. Suggests what, if anything, leaders in SMEs can take from RBS’s approach.

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Source www.rbs.com, accompanied by an interview between Dr Kirsteen Grant (chapter author) and Greig Aitken, RBS Group Head of People, Strategy and Insight.

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Sources of additional information CIPD (2013) ‘Talent analytics and big data – the challenge for HR’. Available at www.cipd.co.uk/knowledge/strategy/analytics/hr-challenge- report (accessed 30 September 2019).

Davenport, T.H., Harris, J. and Shapiro, J. (2010) ‘Competing on talent analytics’, Harvard Business Review, October. Available at https://hbr.org/2010/10/competing-on-talent-analytics (accessed 15 November 2019).

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11 Performance Management and Leadership

Bernadette Scott

‘If your actions inspire others to dream more, learn more, do more and become more, you are a leader.’’

John Quincy Adams, 6th US President

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Chapter Outline Introduction The nature and purpose of performance management Determinants of employee and organizational performance Historical milestones in the development of performance management The performance management appraisal process Modelling leadership and performance Problems of methodology and theory Criticism of individual performance appraisal Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

understand the crucial link between leadership and performance management in organizations; explain the importance of context in the changing role of the leader and other stakeholders in the historical development of performance management processes and practices; examine innovative leadership influences on performance management activities in contribution to the achievement of contemporary organizational goals; critically evaluate research on the leadership–performance relationship; explain some criticisms and paradoxes in relation to performance management.

video

To learn more about performance management, don’t forget to watch the video conversation for this chapter online.

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Introduction The search for a causal link between leadership effectiveness and organizational performance has been a dominant theme in the literature for almost a hundred years. You should be acquainted with this theme, as it is a topic we have discussed in previous chapters, including Chapters 7 and 9. As we indicated, evaluating the leader–performance relationship presents tough theoretical and methodological challenges for scholars. Andersen (2002) contends that there is a lack of clarity about the contribution of leadership to organizational performance. The contention is a methodological one and stems from a research preoccupation with the leaders and their personal attributes, rather than how they change processes or organizations (Dinh et al., 2014). The ability of a leader to be a catalyst in this change is important for the performance of followers (Ng, 2016). The premise that leaders and followers co-produce the leadership relationship (Chapter 8) requires an understanding of the process of performance management, and an understanding of the leader’s contribution to performance outcomes. Indeed, the transformational approach to leading people partly depends upon ‘contingent reward’, which explicitly provides for leaders to provide feedback on effort by individual followers or small groups of followers.

This chapter begins by establishing the definition and purpose of performance management and examines how contextual variables mean that flexibility and adaptability of the processes are crucial to the achievement of success. It will then outline briefly some historical milestones in the development of performance management. The chapter then examines the contribution of leadership to organizational performance and the theoretical and methodological challenges associated with the research. It will allow the reader to make connections between innovative approaches to performance management and the leadership influence on these in the achievement of organizational goals in contemporary organizations. Finally, the chapter explains some criticisms of performance management.

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The Nature and Purpose of Performance Management There are numerous definitions of performance management in mainstream literature and the CIPD’s most recent definition is frequently cited:

Performance management is the activity and set of processes that aim to maintain and improve employee performance in line with an organisation’s objectives. It’s strategic as well as operational, as its aim is to ensure that employees contribute positively to business objectives. Ideally, performance should be managed holistically, throughout the range of HR activities and processes (2018a).

For Bratton and Gold, performance management refers to

the set of interconnected practices designed to ensure that a person’s overall capabilities and potential are appraised, so that relevant goals can be set for work and development, and so that, through assessment, data on work behaviour and performance can be collected and reviewed. (2017: 186)

These definitions emphasize three important factors: first, at the centre of performance management (PM) is work performance, and managing the performance of employees is the essence of managing the employment relationship. Second is the implication that PM is a ‘continuous process’ (Biron et al., 2011: 1295) that not only can determine reward to the employee but also involves training and developing employees in line with organizational strategy and goals (see Figure 11.1). Third, PM yields measurements that can be used to close the ‘gap’ or space

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between what is promised by an employee and what is realized in terms of work performance. In this context, the tools, which are used to communicate the goals of the organization to individuals, assign goals, track progress in the achievement of those goals and are designed to render followers and their performance behaviour predictable and calculable (Townley, 1994: 14).

Image 11.1 At the centre of performance management is performance, and managing the performance is the essence of managing the employment relationship. As such, performance management is a continuous process and yields measurements that can be used to close the gap between what an employee promises and what is realized.

PM activities are not just designed to improve performance results, they also incorporate employee behaviour considerations which indicate other action, such as commitment to the organization, which can be measured separately and add value (Brumback, 1988). An attempt to define PM is therefore complex as it involves focus not only on the task in hand, but also on the effort (motivation, behaviour and competencies) involved for the parties in the process. We have discussed competencies in Chapters 8 and 9. They can be described as the knowledge, abilities and skill sets which help to identify and drive performance in organizations. They can also be used to discern between those

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who have leadership potential and those who do not (Olesen et al., 2007). This is because competencies are usually linked to the bedrock of the business in terms of core organizational values, strategic focus and objectives (Campion et al., 2011). Competencies are therefore connected to the positive achievement of organizational performance (Levenson et al., 2006) and the processes around it. Armstrong and Taylor (2017: 322) stated that ‘performance management is a systematic process for improving individual, team and organizational performance.’ All components, including employee roles in the process, make up the necessary ingredients for success in effective performance management. There is a need to consider not only the ‘who’ factors (individuals/organizations) but also the ‘how’ (the techniques, behaviours and competencies deployed).

Individual performance appraisal (IPA) techniques are widely used to gather information about individual employees that are frequently disseminated to other HR functions, such as training (Brown and Lim, 2013). In this sense, IPA now forms part of the culture and climate in many work organizations (see Chapter 4). However, to be successful they must take advantage of both formal and informal channels in process and practice. Techniques deployed in PM practice are crucial in contemporary business and the effective management of the performance process is just as critical, but also complex because it will involve an evolving consideration of four crucial factors for any organization, according to Kenerley and Neely (2003):

Process: to allow review, modification and action of performance measures. People: to ascertain the availability of required knowledge and skills, determine their use, the ability to reflect upon decisions, modification activity and action initiation. Systems: to ensure available and flexible systems to enable collection, analysis and reporting of the required data to support performance activities. Culture: by virtue of its existence will either support or negate the value of measurement activities and their maintenance as well as engender positive organizational appreciation for the process.

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The purpose of PM can be simply defined as the strategic element of HRM concerned with getting the best results for an organization by joint partnership with individuals. It is ultimately about the creation of value and about ensuring that the talent, whatever their role in the organization, are involved in and engaged with the successful attainment of business objectives. According to the CIPD (2018a), the broad purpose of PM is to:

establish objectives through which individuals and teams can see their part in the organization’s mission and strategy; improve performance among employees, teams and, ultimately, organizations; hold people to account for their performance via linkage to reward structures, career progression and potential termination of contract.

Any PM process has therefore to be continuous, strategically integrated and cyclical. It must take cognizance of the context within which the organization operates and consider not only short- to medium-term goals, but also those in the longer time frame. It will typically encompass planning activity in accordance with business objectives, it will manage plans as enacted upon and it will enable review, then ongoing development activity. It will reward appropriately and will be flexible and adaptive enough to inform the next tranche of planning for effecting organizational performance (see Figure 11.1).

Figure 11.1 The performance management cycle

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Pause and reflect

Thinking about the assessment of your university module, what kind of assessment activities could leaders and managers use to determine training intervention?

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Determinants of Employee and Organizational Performance From a managerial perspective, where the leader and manager is expected to ensure the more efficient and effective use of resources, successful organizations are arguably those who can ensure that their strategic processes and practices are of the correct quality to provide the expected outputs (Tomal and Jones, 2015). The extent to which IPA affects individual and organizational performance outcomes is contingent upon the context and interconnectedness of innumerable variables and mechanisms, including business model effectiveness and efficiency (Boyatzis and Ratti, 2009; Budworth and Mann, 2011; Ryan et al., 2009). In the area of macro economics, for example, the cost of borrowing and fluctuations in exchange rates for currencies impact on investment and exports, and thereby organizational performance. New technology is another variable that has the potential to enhance organization performance and profitability significantly without any change in either leaders’ or followers’ competence or behaviours. These variables are dependent on the specific organizational setting, and it is ultimately knowledge of individual organizational contexts as well as the ability to be flexible, agile and adaptable in the approach to performance processes and practices that provide a crucial element in the achievement of success. Almatrooshi et al. (2016) have proposed a framework in an attempt to identify those constructs which influence employee and organizational performance (see Figure 11.2).

This framework is leader-centric in that it places the competence of the leader as pivotal to the success of an organization. Contrary to theories of followership, Almatrooshi et al.’s model is predicated on the assumption that individual employee and organizational performance is influenced, if not determined, by leadership competency skills. The model also shows a connection between emotional intelligence (EI), social intelligence (SI), leadership competencies and organizational performance (Miyake and

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Friedman, 2012; Mustaffa et al., 2013). EI is the capability of leaders to recognize their own emotions and those of followers. SI is more expansive and refers to the leader’s capacity to know herself or himself and to know followers. It has also been conceptualized as an aggregated measure of self and social awareness, evolved social beliefs and attitudes, and a capacity to manage change (Goleman, 2007). In relation to the leadership and followership theories, if a leader or a follower is able to ‘feel’ what others are feeling or ‘read’ what is happening in complex situations, they are said to have social intelligence.

Figure 11.2 A framework for determinants of performance management (Almatrooshi et al., 2016)

According to Ryan et al. (2009), however, it is the ultimate incorporation of all three – cognitive intelligence, EI and SI – that builds effective leadership for the benefit of the organization. Leadership competency will form and nurture followers, the culture of the organizational culture, and thereby enhance both

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individual and organizational performance, and it is this process of leadership which, according to Carpenter and Sanders (2007), creates added value and makes the business offering unique.

Both external and internal contextual factors, as we discussed in Chapters 2 and 4, also influence an organization’s uniqueness and play a major part in creating a competitive advantage (Edmonstone, 1996). Haines and St-Onge (2012) argue that the shared vision and experience of culture and social climate of the organization, in tandem with effective integration with the HRM function, can heavily influence the effectiveness of the outcome of PM for employees. This includes the contextual consideration of organizational politics influencing the process (Levy and Williams, 2004). Rusua et al. (2016), for example, advocate that the inherent power of the performance appraisal, as a core aspect of contemporary IPA practice, should be used to increase performance, using the context in a more dominant way. They argue that this customization will provide focus on the importance of process and structural factors (Armstrong and Ward, 2005; Murphy and DeNisi, 2008). Structural factors, such as levels of management, the design of work and use of technology, it is argued, will be unique to the context (across organizational strategy, culture, business objectives) and permit ‘focus on the HR context and employee motivation which have a significant influence on employee performance appraisal as an important instrument with a potential positive impact on employee work performance’ (Rusua et al., 2016: 64). Another contextual factor to consider in influencing performance is good communication (see Chapter 13).

Pause and reflect

Thinking about your own work experience, or that of a friend or family member:

1. What are your views on PM? 2. If you have been performance managed, make some notes on

what you felt about the process personally. Did it make you

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perform better? Did you feel motivated after it? Explain why or why not.

3. If you have never been involved in a PM process, make notes on how you think it might feel for the employee in terms of making them work more efficiently or increasing their motivation.

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Historical Milestones in the Development of Performance Management The notion of improving performance in organizations was born out of industrialization and the move from the rural, artisan nature of manufacturing, to the urban setting of factory, and large-scale mechanization, which needed to be tightly controlled and monitored. The goal was to increase efficiency, productivity and maximize individual performance through systematic management interventions using systematic approaches. The American mechanical engineer, Frederick W. Taylor (1856–1915), pioneered the theory of ‘economic man’, which in the early 20th-century led to the beginnings of appraisal systems that were closely linked to employee motivation along with discretionary effort and performance-related pay (PRP). Henry Ford (1863–1947) applied Taylor’s management principles to car manufacturing. The flow- line principle of assembly work – often called ‘Fordism’ – involved a greater fragmentation of tasks and the recording of time to complete allocated tasks. Ford stated his approach to people management: ‘The idea is that man … must have every second necessary but not a single unnecessary second’ to complete a task (quoted in Bratton, 2015: 48). These early PM systems were blunt in nature and relied heavily on the subjective judgement of those in charge (despite the claimed scientific approach) and did not focus on the human elements and social interactions in the workplace.

Taylorism and Fordism invoked adverse reactions from workers, including high absenteeism, high turnover and industrial action, particularly during periods of high employment, which led to the development of new approaches to work design and employee motivation pioneered by the work of an academic at Harvard University, Elton Mayo (1880–1949). In the 1920s, the Hawthorne Experiments heralded in a new approach to employee motivation and performance that challenged Ford’s monetary-based preoccupation with the proposition of the ‘social man’. This

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approach to managing people attempted to balance individual needs and social norms and employed a holistic approach towards work design and employees: this approach was labelled the ‘human relations’ movement. In terms of research and practice, the social man model had the effect of shifting attention to the perceived psychological and social needs of employees, such as social relationships, the nature and quality of communications and leader–follower interactions, and provided a new way of looking at performance at work. In the 1950s, there was a further shift towards a focus on personality traits, which ushered in a merit rating of employees. This focus, once more on inward analysis of the workforce to enhance motivation and productivity, was criticized by, for example, McGregor (1957) because it neglected human capability, self-esteem and development as a way to motivate employees.

Subsequently, Drucker’s work in 1954 on management by objectives (MBO) provided a compromise which took into consideration both internal and external factors in the appraisal exercise and facilitated the setting of individual targets as part of the agreed objective-based system that involved both employee and employer. The MBO approach was adopted into popular practice in the 1960s and 1970s. It then fell into disapproval because, although more balanced in theory, the practice was proving to be a challenge for organizations. There were reports of inconsistencies across all elements of application, including lack of objectivity, perceived fairness and levels of honesty, and a blind focus on achievement and end results with a lack of consideration as to how these could best be achieved through employee development, among other things. However, the legacy of this work is still found in IPA practices today. Indeed, as you have hopefully recognized, a variant is an integral part of Bass and Riggio’s (2006) transformational leadership model.

The term ‘performance management’ came from Beer and Ruh’s work on employee growth in 1976. Employment relations in this particular era was governed broadly by a crisis in profitability, low productivity and labour unrest, which was fuelled by technological deskilling, the threat of cheap imports and employers challenging workers’ terms and conditions (Boltanski and Chiapello, 2018).

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This decade also saw the beginnings of the end for personnel management as a concept in the West to make way for more effective management of the individual as advocated by the new human resource management. PM was viewed as a new way of managing. However, it took from the late 1980s to the early 1990s to become popularized, with an increased emphasis on the need for a more integrated focus to allow for continuity of process and a preoccupation with how performance should be more effectively managed, rewarded and, indeed, retained in an era of huge economic, demographic and cultural change. Initially, PM took the form of a top-down approach with a focus on managerialism, ownership by the HRM function, with a focus on the process rather than the people, and accusations of measuring the wrong things (Neely, 2003).

The dawning of the concept of PM has inextricably altered how the HRM function has evolved and a systematic approach to PM or IPA was proposed. This entailed a strategic integration of the key business functions to ensure that every part of the organization was aware of and working to the achievement of strategic objectives as laid down for growth. Employee performance, as part of that system, works with the other HR policies and practices (e.g. talent development and reward management; see Chapters 9 and 10). The ultimate goal of this interconnectedness is to secure employee commitment and engagement by virtue of a joined-up and continuous approach to strategic management to achieve competitive advantage or superior service. Theoretical developments include conceptualizing IPA as a continuous cycle that links together performance with the various HR practices, which reflect the employee life-cycle and which are deemed to be fairer (DeNisi and Pritchard, 2006; Lowry, 2002). See Figure 9.2 on page 206.

Critical Insight: IPA – a new workplace tyranny?

Performance appraisal is an HR practice used to evaluate an employee’s overall capabilities and potential, and enable informed

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decisions to be made with regard to pay, promotion or development for the purpose of improving performance. It also forms part of the transformational leadership model. From differing perspectives, the practice has come under much critical scrutiny in recent years. In particular, critics argue the practice has encouraged the individualization of work situations and remuneration (Boltanski and Chiapello, 2018). Mainstream studies of PMS have also been criticized for treating the IPA as a technical, politically neutral activity detached from power relations. Performance appraisal’s detractors argue that it ‘promised so much and delivered so little’ (Grint, 1993: 64); is a HR practice ‘whose time has gone’ (Bhote, 1994); and it constitutes a ‘new workplace tyranny’ (Taylor, 2013). The pioneering work of Barbara Townley (2005) encourages us to ‘deconstruct’ IPA techniques and, in so doing, substantially reconsider IPA’s role and suitability in the light of leader–follower relations and new interest in followership.

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Activity Stop! Thinking about your own university experience or an organization you have studied, to what extent do you agree or disagree with V. Wright’s (1991) assertion that ‘the meaningful is rarely measurable and the measurable is rarely meaningful?’. What evidence is there to support the assertion that IPA is the ‘new workplace tyranny’? What effects, if any, does IPA have on your understanding of lecturer–student relations or leader– follower relations in the workplace? Read: Barbra Townley (1993) ‘Performance appraisal and the emergence of management’, Journal of Management Studies, 30 (2): 221–38; and Philip Taylor (2013) ‘Performance management and the new workplace tyranny: a report for the Scottish Trades Union Congress’. Available at www.stuc.org.uk/files/Document%20download/Workplace%20ty ranny/STUC%20Performance%20Management%20Executive %20Summary%20final.pdf (accessed 5 January 2018).

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The Performance Management Appraisal Process In practice, PM typically involves the continuous process of identifying, measuring and developing the performance of individuals and groups in organizations (Aguinis, 2015), and it involves providing both formal and informal performance-related information to employees (Selden and Sowa, 2011).

The performance appraisal has a key role in the integration of many HR undertakings, which, according to Selden and Sowa (2011), should also provide informal performance feedback as well as the formal. It typically takes the form of identifying, measuring and developing the performance of employees in organizations, both as individuals and as members of work groups (Aguinis, 2015), and may also determine reward. It has a central place in the PM process and plays an important, if, in terms of actual outcomes, sometimes disappointing, role in the achievement of organizational goals. However, with its roots in the Industrial Revolution, as discussed above, it is still the mainstay in organizational performance, allowing a tangible link with the cascading of business objectives to all corners of the workplace.

It usually takes the form of a formal review meeting, normally scheduled annually or bi-annually. There are five main elements involved in the process, according to the CIPD (2011):

Measurement: of performance against agreed objectives. Feedback: on past performance and how to improve. Positive reinforcement: on what has gone well and how value can be added. An exchange of views: in an open way, on any support needed and future aspirations. Agreement: jointly on what needs to be addressed to improve/sustain performance.

The ongoing critique of the performance appraisal continues. The CIPD (2018a) has indicated that it can lack impact in some organizations due to how it is perceived and presented, in that it

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has little value or meaning attached. It is important that both business and employee know how the individual is performing and that both formal and informal mechanisms are used to gain that knowledge. It is proposed that the formal appraisal is clearer in purpose; a review of a whole period or cycle entails a proper dialogue between the parties and builds in time for reflection. The use of ongoing informal performance ‘conversations’ are suggested by the CIPD (2018a) to enable ‘a culture of trust and openness, people managers who are appropriately skilled, for example in asking good questions and active listening employees who are receptive, prepared to align with business objectives, learn and take responsibility for their performance.’

Leadership in Action: Using performance management to ‘manage out dead wood’

Academics and professional bodies have long underlined the importance of providing workers with performance appraisal feedback, which provides a focus on improvement, reinforcement of positive behaviours, attention to improvement specifics and the support of development and training to meet needs. Constructive feedback has been found to actually increase motivation and ultimately enhance employee performance (Kluger and DeNisi, 1996; CIPD, 2018a).

The Kimberly-Clark Corporation had a PM process in place which was over 20 years old and it ring-fenced employees across three levels of performance: meets expectations; exceeds expectations; or does not meet expectations (Bersin, 2006). Most employees were situated in the ‘meets’ level. A new approach to TM saw a new process emerge, which was interested in details, guidelines, objectives and competencies for every employee. The new competency categories that emerged were: decisiveness, innovative, inspiration, visionary, collaborative and building talent (Bersin, 2006). These are awarded to employees dependent on their role. They are then plotted against a 9-box rating scale, which examines competency and goal attainment. The company claims it can now see every employee’s results across behavioural development and business goal achievements (Bersin, 2006).

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The company used to have a reputation as being a paternalistic, lifetime employer. Turnover is now almost double the rate it was a decade ago. It says that around 10 per cent of its US employees leave annually either on a voluntary basis or are terminated (Weber, 2016). Scott Boston, Vice President of HR, stated that ‘People can’t duck and hide in the same way they could in the past’ (Weber, 2016). Since 2009 the company has laid off around 2,900 employees worldwide. In 2016 it employed around 43,000 people (Stengel, 2016). ‘Holding workers close through good times and bad is not sustainable anymore’, said Liz Gottung (Human Resource Chief). She states that the company’s stock price and business results improved alongside the new performance strategy (Weber, 2016).

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Reflective questions 1. Why do you think turnover at the company has almost double

its rate over the last decade? 2. To what extent has performance appraisal encouraged a new

personal self – one that is more flexible and self-reliant?

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Sources Bersin, J. (2006) ‘Best practices in PM at Kimberly-Clark’, Performance Management, 7 April.

CIPD (Chartered Institute of Personnel and Development) (2018a) ‘Performance management: an introduction (understand how to build an effective approach to performance management, including the tools that can support it): Factsheet 6292’, September.

Kluger, A.N. and DeNisi, A. (1996) ‘The effects of feedback intervention on performance: a historical review, a meta-analysis’, Psychological Bulletin, 119 (2): 254–84.

Stengel, M. (2016) ‘Kimberly-Clark is transparent about what PM means’, Talent Daily.

Weber, L. (2016) ‘At Kimberley-Clark, “dead wood” workers have nowhere to hide’, Wall Street Journal.

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To explore this topic further see: Findlay, P. and Newton, T. (1998) ‘Re-framing Foucault: The Case of Performance Appraisal’ in A. McKinlay and K. Starkey (eds), Foucault, Management and Organizational Theory. London: Sage, pp. 211–229.

Boltanski, L. and Chiapello, E. (2018) The New Spirit of Capitalism, Trans by G. Elliott, London: Verso, pp. 284–286.

Pause and reflect

What do you think the Kimberly-Clark worker’s perspective is on both the implementation of this strategy and its components? Consider what it means for a company to be conflict-averse in the area of performance. Given the knowledge you have gained from the chapters so far, what do you think of these examples of leadership and how do they fit with the old mission of the company?

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Modelling Leadership and Performance The role of the leader is undoubtedly changing in the 21st century. According to Turnbull and Noble (in Strycharczyk and Elvin, 2014: 107), leaders feel that they face accelerated and unprecedented pressure to use their skills and behaviours to ensure the attainment of business objectives and also to meet the demands of the growing knowledge economy and its associated challenges of ‘globalization, the war for talent, digital communications, societal changes, the changing shape of organizations and the aspirations of the next generation.’ Eberhardt and Majkovic (2016) have proposed five megatrends which will challenge future leaders: (1) the individual, (2) the transition to flexibility, (3) the demography trend of age and gender, (4) the rapid social and economic change, and (5) social responsibility and sustainability. These are considered the major global trends that leaders will need to contend with over the next 30 to 50 years.

To facilitate successful performance, it is expected that leaders will execute a role that is focused on expected behaviours, such as that illustrated by Bass and Riggio’s (2006) leadership model. Yukl et al. (2002) present a hierarchical taxonomy that identifies meta-categories of behaviour orientation (task, relations and change) and utilizes ‘specific component behaviours’, which are called upon to deliver effectiveness (performance) depending on the situation that the leader finds him- or herself in (Table 11.1).

Table 11.1 A hierarchical taxonomy of meta and specific behaviours Table 11.1 A hierarchical taxonomy of meta and specific

behaviours

Leadership meta behaviours Leadership-specificcomponent behaviours

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Leadership meta behaviours Leadership-specificcomponent behaviours

Task behaviours(about efficiency)

Short-term planning

Clarifying responsibilities and performance objectives

Monitoring operations and performance

Relations behaviours(about commitment)

Supporting

Developing

Recognizing

Consulting

Empowering

Change behaviours(about innovation and adaption)

External monitoring

Envisioning change

Encouraging innovative thinking

Taking personal risk Source: based on Yukl et al., 2002

This approach focuses heavily on the individual having the ability to employ complex intra-personal constructs in order to adapt leadership behaviours to the required contexts (Hannah et al., 2009; Lord et al., 2011). The pressure implied for the leader at this level of self-awareness in order to ensure use of the right competencies at the right time, in the right context to aid the effective performance of the organization, will require development and resilience planning for leaders. Considering the communality between paid work and non-work, these demands

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may well stem from followers’ perceived need to adopt pro- environmental lifestyles and behaviours (Boiral et al., 2015). The complexities of the contemporary business landscape will mean they will face situations which have not yet been encountered, which will necessitate a fresh outlook with new skills. Leadership development in order to deliver performance is not a new concept (Day, 2000) and the outcomes of the development will not be the same for every leader, with success being dependent on their experience and personal characteristics (DeRue et al., 2012).

Marques and Dhiman (2017) have provided an updated focus on leadership skills, which they suggest are needed for leaders to perform effectively and with purpose. Through provision of the distinction between soft and hard skills, they emphasize the needed dominance of positive leadership behaviours and action for success. The required soft skills they propose are: spirituality, trust, moral behaviour, values, empathy, vision, motivation, self- confidence, ambition, mindfulness, authenticity, problem solving, communication, initiative, emotional intelligence, sustainability, dependability, creativity and resilience. The hard skills identified are those of ambition, knowledge, information technology, planning and global understanding. Marques (2014) argues that leadership is an inner construct and that before a leader can truly lead they must learn to lead themselves. This notion of the leader having a good personal relationship with themselves can be described in other ways, as self or intrinsic motivation, and this can provide the impetus to change behaviours (Furtner et al., 2013).

Pause and reflect

Think of a leader you have read about in the popular press (e.g. football, politics, community). Did they use any of the soft and hard skills identified by Marques and Dhiman? How was this person as a leader?

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Problems of Methodology and Theory Since the common connection made between leadership and organizational performance is frequently bound up in tangibles such as market shares, revenue streams and balance checks, it is often perceived that there is a direct correlation between leadership effectiveness and performance outcomes in organizations (e.g. Alchian, 1986; Yukl, 1998). However, just as many theorists question the linkage (e.g. Gamson and Scotch, 1964; Andersen, 2002), Quazi (2001) has stated that effective leaders only have the ability to influence actual business practices and sustainability. Andersen states that

A widely held view amongst managers and management researchers alike is that management has a major impact on organizational effectiveness. The leadership literature in general is implicitly based upon the assumption that leadership is the cause of effectiveness in organizations. Many theories are founded on the contention of the crucial role of management. (quoted in Svensson and Wood, 2005: 1003)

The issue potentially stems from an obsession with trait and style theories, such as transactional/transformational leadership, ethical leadership and so on, which have all been discussed in various chapters of this book. These tend to put leaders in theoretical boxes based on specific schools of thought around the traits and behaviours they should subscribe to as part of the theory. However, individuals by nature won’t possess them all (Dinh et al., 2014) and therefore effective leadership becomes dependent on the individual’s ability to use the correct mix of skills, behaviours and attitudes as the context and time demand. Svensson and Wood state that when it comes to the debate over the potential relationship between leadership effectiveness and organizational

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performance, both arguments (for and against such a proposition) are valid:

At times, the achievement in organizational performance is the outcome of prosperous and conscious leadership, while at other times it may be the outcome of poor and deficient leadership. (2005: 1002)

The importance of context and managing change therefore becomes apparent. Effective leadership involves a multi-faceted approach. Lord and Brown (2004) have described leaders as ‘organizational architects’ who, through their actions, can influence the outputs of others. They can use top-down processes as leadership influences or bottom-up processes to involve employees as followers, and depending on context and time and many other variables unique to the organization, but what is important is that we continue to attempt to understand how leaders achieve their goals (Dinh and Lord, 2012) and how this directly impacts on the performance of the organization.

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Criticism of Individual Performance Appraisals As we have explained, IPA is part of a broader approach known as ‘performance management’ (Brown and Lim, 2013). Critical analysis indicates that its use is to enforce organizational politics (Holzer et al., 2019). Further, critics contend that the routine subjection of managerial bias in the measure of employee performance means that IPA approaches to managing the employment relationship are far from neutral in intention and scope. This shadows the entire reasoning for maintaining systems, which are potentially open to corruption because they can ultimately undermine both followers and an organization’s leader–follower relations (Townley, 1993).

UK-based evidence shows that variant IPA has become embedded in HRM over the last three decades. Significantly, its usage has extended from managerial to non-managerial employees. The data from Van Wanrooy et al. (2013) indicates that the percentage of workplaces formally appraising at least some non-managerial employees increased from 43 per cent in 2004 to 70 per cent in 2011. Furthermore, the percentage of organizations directly linking performance appraisal to pay also increased, so that by 2011 non-managerial pay was partly determined by IPA in 25 per cent of workplaces surveyed (Van Wanrooy et al., 2013: 98). Despite widespread adoption, the effectiveness of IPA is disputed, with many organizations reporting that managers go through the motions of performance management but do not provide the continuous attention required of ongoing evaluation to ensure relevance and success. The systems are costly, not only in terms of implementation (IT support, development of frameworks, management time) but also in losses associated with employee retention and morale/motivation. The 21st-century employee is expected to be loyal, trustworthy, reliable and ethical, yet the very schemes used to evaluate them can be biased, unfair and lacking in standardization of approach.

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Although in mainstream HRM literature IPA is often seen as evidence of greater professionalization of the HR function, critical management scholars have argued that the growth in usage of performance appraisal has been fuelled by the rise of the HRM model, the decline in trade union membership and power. As a tool of HRM, IPA is integral to the individualistic-orientated HRM model, which can be characterized as the atomization of employment relations (Bratton and Gold, 2017). Controversially, the data shows a correlation between reduced union presence in workplaces, the rise of income inequality, alongside higher usage of IPA (Bratton and Gold, 2017; Kumhof et al., 2012; Wilkinson and Pickett, 2010). Wage inequality continues to grow, and according to Lemieux et al. (2009) the popular adoption of performance-related pay coincided with increased pay inequality among men from the late 1970s. Gender consideration, which we explore in Chapter 14, is also a focus for detractors. Bryan and Bryson (2015) found that performance-paid employment is more prevalent for men. Women are also often precluded for many full- time, permanent, high-status jobs with quality for performance- related pay. Studies on pay gaps (Woodhams et al., 2015) show that the disparities in pay increase in disadvantaged groups, gender being only one, with disability, race/ethnicity and ethnicity being the others.

Townley’s (1989, 1993, 1994) pioneering analysis of performance appraisal highlights its usage to changes in job design, in particular the development of high-performance work (HPW) designs, which require the exercise of discretion (see Chapters 1 and 8). It is Townley’s contention that discretion obviates the exercise of formal rules and procedures typically found in bureaucratic control mechanisms associated with mass production. In HPW workplaces, individual empowerment, personal responsibility and initiative replace rules-based control with discretion. Here implicit expectations or informal regulation about work behaviours shape how work should be done. Discretion, therefore, requires the internalization of the organization’s goals or ‘norms’ to ensure that individuals and work teams interpret the discretionary space correctly from management’s point of view. This observation emphasizes the importance of a ‘strong organizational culture’ (see Chapter 4).

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Critical theory emphasizes that all the talk about IPA as the ‘objective’ measurement of employee performance, functioning to close the performance ‘gap’, omits the real nature of the discourse. As you read in Chapter 2, in the context of neoliberalism, IPA regimes actually serve to minimize opportunities for collective action because individuals are encouraged to make decisions based solely on their own self- interest (Boltanski and Chiapello, 2018; Whitfield, 2012) and, relatedly, they serve to ‘communicate organizational norms or “culture” and reinforce this process’ (Townley, 1989: 103). Work habits, attitudes, values and other personal attributes are learned, while bad habits and dissenting voices are expunged through performance appraisal (McKinlay and Starkey, 1998). Human talent is defined in narrow terms of those employees displaying enthusiasm, cooperation and emotional labour that further the goals of the organization. Critical theory often underscores that IPA represents the essence of leader–follower power when related to the reward element of the employment relationship, and in so doing weakens the bonds of reciprocity, trust and commitment. Reinforcing the pay–performance relationship draws attention to the role of the leader/manager, with potential dysfunctional effects on the two-way necessity of the leader– member exchange (LMX) relationship, discussed in Chapter 8 (Brown and Lim, 2013).

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Conclusion This chapter has introduced the concept of PM and examined the linkage between organizational success and effective leadership. It has examined the crucial role of context across both concepts and explained how both the role of the leader and PM itself has changed through time. It has outlined some innovative leadership influences on PM activities in contribution to the achievement of contemporary organizational goals. It has also summarized that we know more about how leaders are perceived than we know about how they make organizations more successful (Kaiser et al., 2008), and that future research needs to focus less on leadership traits and qualities and more on contextual factors and how change is managed by leaders in our organizations as part of performance processes. Critical theory emphasizes that performance appraisal is not simply about the ‘objective’ measurement of individual performance being to close the performance ‘gap’, but in the context of neoliberal transformation of the workplace IPA regimes actually serve to individualize the employment relationship particularly, but not exclusively, around reward, as well as serving to communicate and reinforce organizational culture.

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Chapter Review Questions

1. What are the key elements of performance appraisal? 2. What challenges do leaders face in the 21st century around

managing performance? 3. After reading this chapter, do you believe IPA is a blunt tool to serve

management’s interests or can it benefit individual employees? 4. How, if at all, does the IPA process help to communicate

organizational culture to employees? Why might this be important?

Assignment Task: Appraisal

Read Michelle Brown and Victoria Lim’s chapter ‘Understanding performance management and appraisal: supervisory and employee perspectives’, in A. Wilkinson, T. Redman, S. Snell and N. Bacon (eds) (2013) The SAGE Handbook of Human Resource Management. London: SAGE. Followers have a choice in their response to the tactics used by their line managers through the appraisal system.

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Questions 1. Does follower resistance have any impact on leader–follower

relations? 2. To what extent, if at all, do the action and reaction of followers

to performance appraisal depend upon age, gender, race, education and personality?

Go Online

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Stephen Moir, Executive Director of Resources for the City of Edinburgh Council, discusses the limitations of formal performance appraisal systems, as well as how a leader can support the performance of an entire organization.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Brown, M. and Lim, V. (2010) ‘Understanding performance management and appraisal: supervisory and employee perspectives’, in A. Wilkinson, N. Bacon, T. Redman and S. Snell (eds), The SAGE Handbook of Human Resource Management. London: SAGE, pp. 191–209.

CIPD (Chartered Institute of Personnel and Development) (2016) ‘Could do better? Assessing what works in performance management’. Available at www.cipd.co.uk/Images/could-do- better_2016-assessing-what-works-in-performance- management_tcm18-16874.pdf (accessed 17 September 2019).

Holzer, M., Ballard, A., Kim, M., Peng, S. and Deat, F. (2019) ‘Obstacles and opportunities for sustaining performance management systems’, International Journal of Public Administration, 42 (2): 132–43.

McKinlay, A. and Starkey, K. (1998) ‘The “velvety grip”: managing managers in the modern corporation’, in A. McKinlay and K. Starkey (eds), Foucault, Management and Organizational Theory. London: SAGE, pp. 110–25.

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Case Study: Performance management in theUK Civil Service

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Background In 2015 the UK Cabinet Office Minister Francis Maude made a call for Civil Service managers to use a forced distribution (a performance appraisal which demands employees be forced into a pre-specified ranking) to rank workers as performing best or worst. The existing system (which he had previously implemented in 2013 as the then Leader of the Civil Service) had three categories, namely working well, working acceptably and working poorly, and as part of this managers are expected to put staff into specified rankings to ensure that 10 per cent are poor performers, 25 per cent in the well category and 65 per cent in the acceptable. In 2015, Minister Maude claimed managers were ‘gaming the system’ by putting only those about to leave the organization and those who are new in the bottom 10 per cent. He said, ‘I think it has improved, but we’re nowhere near right. What you should probably do is move to a forced ranking, so not just a forced distribution. So, you actually say: “what order are people?” And then you avoid some of the gaming’ (Bowie, 2015). In 2016 the trade unions were celebrating the announcement of the end of the controversial scheme, with some of them saying it was the ‘worst thing they had seen in a 40-year career’ (Bowie, 2015).

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The organization The Civil Service in the UK is a permanent bureaucracy which had around 431,000 civil servants employed in 2018, that’s around 8 per cent of public servants in the country. They are defined as employees of ‘the Crown’, which means they do government work in government departments and are therefore employed by government ministers (Stanley, no date).

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The ‘rank and yank’ performance management system The ‘rank and yank’ system, so-called, was introduced to help identify poor performers in the Service. This issue had been identified as a performance challenge for a long time. Minister Maude had brought in a PM system from the private sector in a hope to ‘shake up civil service systems’ (Dudman, 2016) which were historically and contextually public sector by their very nature. The trade union estimated that the Ministry of Defence (just one part of the Service) was spending around £100 million per annum on the system (Dudman, 2016) and they called it ‘wrong, divisive and should never have been introduced’. Minister Maude is reported as saying that he believed that the improvement of the bottom 10 per cent should be the focus of every organization in the world (Bowie, 2015). Management feedback by those who carried it out stated that the grading of every member of staff had taken up a lot of time and resources (Dudman, 2016). Dave Penman, the FDA general secretary, stated that ‘Any system that measures performance in a way that can result in individuals achieving all objectives set of them and more, but still finding themselves in the bottom 10 per cent as a result of being anonymously ranked against individuals doing very different jobs for different managers, should in itself be consigned to the “must improve” category’ (Bowie, 2015). The system was subsequently replaced in 2017 with a more flexible performance system with a more contextual focus on what individual departments need to meet based on core principles (Dudman, 2016).

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Case exercise On your own or in a study group, write a report:

1. Outlining how the actions of Minister Maude as the leader of this organization have impacted on the different levels of employees with the implementation of this system across a number of years.

2. What do you think were the fundamental errors preventing success? 3. Do you think the new initiative could work better? If so, why? 4. Discuss the negative impacts of this system on the trust and loyalty

of a body of staff who serve their country.

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Sources of additional information Bowie, J. (2015) ‘Francis Maude calls for change to civil service performance management which would see bosses give staff individual rankings’, Civil Service World, 29 April.

Dudman, J. (2016) ‘Brexit helps kill Francis Maude’s hated civil service “rank and yank” system’, Guardian, 8 December.

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12 Leadership Development

Peter Watt George Boak Jeff Gold

‘Organizations heavily committed to leadership development tend not to differentiate between leadership effectiveness and leadership development programme success … the committed organization viewed leadership development as critical for organizational success.’

McAlearney et al., 2006: 978

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Chapter Outline Introduction Leader and leadership development in organizations Reflection and critical thinking for leadership development What capabilities should leaders develop? Approaches to leaders’ development Approaches to the development of leadership in others Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain various meanings of leader and leadership development; understand how leaders learn and the value of critical reflection; explain how leaders can be assessed for development; understand different approaches to the learning and development of leaders; provide a case for connecting leader development to leadership development.

video

To learn more about leadership development programmes, don’t forget to watch the video conversation for this chapter online.

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Introduction Throughout history, there has been an almost axiomatic belief that the relative success of organizations, cultures and society can be attributed to the behaviour, attributes and skills of individual leaders. Consequently, there has been much effort devoted to locating, understanding and ultimately developing effective leaders. While, for some, leadership remains an innate capacity of the individual, the basis of leadership development begins with the premise that, for the majority of leaders, effectiveness is achieved through the processes by which they learn certain skills, take on certain behaviours and acquire the key capabilities to do their work. This perspective might be familiar by now, as it relates directly to distributive theories of leadership and to further questions regarding how, and indeed whether, certain traits and forms of intelligence can be developed or learned as part of individual leader, follower and leadership development. This premise and its subsequent challenges have, in turn, led to a proliferation of resources, programmes and literatures that are devoted to what we often understand as ‘leadership development’.

In recent years, with common perceptions and the public reputation of leaders being thrown into question, it is becoming more frequently argued that the trainers and learning professionals who were (and continue to be) engaged in leadership development processes have failed to prevent leaders from becoming a part of corrosive and lying practice, making dangerous decisions and negatively impacting on their immediate organizations and societies beyond (Christensen et al., 2019: MacKenzie et al., 2014). Thus, fundamental questions face leadership development: What is the role and responsibility of leadership development professionals in the programmes they employ? What type of leaders do training and learning professionals seek to develop? What are the causes of these challenges to leaders and leadership development? Can programmes of leadership development provide answers to the specific impacts and implications that leaders have on their organizations and society?

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The purpose of this chapter is to explore ideas about the development of leaders and leadership, including about how leaders can play a crucial part in developing followers and thereby reconnecting with the collective processes of creating the leadership relationship.

Pause and reflect

Before continuing with this chapter, reflect upon your own knowledge of your university (or employment experience) and consider: where is leadership located in the university (or workplace), what form does it take, and what are the challenges inherent in locating leadership? What issues do these pose for developing leadership?

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Leader and Leadership Development in Organizations The question ‘Where is leadership located in an organization?’ is a crucial consideration when examining leadership learning and development issues. We may consider leadership as being exercised solely by those designated as being in authority – ‘managers’ or ‘leaders’ – or we may see leadership as a process that is more widely distributed among the members of an organization (Gronn, 2010), as discussed in Chapter 8. This has implications for practices of leadership development. Day et al. (2014) distinguish between those activities that focus on developing individual leaders and those activities that involve processes of development which involve many individuals. In this chapter, we will first concentrate on ideas and approaches for developing individual leaders, and then move on to consider how individual leaders may act to develop the leadership abilities of those around them.

An important issue to consider is how the purpose of leadership development is affected by context. Burgoyne et al. (2004: 49) argued for the need to consider specific circumstances in developing leaders, suggesting that development ‘works in different ways in different situations’. Size is an important factor. In large organizations, for example, there may be specialist programmes and resources devoted to leadership development. While there is no universal definition for small and medium-sized enterprises (SMEs), the term typically refers to organizations whose employee numbers fall below certain limits, which can range from 5 to 100. In the majority of SMEs, the terms ‘leader’ or ‘leadership’ are not especially recognized or used (Kempster, 2009), and formal leadership development is rare. Learning the role of the leader is likely to occur informally as part of the entrepreneurial process (D’Intino et al., 2007).

Another contextual variation occurs when we consider how advances in digital technologies facilitate organizing across

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multiple locations away from a central location (Zaccaro and Bader, 2003) or individuals (Zaccaro and Bader, 2003; Westerman et al., 2012). Particularly with the rise of big data and data analytics, if leadership is concerned with decision making, an emerging area of concern is how digital technologies and algorithmic imperatives disconnect humans as leaders in favour of machines that learn (Newell and Marabelli, 2015). Leaders therefore have to consider how to work with individuals, groups and teams, mediated by and through such technologies (Chrisentary and Barrett, 2015) and their ever-changing nature.

Image 12.1 If leadership is concerned with decision making, an emerging area of concern in leadership development is how digital technology imperatives disconnect humans as leaders in favour of machines that learn. Leaders have to consider how to work with individuals and teams, mediated by and through such technologies and their ever- changing nature.

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We will make use of two definitions, based on those offered by Gold et al. (2010). First, leadership development can be defined as ‘a planned and deliberate process to help leaders become more effective’. The assumption underpinning this definition is that it is possible to identify a best way to lead. Thus, based on the existence of key ideas, evidence, models and theories, it becomes possible to provide courses, programmes and educational awards for leaders, which clearly specify content and outcomes based on planning and deliberation.

A contrasting definition allows for consideration of how leaders can learn from their experiences at work and beyond: ‘a process of learning based on informal opportunities to enable [leaders] to perform as leaders’. This definition allows scope for leaders to develop without conformity to an advance specification of what they ‘need’ to learn in a formal or deliberative sense. In relation to such a definition, learning might occur by a leader’s interaction with others in meetings, reading news on a tablet or viewing a blog; it also occurs naturally through everyday working practices

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(Burgoyne and Hodgson, 1983). The development of leadership capabilities, which here is defined as the ability to perform a specific technical task (e.g. project planning), the ability to utilize the mindset and behaviours of others in a given situation, and the ability to influence others to a desired outcome, has been shown to arise from actions taken in the workplace rather than through formal training (Boak and Crabbe, 2019).

In this context, it is important to recognize that the nature and approach to learning ceases to occur in a way predetermined by those seeking to control the development process; rather, it is given to the autonomy and discretion of the leaders themselves. This can mean that leaders continue to learn outside formal programmes (Seijts, 2017b) since this definition outlines an approach which frames learning as something that occurs naturally and between people, which makes it reliant on the acts of others such as developers or colleagues to help in facilitation. Part of this process involves leaders reflecting on events and critiquing common assumptions. In a number of studies, this has been shown to develop a greater sense of self-awareness and an increase in emotional intelligence (Boyatzis et al., 2013; Tekleab et al., 2008) and, in turn, the ability to consider and enact changes in practice (Vince and Reynolds, 2010; Aas, 2017).

If we consider the two definitions together, it is useful to see them as two separate dimensions (Figure 12.1):

Figure 12.1 Informal and planned leadership development

Considered in this way, there are various positions that can be taken up. For example, a leader might plan to learn from a course or online training programme, but in doing so might blend the

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deliberate learning of this programme with informal conversations and processes. The latter might include ubiquitous or taken-for- granted aspects of everyday interactions, like the latest gossip about the work environment, which can actually influence learning with others (Liu and Lim, 2018). Alternatively, informal learning at work might be shared and then used in the formation of planned and deliberate programmes for others, highlighting workplace learning as a rich source of ideas for leaders.

Pause and reflect

How much of your learning is planned and how much is based on informal recognition? Have you ever held a leadership position in a sports team or club? How much of what you learned about leadership has been gained from formal courses or through informal learning?

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Reflection and Critical Thinking for Leadership Development Whatever approach is taken to leadership development, it is paramount to consider how and where learning takes place. In addition, there is a renewed interest in critical approaches to learning and consideration of the place of reflection in the learning process, in how leaders as learners can transfer learning from formal courses and programmes to daily work and performance (Sparr et al., 2017). Leadership development often involves an investment of time and resources, which can be wasted if learning processes are not considered carefully.

It was suggested in our discussion in Chapter 9 on HRM that experiential learning is a traditional mode of adult learning . You will recall that Kolb’s (1984) model proposes a cycle of activities of experiential learning, which includes attention to the importance of reflection. Such models of learning have been criticized for their lack of concern for such factors as how leaders form particular attitudes, patterns of thinking and emotional competencies that can prevent learning (Yadav, 2014). For example, through differentiations of power relations with others, leaders can become over-protective and defensive if they find their position under threat (Holman et al., 1997). In recent years, there has been interest in how the brain and central nervous system work and affect learning. Developments in the field of neuroscience research have shown that learning involves the formation of and changes in neural connections or synaptic connections in the brain that are produced by specific genes (Wasserman and Wasserman, 2017). While some patterns of understanding are subject to genetic predispositions, others are formed by interactions with experience and contextual factors such as social status, power dynamics and openness and trust in group settings (Reynolds and Vince, 2004), which can all play a role in enabling or preventing learning. Reflection as a feature of learning for leaders can play a key part in helping uncover such factors.

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Mezirow (1991) emphasizes the importance of reflection as a means of improving understanding and a leader’s capacity for critique. Critical reflection involves an examination of feelings and beliefs associated with an experience and also an examination of the assumptions that underpin them. If leaders can be helped to bring their assumptions to the surface, they can then begin to think critically. One consideration of what it means to think critically has been presented by Mingers (2000):

to critique rhetoric – whether arguments and propositions are sound in a logical sense; to critique tradition – a scepticism of conventional wisdom and long-standing practices; to critique authority – being sceptical of one dominant view and being open to a plurality of views; to critique knowledge – recognizing that knowledge is never value-free and objective.

Antonacopoulou (2004) extends this presentation to include:

the critique of simplification – moving beyond simple cause- and-effect thinking; the critique of identity – highlighting how subjectivity influences thought, actions and emotions.

These features of critical thinking can serve to provide leaders with an ongoing narrative of how they practise their work and whether their conduct is appropriate (Alvesson and Spicer, 2012), which can enable them to find new ways of taking action (Mezirow, 1991).

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What Capabilities Should Leaders Develop? The programmes that form part of planned and deliberate leadership development are designed according to ideas about what knowledge, skills and broader capabilities are required of leaders. These programmes may be shaped by theories and models of leadership explained in other chapters of this book, or draw on ideas about specific leadership skills that are thought to be of value, such as systems skills and complex problem-solving skills (Schwab, 2016), cross-cultural leadership (Mendenhall et al., 2017) or emotional and social competencies (Haber-Curran et al., 2015). However, there is no clear consensus among academics or practitioners about the capabilities that leaders need, nor about the appropriate way of describing them, and there are numerous frameworks and theories.

Many organizations have developed their own descriptions of the capabilities they require of their employees in a range of different jobs, including roles that involve management and leadership. These capabilities are often brought together in a framework that the organization uses for appraisal and human resource development purposes (e.g. leading in health care, such as a large NHS general hospital).

Current ideas about leadership capabilities have been influenced by research into the competencies of managers (Boyatzis, 1982). A competency was defined as ‘an underlying characteristic of a person which results in effective and/or superior performance in a job’ (1982: 21). A competency could be a motive, a trait, a skill or a body of knowledge that the individual uses. Behavioural indicators – observable behaviours of individuals that signified the possession of the competency –identified these underlying characteristics. Most of the competencies identified were skills (rather than motives or traits) and therefore could be learned. Research has also focused on the importance of emotional intelligence (EI) and the development of emotional and social

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competencies (e.g. Goleman, 2007; Mattingly and Kraiger, 2019), such as emotional self-awareness, self-control and empathy.

The frameworks developed by academic researchers and practitioners set out a range of actions, skills and attributes, variously described as ‘competencies behaviours’ (Hamlin et al., 2016) or ‘capabilities’ (Anzengruber et al., 2017). Some frameworks include a mixture of behaviours (e.g. encouraging change, networking) and attributes (integrity, being decisive), while others consider the importance of courage, humanity and judgement in effective leadership (Crossan et al., 2017). The benefit of using competencies for leadership development is that they can provide a framework for assessment and development of the capabilities that an individual requires to be effective in their role.

The main critique of such frameworks is fourfold. First, they are overly reductionist, encouraging learners (and trainers) to view capabilities atomistically rather than holistically. Second, competencies are not valuable in themselves, but only if they are used at appropriate times. Third, there is (often) a lack of good evidence for the value of the competencies within a framework. Fourth, a framework may set an array of competencies that no single individual is likely to be able to possess. These critical points represent useful warnings about the potential limitations of using a competency framework in leadership development work. The value of leadership competencies depends on the context (Boyatzis, 2008), whether they are used in combinations (Silzer, in correspondence, in Hollenbeck et al., 2006) and whether judgement needs to be applied about the appropriate time for their use (Buchanan and Boddy, 1992).

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Preparing leaders for development Based on the various ideas about what a leader must be able to do, lists of skills, behaviours and competencies can be used to assess people for development. In sophisticated systems for leadership development, leaders can expect to engage with multi- source feedback from peers, staff and more senior managers in a process referred to as 360-degree appraisal. In these situations, leaders need to be ready to respond to the feedback provided. This will be determined by and affect a leader’s self-awareness associated with reflection, which helps with self-development, adaptability, authenticity and confidence for effective leadership (Rosenbach, 2018). Day et al. (2014) suggest that we need more research on how self-awareness of leaders is affected by methods. Research tends to show differences in ratings between leaders themselves and others such as peers and staff (Lee et al., 2018).

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Approaches to Leaders’ Development If we refer back to the earlier definitions of leadership development and Figure 12.1, we made a distinction between planned and informal approaches.

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Training, courses and programmes It is not difficult to find formally planned activities for leadership development, such as short training events focused on individual leaders or small groups/teams. The focus is on leadership skills, which, it is claimed, allows leaders to become empowered to perform their roles. Planned courses can also lead to accreditation such as an MBA or other valued qualification (McBain et al., 2012). There has often been a critique of leadership training being too supply-focused at the expense of what leaders need (Antonacopoulou, 1999) and how formal qualifications can be too focused on skills of analysis rather than implementation (Mintzberg, 2004). In addition, we might suggest that too few courses and programmes seem to involve critical thinking, futures learning or the disruptions of artificial intelligence and machine learning (Kolbjørnsrud et al., 2017).

A key issue for leadership training, courses and programmes concerns the extent to which leaders are able to transfer their learning into changed behaviour at work (Grossman and Salas, 2011). It has long been recognized that the workings of power might prevent the transfer of new ideas and skills by leaders and cultural practices that reward some learning and not others (Salaman and Butler, 1990). Holton et al. (2007) have identified a range of factors that can enable or inhibit the transfer of learning, including:

motivational factors relating to expectations that people have about applying new skills; environmental elements such as supervisor support or sanctions and peer support; ability elements relating to the opportunity to apply new skills, and the way training is designed to link to work performance.

Sørensen (2017) has considered similar factors for leadership development in a Danish public-sector organization, finding that support from supervisor, peer support, evaluation frequency and opportunities to practise were important enablers of the transfer of learning.

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Executive coaching Over the last 30 years, there has been growing interest in executive coaching. McGill et al. (2019) highlight the importance of executive coaching for leaders when they move into roles such as Chief Executive or Chief Finance Officer, where the transition can provide challenge and turmoil. Research suggests that leaders who work with an executive coach are likely to set goals that are clearer, seek ideas from staff, get higher ratings from staff, show greater ability to deal with change, and be more resilient and less prone to depression (Grant and Hartley, 2013). Like other leadership development processes, executive coaching might take place face to face, but may also blend face to face and e-coaching.

Because executive coaches usually come from outside an organization, a key issue is value-added relative to high cost. This focuses attention on the quality of the relationship between coach and leader (Athanasopoulou and Dopson, 2018; Bozer et al., 2013). Baron and Morin (2009) found that the following were important factors in the effectiveness of coaching in relation to the transfer of learning:

the motivation to transfer; the perception of support; the amount of coaching received; the coach’s facilitation of learning and results.

An alternative to the external executive coach is to facilitate leader groups to coach each other as peers in a reciprocal manner around plans to develop and implement skills (Goldman et al., 2013), a process that is similar to action learning (see below).

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Work-based learning Probably of most value to leaders is the informal learning that can be achieved from their work. As Day and Thornton (2018: 368) note, ‘when you ask successful senior executives about how they developed as leaders … they claim it was through on-the-job experience.’ Crucially, such work-based learning (Raelin, 2016) can exert considerable influence on what a leader does, so it needs be made conscious, perhaps by executive coaching but also through reflection. If consciousness can be achieved, the leader may see a range of opportunities for work-based learning, including meetings and key interactions with employees. If such learning is more deliberate but still relies on informality, it is suggested that leaders need challenging experiences that are complex, novel, entail high stakes (Boak and Crabbe, 2019) and are linked to strategic needs.

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Evaluation Leadership development has for many years suffered from difficulties with respect to evaluation, especially when the desire is to show a measurable return on the funds that were invested in developmental activities, such as courses and training events. The difficulties in measuring a return mean that such activities can be taken as an ‘act of faith’, and during times of crisis is one of the first investments to be cut by organizations. This is a similar challenge to that discussed when we examined the HRM- performance relationship in Chapter 9.

Pause and reflect

Why do you think that evaluation of leadership development activities might be difficult? (Hint: re-read the section on HRM-performance links in Chapter 9).

There are, of course, a range of models available for evaluation and the most prominent has been Kirkpatrick’s (1994) four-level model which assesses results in terms of measurable changes in performance. In theory at least, leadership development events could ensure a path of value-adding to link to organization results. However, Day et al. (2014) question the purpose of measuring changes on a leader’s performance when so many factors can influence performance other than learning activities. As we have mentioned, context has a key role and factors that constitute the transfer of learning (Holton et al., 2007) can play a part. Time lags between learning, and opportunities to apply learning, can also affect impact and measurement.

There are other important reasons to evaluate leadership development, including improving what is done, controlling costs and, crucially, as part of a continuous process of supporting learning (Easterby-Smith, 1994). One approach, suggested by Thorpe et al. (2009), is that the evaluation of leadership

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development needs to be holistic by taking account of wider system impact and the interests of different stakeholders, by providing data in response to show evidence of value added. For example, where leaders participate in a programme, data relating to goals and objectives can be collected, perhaps used by those delivering programmes. An executive coach can work with leaders before and after programmes to help transfer and reconfigure goals as learning proceeds. Over time, and over different programmes, evaluation might evolve to make adjustments and improve measurability of outcomes and cost-effectiveness (Urban et al., 2014).

Critical Insight: Carillion – a case for developing leadership capability?

Carillion plc featured in Chapter 4. Its 2014 Annual Report stated:

We are a trusted partner when trust matters most, from providing mission critical facilities management services to public and private sector customers, notably in the health, defence, secure accommodation, financial services and energy sectors, to keeping transport and utility networks operating 24/7 and to delivering new hospitals, schools, roads, railways and other landmark buildings and structures. We build long-term partnerships based on delivering value for money services that our customers know they can rely on. (Carillion, 2014)

The strategic report also states:

In 2014, we also increased the emphasis we place on the development of leadership capability, with a number of programmes running across the Group. We have also remained focused on improving the development of our people through our successful Leadership and Futures Programmes. (Carillion, 2014)

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You might like to examine these two statements carefully, in light of what happened in January 2018 when the company suffered the ‘largest ever trading liquidation in the UK’. Carillion was a multinational company with over half its 43,000 staff working outside the UK. An inquiry by the UK parliament suggested Carillion leaders were guilty of ‘hubris and greed’ which resulted in a ‘relentless dash for cash’. The leaders were also accused of misrepresenting the financial situation of the business.

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Activity Given what you have learned about hubris and leadership, why do you think these leadership development programmes didn’t enable leaders to sustain Carillion by 2017/18?

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Further information Go to www.thehubrishub.com (accessed 1 October 2019).

Also see Sadler-Smith, E., Akstinaite, V., Robinson, G. and Wray, T. (2017) ‘Hubristic leadership: a review’, Leadership, 13 (5): 525–48.

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Approaches to the Development of Leadership in Others This section covers activities that leaders can undertake to develop leadership abilities in others, and thus enhance leadership throughout different levels of their organization. These are coaching and mentoring, and facilitating action learning. The activities are unified in that they promote the development of leadership through collaborative learning and its dissemination throughout the organization.

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Coaching and mentoring Downey (1999) proposes that ‘Coaching is the art of facilitating the performance, learning and development of another person’. It is said to support natural learning processes and is often cast as an intervention to help the experiential learning cycle in an organization work. By assuming the role of coach within an organization, a leader takes the ‘coachee’ through the stages of an experiential learning cycle in order to help him or her to learn from experience and to plan future action.

Coaching is a form of intervention that brings about the development of others within the organization. In contrast to traditional, classroom-based approaches to learning, which can often become disjointed (see Figure 12.1), coaching articulates learning as ‘an open-ended process that analyses the present situation, defines the performance goal, combines personal, organizational and external resources and then implements a plan for achieving that goal’ (King and Eaton, 1999). Leaders can act as formal coaches to others, or use a coaching style of leadership when this is appropriate (Goleman et al., 2002). Over the past 15 years or so, the discipline of coaching has evolved into ever- closer alignment with leadership development (Korotov, 2016). Through this, coaching and mentoring have become a key domain for leadership development. Indeed, the developmental nature of coaching is premised on a relational style of peer support, which lends itself to a distributed understanding of leadership (see Chapter 8) and how leaders and their function relate to the rest of the organization.

The premise of leaders assuming the role of coach for leadership development is based on the principle that significant and sustainable learning is likely to come about through leaders helping others with real organizational problems rather than dealing with hypothetical situations in a training room. Coaching and mentoring are essentially similar in nature and the terms are often used interchangeably (Garvey et al., 2008). Despite this, a difference can be found in that mentoring can be formal and informal (Buell, 2004); the dynamic between mentor and mentee

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is one of support and trust, with the purpose of the mentor helping the mentee develop in various ways. The supportive nature of mentoring processes has many benefits for both mentor, mentee and their organization, including ‘the building of networks across the company, knowledge exchange, building leadership capacity, and developing a company culture that values learning, knowledge sharing and creativity’ (Western, 2012: 49).

Leadership in Action: Making leaders visible in West Yorkshire Police

In 2014, West Yorkshire Police – the fourth largest police force in England with over 8000 staff – commissioned an audit of its organization culture. While leaders of the force had declared a vision for the future based on delivering ‘world class policing’ to its communities, not surprisingly, in the face of significant challenges with cuts to its budget at a time of austerity, the audit revealed some crucial findings with respect to leadership and overall morale. The audit identified:

poor engagement with staff by leaders; low trust in leaders; a need for greater buy-in and visible support for change from leaders.

A culture shift process was initiated to address such issues which included a leadership programme to increase the visibility of leaders while learning about key issues affecting staff morale.

Informed by the theory of relational leadership (see Cunliffe and Eriksen, 2011), the programme was designed to allow leaders to hold conversations with staff on a more regular basis, reflect on what they found and learned, then share their learning with each other to reveal key themes and possible interventions. This process could then be continued. The initial target was two conversations a week over five weeks.

The leaders soon revealed some of the key features of life in the Force and recognized that by engaging in this process, they became more visible to their staff. They identified important issues relating to change, the pace of change and a silo mentality, but also the need for face-to-face engagement as leaders. One leader commented, ‘I need to avoid the temptation to think “I’m just too busy for that

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today/this week”, and plan specific time to have the longer discussions.’

A range of themes were identified and shared, reflecting both positive and less positive aspects of the lived experience of their staff, including pride and commitment, making a difference and affecting public expectations, but also difficulties in pace of change, loss of talent and workload pressure. While this was not especially surprising to the leaders, the prominence of pride and commitment shown by staff became apparent because they had taken the time to engage more purposely with their staff which reinforced the value of the exercise, the importance of providing ‘recognition for commitment’ and leadership as a relational process.

In combination with other culture shift activities, the programme began to help restore trust in the leaders. A key action agreed by some leaders was to continue the process where ‘face-to-face engagement and communication is key’. Generally, leaders found that their staff were more positive than they first thought and that negative comments were mostly reflections of frustrations about their desire to do well. Through their conversations, in relationship, leaders found ways to reconnect with their organizations and contributed to an improvement in the culture. By 2017, further culture audits identified supportive leadership, showing significant improvements against national benchmarks. One leader identified, ‘The main points were personally engage, make time to talk and act on what we can change/explain what we can’t.’

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Reflective question Given the pros and cons of formal and informal methods of leadership development, how would you evaluate the programme at West Yorkshire Police?

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To explore this topic further see: Cunliffe, A.L. and Eriksen, M. (2011) ‘Relational leadership’, Human Relations, 64 (11): 1425–49.

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Action learning Action learning has been defined as a process that involves a small group of individuals working on real-life problems, learning as individuals or as a team and taking action. Action learning has become a key method for leadership development, especially in relation to the promotion and practice of collaborative styles of leadership and ‘leaderful practice’ (Raelin, 2005, 2006). It is often seen as an approach to leadership development that expands the one-to-one method of coaching and mentoring (be that internal or executive coaching) to the group level, and is often seen as a more natural and established process for problem solving, building teams and developing leadership rather than the individual leader who enacts the process (Carson, 2014). Leaders in organizations can establish, or support the establishment of, action learning sets, and in doing so they can help to grow the leadership capabilities of others.

As an approach to solving real-life problems facing individuals and groups of individuals, action learning is based on the equation L = P + Q, where L stands for Learning, P is Programmed knowledge and Q stands for Questions (Revans, 1980, 1982). ‘Programmed knowledge’ refers to any data that might be available about the issue that is being addressed. For example, if a problem concerning poor levels of customer service was being considered, data could include customer feedback reports and results from internet searches on the causes of poor customer experiences. The learner (leader/manager) would then bring this issue to an action learning ‘set’ (a group of 5 or 6 other co-members) who would then proceed to ask questions (without suggesting solutions) so that the learner can frame his or her own reflections and decide upon a series of actions to resolve the issue. This type of learning is believed to be useful as it persists beyond the initial problem and enables leaders to become more reflective and questioning in their approach. The classic principles of action learning are set out in Table 12.1.

Table 12.1 Revans’ classic principles of action learning

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Table 12.1 Revans’ classic principles of action learning

The requirement for action as a basis for learning. Profound personal development resulting from reflection upon action. Working with problems (no right answers), not puzzles (susceptible to expert knowledge). Problems being sponsored and aimed at organizational as well as personal development. Action learners working in sets of peers (‘comrades in adversity’) to support and challenge each other. The search for fresh questions, and ‘Q’ (questioning insight) takes primacy over ‘P’ (access to expert knowledge).

Source: Pedler et al., 2005

The results of action learning initiatives can often be transformational for all involved, not least because the real-world emphasis on the problem solving helps develop participants’ reflective habits in the context of their organization. Further, due to the non-hierarchical nature of action learning, leaders become participants in the process (Smith, 2001) and in turn become closer to an understanding of leadership as a collaborative co- produced process.

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Conclusion In this chapter, we have given an overview of a number of forms of leadership development, and in doing so suggested that it is time for two key elements to be introduced to any activity that is presented as leadership development. First, activities must work with critical reflection to allow for the articulation of assumptions about a leader’s work. This requires an openness on the leader’s part to be challenged and learn. Second, leaders must embrace learning approaches to leadership development through activities such as coaching, mentoring and action learning. This dual path for what we call ‘leadership development’ is the minimum necessary requirement of those in senior positions in a world that is prone to confusion, disruption and disconnection.

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Chapter Review Questions

1. Why do you think competencies for leadership development are still much in use today?

2. Are formal training programmes for leaders effective? Do such programmes transfer to work practice? Do they encourage or discourage hubris among leaders?

3. What is the case for leaders becoming coaches and mentors to their followers?

Assignment Task: Leadership development

Leadership development is still mainly targeted at individuals in organizations. This remains the case across the world. Assumptions about leadership in Anglo-American cultures tend towards an individualistic, leader-centric perspective, which is manifest in images of ‘heroic leaders’ who become the recipient for leader development considerations. This assumption seems to remain in place in countries such as India. Peter Gronn (2002b) presented some key ideas on what is known as ‘distributed leadership’, which we examined in Chapter 8 . Over the last 15 years, there has emerged a variety of configurations of leadership where leadership can be considered to include pairs, trios, quads, teams, departments and whole organizations. So, how can we give more consideration to configurations of leadership in leadership development activities? One starting place is http://distributedleadership.org (accessed 3 October 2019).

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Questions 1. Find out more about leadership configurations by checking the

articles we have mentioned. 2. Research approaches to leadership development that vary the

unit of analysis beyond individuals. 3. Prepare a short report on possible approaches for different

configurations.

Go Online

Explore the real world of leadership by reading this case study:

Now What? Now Who? A Mexican Small Family Business in Transition

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Beverley Petrossian and Adam Foskett from Skipton Building Society discuss informal and formal development programmes and the importance of having a culture of learning and support across all levels of an organization. They also share how they have personally benefited from Skipton’s leadership and coaching programmes.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Alvesson, M. and Spicer, A. (2016) The Stupidity Paradox: The power and pitfalls of functional stupidity at work. London: Profile Books.

Collinson, D. and Tourish, D. (2015) ‘Teaching leadership critically: new directions for leadership pedagogy’, Academy of Management Learning & Education, 14 (4).

Kelly, R. (2019) Constructing Leadership 4.0. Basingstoke: Palgrave Macmillan.

Pedler, M. (ed.) (2012) Action Learning in Practice. Farnham: Gower.

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Case Study: Leadership development at Lazy K, Melbourne, Australia

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Background The city of Melbourne is considered Australia’s technology hub and more than half of the country’s top technology companies are located there. With strong support from the state government in Victoria, Melbourne has world-class universities and technical colleges, which has resulted in the largest supply of graduates with technology skills in Australia. You can find more about Victoria’s technology strategy at www.invest.vic.gov.au/opportunities/technology/melbourne-s-strengths-in- technology (accessed 3 October 2019).

One of the most recent and successful technology development companies is Lazy K, a company that has experienced rapid growth in the past 18 months. An influx of new staff has meant more managers have been appointed, including at the level of the senior management team, where two experienced executives have joined the four company founders. The expansion has not been without difficulties – technical, financial and managerial – and the company has struggled to develop and implement standard procedures in certain key areas. Previously, it had been able to operate on the basis of personal decisions, with differences and disagreements being resolved in senior management team meetings, but increasing size has made this informal approach too difficult. The Chief Executive, Mark Baker, refers to most of these problems as ‘growing pains’, and encourages his colleagues to work on solving them while at the same time recognizing that this is a phase the company is going through, from which it will emerge.

One of the new executives, Sarah Wright, has been asked to take the lead on proposing what can be done to improve the managerial and organizational issues. She has consulted with colleagues and she has some suggestions for change to structures, systems and procedures. She also proposes some leadership development activities.

The leadership development activities are based on a series of two-day workshops. Sarah proposes to structure these with some guided training on topics such as systems thinking, teamworking, coaching skills, resilience, some discussion about issues that members of the group may bring to the meetings to resolve, and some action learning work. All managers in Lazy K will take part in the sessions. The aim is not only to develop the skills of individual leaders, but also to enhance the abilities of the leaders to work together: to bring about leadership development for the company. Sarah has talked about her proposals with Mark and he has given his support to the approach.

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The problem However, the proposal hits resistance at senior management team level. Bill Sanchez, one of the founders, and a software engineer by background, objects to the expectation that all managers (including himself) will take part. ‘I don’t need to know about some of these things,’ he says. ‘Coaching? Really? Besides, there’s real work to be done back here. I don’t think the managers in my team will take to this, either.’

He finds an unlikely ally in Liv Vernon, another founder, who heads the marketing side of the company. ‘Maybe we can ask managers to nominate people for the programme, Sarah?’, she says. ‘After all, there’s no point in trying to train people who don’t want to take part.’

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Case exercise Either individually or as a group, write a report addressing the following questions:

1. Find out why some leaders like Bill Sanchez might resist leadership development. Why is leadership development seen as ‘some of these things’ by some leaders?

2. What is the evidence for the use of coaching in organizations like Lazy K? How can you make a convincing argument for coaching in this organization?

3. Some leaders do not value leadership development; they ‘don’t want to take part’. Does this mean that they are not learning to lead or manage? How can learning and development be made relevant to sceptical leaders? Prepare a short report for Liv Vernon.

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Sources of additional information Becker, K. and Bish, A. (2017) ‘Management development experiences and expectations: informal vs formal learning’, Education and Training, 59 (6): 565–78.

Boak, G. and Crabbe, S. (2019) ‘Experiences that develop leadership capabilities’, Leadership and Organization Development Journal, 40 (1): 97–106.

Cook, P. (2006) ‘Management and leadership development: making it work’, Industrial and Commercial Training, 38 (1): 49–52.

Milner, J., McCarthy, G. and Milner, T. (2018) ‘Training for the coaching leader: how organizations can support managers’, Journal of Management Development, 37 (2): 188–200.

Vince, R. and Pedler, M. (2018) ‘Putting the contradictions back into leadership development’, Leadership and Organization Development Journal, 39 (7): 859–72.

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Part IV Contemporary Leadership

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13 Followers, Communication and Leadership

John Bratton Helen Francis

‘Great followership has never been more important, if only because of the seriousness of the global problems we face and the fact that they must be solved collaboratively, not by leaders alone but by leaders working in tandem with able and dedicated followers.’

Warren Bennis, 2008: xxvi

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Chapter Outline Introduction The nature of followership Follower behaviour and personality Follower behaviour and motivation Dialogic, conversation and leadership Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

set out the meaning of followership and its significance and role in creating the leadership relationship; explain how the process of following enhances understanding of the leadership process; understand the significance of personality theories for understanding followership; identify the different theoretical perspectives and paradoxes related to follower motivation; appreciate the role of dialogic communication in the process of leading and the process of following.

video

To learn more about engagement and communication styles, don’t forget to watch the video conversation for this chapter online.

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Introduction The models we consider in this chapter will advance your understanding of the leadership process by studying the active role of followers in co-creating the leadership relationship. The success or failure of an organization is often unfairly attributed to leaders, although followers may have been the true reason for the success or failure. For example, when a football or rugby team is winning or losing, the success or failure is often unfairly attributed to the manager. However, a talented team may have a successful season regardless of the manager. Conversely, a mediocre team may have an abysmal season despite having a skilful manager. In the workplace, followers are collaborators in the influence and change process and they can take action, either individually or collectively, to result in either positive or negative consequences for their leaders. Followership and how it is related to the leadership process are under-researched, but in the last decade there are indications that this is changing and followership is attracting greater attention (Northouse, 2019).

This chapter provides a critical understanding of the different approaches to followers and their role within leadership as a process. Notable contributions are taken from the field of organizational behaviour. Doing so is a somewhat messy task, for follower personality, motivation, perception and communication are characterized by a vast array of different and often conflicting theories. But by exploring some of these major theories, we hope to show you how the insights can help you to understand better the process of following and the leadership relationship.

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The Nature of Followership A significant development in leadership studies over the past 30 years is the focus on followers, which has taken follower-centric approaches from the radical to mainstream (e.g. Bligh and Kohles, 2012; Carsten et al., 2010; Shamir et al., 2007). That traditional leadership research and commentary have characterized followers as passive elements is not surprising, as the primary motivation guiding scholars has been leader-centric (Brown, 2018). Studying followers has its roots in the pioneering work of Mary Parker Follett (1926), but there has been a long thread of attention to followership that can be traced throughout the 20th century, most notably in the labour process studies tradition (Thompson, 1989). Research also gathered momentum during this time, concerned with leader and follower behaviours in self- managed teams (Bratton, 1992). Other relevant work includes Graen and Uhl-Bien’s (1995) leader–member exchange and Gronn’s (2002b) distributed leadership theory, which critiques the leader–follower dichotomy and the reciprocal influence that occurs within dyads and groups. As Bligh and Kohles observe, all these scholars either explicitly or implicitly questioned the assumption that leadership behaviours must occur solely within the leader role, and that ‘leaders and followers are distinctly different actors and roles with fundamentally distinct characteristics and behaviours’ (2012: 206). The research on followers affirms the obvious, that leadership requires followers, and any understanding of leadership is incomplete without an understanding of the agency of followers (Brown, 2018; Uhl-Bien et al., 2014). The notion of followership challenges the dominant individual-centred, psychological theories of leadership. It looks at the process of leading through a social lens which focuses on dynamic and mutually created relationships at the centre of the leadership process.

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From follower-centric to followership Followership is a subdomain of study within leadership. Scholars commonly recognize that followership is an evolving concept, but in essence it is concerned with the behaviour of followers, which results from the leader–follower influence relationship. Followership eschews traditional notions of followers as passive, compliant, featureless, inconsequential, and instead they are viewed as proactive, resistant and important in the leadership process. Follower-centric studies not only provide a more holistic perspective, they have also helped to sharpen the analysis of both leader and follower roles by challenging assumptions and raising new questions (Weick, 2007). The problem with the assumption that typical followership behaviours involve deference to the leader gives rise to reduced responsibility-taking and initiative and increased reliance on the leader for motivation (Uhl-Bien and Pillai, 2007). Other scholars emphasize that followers can and do more actively construct their roles as partners, participants, co- leaders and co-followers (Carsten and Uhl-Bien, 2012; Peus et al., 2012). These sentiments are also echoed by Collinson (2006), who points out that followers are not passive ‘sheep’ but are active, powerful players in the leadership process.

Kelly (1992) proposed an early explicit theory of followership. He defined followers in terms of two dimensions: independent/critical thinking and passive/active (see Figure 13.1). Kelly’s influential model initiated a discussion around why followership was most often associated with negative stereotypes, yet stopped short of questioning the nature of followership and leadership (Bligh, 2011). Meindl’s (1995) work began to address this issue and critiqued the societal fetishism with leadership. Howell and Mendez (2008) offer three perspectives on followership (see Table 13.1):

Table 13.1 Howell and Mendez’s three perspectives on followership Table 13.1 Howell and Mendez’s three perspectives on

followership

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Role BehavioursRole Behaviours

Interactive Effective followers complement and support the leader, demonstrate knowledge and competence, and build collaborative relationships.

Independent Followers are treated as independent actors in the workplace; followers substitute for leaders in the context of more highly skilled and knowledgeable followers.

Shifting

Followers and leaders alternate roles. Followers monitor and interpret the situation to respond to dynamic changes, participate in decision making when appropriate, challenge the team, and role-model effective team behaviour.

Source: adapted from Bligh, 2011: 429

Carsten and Uhl-Bien (2012) distinguish followership approaches from follower-centric approaches to leadership. In essence, rather than considering how followers view their leaders and their leaders’ behaviours, a focus on followership considers how followers view their own behaviours and roles when engaging with leaders. As human beings, followers have different life experiences. The heterogeneity of followers leads to the related criticism that the field of followership is still in its infancy as, to date, mainstream leadership scholars tend to disregard three well- known dimensions of the social world: class, gender and race. Nonetheless, the work on followership represents an important development in what we know about the leadership process, and the role of follower personalities, motivations and emotions in understanding leader–follower processes. We will now look at some of these issues.

Leadership in Action: Whistleblowing as responsible followership?

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In recent years, public interest has increased in whistleblowing. This can be explained by a number of highly public cases around financial scandals cloaked in legal orders not to publicly discuss events – so- called ‘gagging clauses’ – and revelations at Cambridge Analytica. We introduced the concept of whistleblowing in Chapter 5. Lewis (2000) gives a broad definition of whistleblowing as encompassing disclosure by employees and former employees of malpractice, as well as illegal acts or emissions at work.

In 2018, the Observer newspaper published the first in a series of stories known as the ‘Cambridge Analytica files’. The story began when Christopher Wylie, a 28-year-old Canadian and former research director at Cambridge Analytica, revealed how the company had exploited Facebook data harvested from millions of people across the world to profile and target them with political messages and misinformation, without their knowledge or consent. The revelations led to the British parliament grappling with a series of questions, not least whether Britain’s electoral laws were still fit for purpose. In 2019, it published an official report that drew on hours of testimony from corporate leaders including Cambridge Analytica directors and Facebook executives. The report referred to Facebook as ‘digital gangsters’ and concluded that Silicon Valley’s tech platforms were out of control. The report concluded that this applied particularly to Facebook, which it said had treated parliament with ‘contempt’.

The account of Christopher Wylie from inside the data analytics company – the details are still disputed – raises some highly relevant issues: whether upper-echelon leaders demonstrate commitment to ethical behaviour, that procedures for handling concerns exist and, importantly, followers do not perceive they will be harassed or victimized for engaging in those procedures.

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Reflective questions 1. What whistleblowing cases have been reported in your

country? For example, in the UK there are, in addition to Christopher Wylie, a number of well-known legal cases – view these at www.cipd.co.uk/knowledge/fundamentals/emp- law/whistleblowing/cases (accessed 3 October 2019).

2. In your view, does whistleblowing constitute responsible followership?

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Source Greenfield, P. (2018) ‘The Cambridge Analytica files: the story so far’, Guardian, 26 March. Available at www.theguardian.com/news/2018/mar/26/the-cambridge-analytica- files-the-story-so-far (accessed 26 October 2019).

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To explore this topic further see: Alford, C.F. (2008) ‘Whistleblowing as responsible followership’, in R.E. Riggio, I. Chaleff and J. Lipman-Blumen (eds), The Warren Bennis Signature Series: The art of followership – how great followers create great leaders and organizations. San Francisco, CA: Jossey-Bass, pp. 237–51.

Cadwalladr, C. and Graham-Harrison, E. (2018) ‘Revealed: 50 million Facebook profiles harvested for Cambridge Analytica in major data breach’, Guardian, 17 March. Available at www.theguardian.com/news/series/cambridge-analytica-files (accessed 11 April 2019).

Mannion, R. (2016) ‘Whistleblowing in the wind towards a socially situated research agenda: a response to recent commentaries’, International Journal of Health Policy and Management, 5 (6): 395–6.

Mannion, R. and Davies, H.T. (2015) ‘Cultures of silence and cultures of voice: the role of whistleblowing in healthcare organizations’, International Journal of Health Policy and Management, 4 (8): 503–5.

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Follower Behaviour and Personality Growing interest in the concept of followership is driving the need to reassess the role of individuals in terms of their capacity to shape leader–follower relations. Emphasis is being placed increasingly upon followers in terms of assessing the significance of the personality of individuals, and how perception determines individual behaviour.

Personality is the starting point for understanding individual workplace behaviour. For our purposes, we define personality here as a relatively enduring pattern of thinking, feeling and acting that characterizes a person’s unique response to her or his environment (Bratton, 2020). Today, there are at least 24 academics or groups of researchers who have contributed to theories of personality. The coverage below therefore has to be highly selective. To help, we can divide the study of personality into two broad perspectives: nomothetic and ideographic.

Just as with leadership, there is a debate on whether an individual’s personality is the result of heredity or is shaped by social experiences. The nomothetic approach supports the view that personalities are determined by heredity and can be measured. This approach often describes personality in terms of the measurable traits a person exhibits. The ideographic approach is a dynamic perspective that takes into account not only unique innate characteristics, but also how individual differences are moulded within a ‘society’ context. As such, it suggests that personality can be shaped and that both personality and behaviour are determined by specific social experiences.

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Trait theory Personality traits, you will recall, were examined as an explanation of effective leadership in Chapter 6. The roots of trait theory of personality go back almost two thousand years, when the ancient Greeks used the humoral theory to explain individual differences in personality (Martin et al., 2014). In the 20th century, consistent with the nomothetic approach, psychologists have used the statistical tool of factor analysis to identify clusters of specific behaviours to describe basic personality traits. Hans Eysenck (1916–1997) used factor analysis to devise his personality framework. Other frameworks, such as the Big Five personality (BFP), the Myers-Briggs type indicator (MBTI) and the Dark Triad also explain certain aspects of an individual’s personality. We discuss each below.

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The introversion–extroversion framework Eysenck (1970) identified a range of personality characteristics in terms of three basic factors or dimensions: introversion– extroversion, stability–instability and psychoticism. These factors are bipolar dimensions. Introversion is the opposite of extroversion, stability is the opposite of instability (sometimes called neuroticism), and psychoticism is the opposite of self- control. Introversion refers to a reserved nature and the pursuit of solitary activities. Introverts tend to be shy, risk avoiders, and to shun social engagements. Extroverts have the opposite human characteristics. They tend to be sociable, thrive on change and be willing to take risks. Although Eysenck’s theory is relatively simple, it attracted considerable attention from managers who saw the appeal of trait classification as a tool in employment selection.

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The Big Five personality framework We have already looked at the Big Five personality framework in Chapters 6 and 8. Cattell and Kline (1977) devised this more comprehensive range of traits that could be used as the framework for explaining the significant variation in human personality. As a reminder, the Big Five framework of personality trait structure proposes that personality is organized around five core dimensions: openness, conscientiousness, extroversion, agreeableness and neuroticism. These Big Five personality dimensions, represented by the handy acronym ‘OCEAN’ (or ‘CANOE’ if the words are reconfigured), are shown in Table 13.2.

Table 13.2 The Big Five personality model Table 13.2 The Big Five personality model

Dimensions Lower-order traits

Openness Artistically sensitive, intellectual interests, reflective, insightful, curious, imaginative

Conscientiousness Efficient, reliable, responsible, scrupulous, ethical, persevering, organized, self-disciplined

Extroversion Talkative, outgoing, candid, adventurous, sociable, assertive, gregarious, energetic

Agreeableness Good-natured, forgiving, generous, non-critical, warm, gentle, cooperative, trusting, compassionate

Neuroticism Anxious, self-pitying, nervous, tense, hostile, excitable, emotionally unstable, impulsive

Source: adapted from Bernstein et al., 2000

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Researchers using the Big Five model to predict a variety of key aspects of job performance found that conscientiousness was ‘the best predictor of task performance, citizenship and counterproductive work behaviour’ (Bowling and Hershcovis, 2017: 317).

Pause and reflect

What personality traits have you observed in your everyday interactions?

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The Myers-Briggs type indicator Briggs and Myers (1987) used Eysenck (1970) and Jung’s (1971) analysis of personality to develop the the Myers-Briggs type indicator (MBTI), which is shown in Table 13.3. The MBTI uses a 100-question personality test to determine where a person lies between a set of four personalities.

Table 13.3 The Myers-Briggs personality model Table 13.3 The Myers-Briggs

personality model

Personality type

Extrovert (E) Introvert (I)

Sensing (S) Intuitive (N)

Thinking (T) Feeling (F)

Judging (J) Perceiving (P) Source: Robbins and Judge, 2019.

A person might be an INTJ (Introvert–Intuitive–Thinking–Judging) personality type or an ESTP or any of the 16 possible combinations of traits. For example, an INTJ person is a reflective, rational decision maker who excels when focusing on a specific task. According to the Myers-Briggs Foundation, two of the three most common MBTI personality types are introverts: ISFJ and ISTJ (cited by Robbins and Judge, 2019: 140). Although the MBTI model is one of the most popular instruments for identifying personality types, this does not necessarily equate to actual behaviour in the workplace because of various situational constraints (Bowling et al., 2010; CIPD, 2013). For example, preferenece for designing work around teams may be a function of a manager’s personality, but there may be obstacles to work teams due to employee resistance or physical space or technological constraints. Recall also that national culture

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influences the way personality traits are not only measured but can be constrained by societal values (Cullen et al., 2015).

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The Dark Triad In western cultures, the Five Big personality traits are considered socially desirable, but researchers have identified three undesirable traits, which we all have in varying degrees: Machiavellianism, narcissism and psychopathy. Researchers have labelled these ‘the Dark Triad’ because of their negative nature. The personality trait of Machiavellianism describes the degree to which a person displays emotional and pragmatic behaviours and believes that ends justify the means (Spain et al., 2013). Machiavellian tendencies are also associated with unethical behaviour (O’Boyle et al., 2012). The personality trait of narcissism describes the degree to which a person possesses a pervasive pattern of grandiosity, entitlement, self-importance, a tendency to exploit situations and perhaps to develop and manipulate others (Morf and Rhodewalt, 2001). Studies suggest that narcissists often ignore appraisal information that conflicts with their high sense of self-importance, although they may be more charismatic than others (Sosik et al., 2014). Psychopathy in an organizational behaviour context is defined as lack of concern for others, a lack of remorse when actions cause harm, and impulsivity (O’Boyle et al., 2012). Research suggests that psychopathy is useful in predicting workplace aggression such as assault, bullying, incivility and mistreatment (Bowling and Hershcovis, 2017).

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Social-cognitive theory The social-cognitive approach understands personality to be fundamentally rooted in life experience, social relationships and the self-concept (which you will remember from Chapter 8 is how we perceive ourselves through attitudes, values, perceptions and emotions). Influential social-cognitive theorists include Rotter (1966) and Bandura (1977, 1997), whose work possesses an idiographic approach – the research focus is the individual rather than on generalizing individual results to the entire population – in that they posit that personality is acquired through learning in an immediate social milieu.

Rotter argues that a person’s decision to engage in behaviour in a given situation is determined by two factors: what the person expects to happen following the action, and the value the person places on the outcome. This is called the ‘reinforcement value’. However, the reinforcement value may be affected by the value followers place on the leader’s behaviour and the outcome. Expectancy is our perception of how likely it is that certain consequences will occur if we engage in a particular behaviour within a specific situation. Reinforcement value is basically how much we desire or dread the outcome that we expect the action to produce.

For Rotter, people learn about how life’s rewards and punishments are controlled. Differences in lived experiences produce his concept of the internal–external locus of control. People with an internal locus of control believe that life outcomes are largely under their control and depend on their own efforts. In contrast, people with an external locus of control believe that events are largely beyond their control, and that their fate has less to do with their own efforts. The locus of control is about self- identity, which has important implications for personality in later life. For example, there is evidence that an internal locus of control (ILOC) is positively related to self-esteem, which refers to that part of the self-concept concerned with how we view our own self-worth based on an overall self-evaluation (Branden, 1998).

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For Bandura (1997), the concept of self-efficacy is particularly important in this web of interaction and influence. Self-efficacy is that part of the self that is concerned with a person’s beliefs about her or his ability to perform the actions needed to achieve desired outcomes. It determines whether a person will engage in a particular behaviour, and also determines the extent to which she or he will sustain that behaviour in the face of adversity. For instance, if you believe that you are qualified for a job at the BBC, you are likely to apply for an interview. Even if you are unsuccessful, you are likely to apply to another TV company because you are confident of your abilities. High self-efficacy can facilitate both the frequency and the quality of behaviour–social interactions, and low self-efficacy can hamper both (Martin et al., 2013). Thus, self-efficacy beliefs are always specific to particular situations.

Pause and reflect

What social factors do you feel may be more important for shaping personality? How might this impact the leadership relationship?

Both positive and negative aspects of personality traits matter significantly to human interactions in the workplace. Researchers have focused on traits to explain effective leadership, but it is also argued that if dysfunctional aspects of personality can affect leaders, then they can affect followers as well and therefore account for the quality of leader–follower relations (Clements and Washbush, 1999; Kelly, 1992). As mentioned above, Kelly’s conceptualization of followership conceives follower identity and behaviour by examining two independent dimensions. One dimension captures thinking style (independent, critical thinking as opposed to dependent, uncritical thinking); the second dimension captures overall level of engagement (active as opposed to passisve). In what is strikingly similar to Blake and Mouton’s (1964) influential leadership grid (see Chapter 6), Kelly’s two- dimensional model shows five different follower styles, passive,

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alienated, conformist, pragmatist and effective, as can be seen in Figure 13.1.

Passive followers do not think critically, rely on leaders to do the thinking, require constant direction and are not particularly active participants. Alienated followers are deep and independent thinkers who are sceptical about the organization and do not willingly commit to any leader. Conformists are more participative than passive followers, but follow instructions and do not provide particular challenge. Pragmatic followers are middling in their independence, engagement and general contribution. Effective followers are exemplary in almost all ways, excelling at all tasks, engaging strongly with the group and providing intelligent yet sensitive support and challenge to the leader. Followers occupying the upper-right quadrant are effective followers, and act as ‘creative catalysts’ who stimulate others to generate ideas and inspire others toward creative thinking and innovation in organizations (Jaussi et al., 2008).

Figure 13.1 A two-dimensional taxonomy of follower behaviour (adapted from Kelly, 1992, and cited in Bratton et al., 2005)

Collinson (2006) also conceives follower identity and power in terms of conformist, resistant and ‘dramaturgical’ identities. The dramaturgical perspective, which is associated with the work of the Canadian-American sociologist Erving Goffman (1922–1982),

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uses the theatrical stage as its key organizing metaphor. The notion that ‘all the world is a stage and all the people players’ sums up dramaturgy. Imagine yourself as an artistic director observing what goes on in the theatre and stage of everyday organizational life; you are engaging in dramaturgical analysis, the study of leader and follower interactions in terms of theatrical performance. Followers’ identities, while over-simplifying follower behaviour and power, do provide a useful starting point for explaining the causes of a low-quality leader–follower relationship. For example, a ‘directive’ leader with an exemplary follower is unlikely to foster a high-quality relationship with that particular subordinate. The theory suggests that understanding and predicting the effect of leadership on followers require an analysis of followers’ personality traits and of the specific leader–member exchange relationships for each follower.

Critical Insight: FollowERship and THE Neoliberal Self

Although followership is an emergent concept, there are a number of critical views on followership. Collinson (2006), for example, posits that leadership scholars need to develop a much deeper understanding of follower identities and of the complex ways that these may interact with leaders’ identities. Alford (2008) examines the need for exploring the dissent of followers, particularly whether whistleblowing is ‘responsible followership’. Stech (2008) challenges the dominant paradigms around power relations and followership. The British economist Paul Mason (2019) suggests that neoliberalism has forged new behaviours and attitudes – respect for money, freedom defined as a form of consumer choice, the obsession with global brands and celebrities – creating what sociologists describe as the ‘neoliberal self’.

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Activity Read: Collinson, D. (2006) ‘Rethinking followership: a post- structuralist analysis of follower identities’, The Leadership Quarterly, 17 (2): 179–89.

Mason, P. (2019) ‘Creating the neoliberal self’, in Clear Bright Future: A radical defence of the human being. London: Allen Lane, pp. 37– 55.

Question: In an era of neoliberalism, how does knowledge of follower personality and self-identity help us understand the complex ways in which followers may interact with leaders? (Hint: see also this chapter’s Leadership in Action feature.)

Kelly’s notion of effective followers has clear positive implications for organizational leaders. It is they who have the responsibility for fostering and maintaining healthy leader–follower relationships. It places no burden on followers to go within themselves and identify the negative aspects of their behaviour. The Dark Triad and its effects, however, are not confined to leaders, but are also evident in followers. Followers, however, are not always forthcoming (or even aware of) their ‘Dark Triad’ and may have a hidden agenda they seek to gratify (Clements and Washbush, 1999). Dysfunctional follower attributes include feelings of resentment and envy (Hirschhorn, 1997), a ‘controlling’ or ‘passive- aggressive’ disposition (Kets de Vries, 1989), ‘workplace aggression’ (Bowling and Hershcovis, 2017) and ‘Machiavellian’ personality traits. These can all have serious consequences for the health of leader–follower relations. It is suggested, for example, that an individidual employee who attempts to gain advantage by flattering influential managers or behaves in a servile manner – a sycophant – may possess a high Machiavellian personality and deprive a leader of feedback to allow the current leader to fail, for the purpose of their own self-advancement. The Big Five and the Dark Triad framework and others remind us that personality traits can be both positive and negative and matter a great deal to leader–follower relations and performance. Importantly, leadership theorists and leaders need to develop sensitivity to a broad spectrum of concepts of follower attributes

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that are pertinent to leader–follower relations, including personality, self-esteem, self-efficacy and their lived experiences.

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Follower Behaviour and Motivation Implicit in the notion that leadership is about movement or change is the ability to motivate people. Psychologists tend to agree that motivation is by definition concerned with direction, the choice of a particular action, the intensity expended on it and the duration of energy. These dimensions can be found in Myers et al.’s definition of motivation: ‘[It is] a choice about where to direct your energy, how persistently, and how much effort to put in to achieving a goal’ (2010: 543, emphasis added). Similarly, Pinder (2014) defines motivation as the processes that accounts for an individual’s inner forces of energy that initiate, shape, sustain and direct behaviour toward attaining a goal. In other words, motivation is responsible for why people decide to do something, how much effort they are willing to put into it, and how long they are going to sustain the level of effort. Theories of motivation are embedded in human resource management (HRM) practices as such practices measure both the physical and subjective dimensions of people and offer a technology that aims to render people and their behaviour predictable and calculable (see Chapters 3 and 11).

The topic of motivation is of interest to any observer of follower behaviour. But, as with other aspects of organizational life, motivation has been studied from a variety of perspectives. As we examine these, do keep in mind Chapter 4 and our discussion of culture, and that theories of motivation have been developed mainly in the USA, a western culture, and that the level of motivation varies between people and within people at different times. Most mainstream approaches to motivation can be categorized as either content or process theories (see Table 13.4). Content theories assume that there exists a common set of basic needs which energises or motivates individuals, whereas process theories attempt to identify and explain how work-related behaviours are stimulated or hindered. Additionally, work motivation theories derive from cognitive theories, which argue that individuals are conscious of their goals and they behave rationally and with purposefulness. They also derive from

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behaviouralist theories, which posit that individual behaviour is reflexive and responds to positive or negative workplace stimuli. The categorizations being used here will help you navigate through a myriad of theories.

Table 13.4 A classification of motivation theories

Table 13.4 A classification of motivation theories

Content theories Process theories

Hierarchy of needs (Maslow, Alderfer) Equity theory (Adams)

Two-factor need theory (Herzberg)

Expectancy theory (Vroom, Porter, Lawler)

Achievement needs theory (McClelland) Goal-setting theory (Locke)

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Content theories: followers with needs Maslow’s (1954) hierarchy of needs theory is probably the most well known of the content theories. He proposed that people have a built-in set of five basic needs: physiological, safety-security, social-belongingness, self-esteem and self-actualization.

The theory claims that lower-level needs (e.g. physiological and safety) are the most important, but once satisfied cease to motivate employee behaviour; only the need at the next level up the hierarchy will activate motivation. Leaders need to ensure that lower-order needs are satisfied before appealing to their followers’ higher-order needs. Although Maslow’s idea is easy to understand and is intuitively logical, the consensus among workplace researchers is that the scientific evidence does not validate the theory (Pinder, 2014).

Herzberg et al.’s (1959) two-factor theory of motivation follows the humanistic route established by Maslow, suggesting that some aspects of a job have potential to motivate behaviour while other aspects of a job are more likely to have a negative influence on follower behaviour and performance. Motivating drives are associated with factors that are instrinsic to the work itself and are connected to the actual content of a person’s job, such as the potential for individual growth. Hygiene factors, on the other hand, are linked with factors that are extrinsic from the work itself and are associated with an acceptable work environment, including working conditions, pay and interpersonal relationships.

Herzberg’s two-factor theory suggests how an employee’s job can be redesigned to incorporate more motivators. And not surprisingly, a theory which describes both what motivates employees and how jobs can be redesigned to promote employee wellbeing and improve performance, has attracted much attention from organization and leadership academics (e.g. Hackman and Oldham, 1980; Parker, 1998). Critics have questioned the methodology and the independent effect of motivational and hygiene factors; for example, a study found that both motivational and hygiene factors can produce job satisfaction and

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dissatisfaction (Bassett-Jones and Lloyd, 2005; Schneider and Locke, 1971).

McClelland’s (1961) theory assumed that individuals are motivated by three needs:

The need for achievement (nAch) is the drive to excel, to exceed expectations. The need for power (nPow) is the need to change the behaviour of others. The need for affiliation (nAff) is the desire for close interpersonal relationships.

Research has focused primarily on the need for achievement (nAch). According to McClelland, high achievers tend to set goals that are moderately difficult, to seek out feedback on their performance, and to be generally preoccupied with accomplishment. High achievers also like to set goals that demand stretching themselves physically or mentally. McClelland’s theory has research support across cultures (van Emmerik et al., 2010). And teams composed of employees with high nAff tend to exhibit the most open communication, experience the least amount of interpersonal conflict, and achieve high performance. Both nPow and nAff tend to be closely related to leadership effectiveness. Effective leaders may be low in their need for affiliation and high in their need for power (Chun and Choi, 2014).

The implications of McClelland’s work are significant for theorizing on the psychological contract (covered in Chapters 1, 5 and 7). For example, an individual with high achievement needs is likely to value highly an unwritten understanding of advancement, enhanced responsibilities and challenging job tasks. Applying McClelland’s theory to the workplace, however, is fraught with difficulties, not least because the degree to which individuals have each of the three needs is difficult to quantify (Robbins and Judge, 2019).

Alderfer’s (1972) ERG theory posits three categories of needs: existence (E), relatedness (R) and growth (G). Existence needs include nutritional, safety and material requirements. Relatedness

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needs involve an individual’s relationships with family and friends and colleagues at work. Growth needs reflect a desire for personal psychological growth and development. These three core needs are similar to the needs advocated by Maslow (see Table 13.5).

Alderfer’s ERG theory differs in a number of respects from Maslow’s need theory. First, it does not assume a progression up a hierarchy. Alderfer suggests that needs may be activated simultaneously, and he believed that it was better to think in terms of a continuum, from existence needs to growth needs, with individuals moving along it in either direction. This suggests that unsatisfied needs become less rather than more important; Maslow assumed the opposite. Second, Alderfer’s theory suggests that growth needs are actually more important when satisfied, whereas Maslow argued that when fulfilled a need becomes less important to an individual. One prescription that stems from Alderfer’s work is that teams which satisfy followers’ relatedness needs can continue to motivate followers, and are not necessarily superseded by growth needs. If correct, it would make it easier for team leaders to satisfy the needs of their followers.

Table 13.5 Comparison of Maslow’s and Alderfer’s needs theories

Table 13.5 Comparison of Maslow’s and Alderfer’s needs theories

Need hierarchy theory ERG theory

Self-actualization Growth

Self-esteem

Social Relatedness

Safety Existence

Physiological

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Although Maslow’s, Herzberg’s, McClelland’s and Alderfer’s need theories have been popularized in the mainstream organizational behaviour texts, from a followership perspective they do have several limitations. The theories are conceptually flawed; they do not provide leaders with a clear, unambiguous basis for predicting specific follower behaviour to satisfy a particular need; and empirical findings contradict their motivational assumptions. Critics have also pointed out that the four theories are strongly informed by the Anglo-American culture of individualism, and there is an assumption that needs motivate regardless of gender, ethnicity or sexual orientation (Bendl et al., 2017).

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Followers with choices Process theories of motivation focus on how we make conscious choices that lead to a specific work behaviour, taking into account an individual’s cognitive processes in determining his or her level of effort, the outcomes of their efforts, whether those efforts will result in a desired goal, and whether the outcomes are equitable. Here we briefly examine three contemporary process theories: equity theory, expectancy theory and goal-setting theory.

Equity theory, which we discussed in Chapter 8 as a potential antecedent of the LMX relationship, is based on the premise that an employee measures equity by looking at the effort other employees are putting into their work and the resultant rewards they receive and comparing their own experience (Guerrero et al., 2015). Equity theory holds that people engage in ‘social comparison’ (Carrell and Dittrich, 1978), a process resulting in feelings of equity or inequity which lead followers to form judgements on the value or ‘valence’ of a reward or outcome.

Adams’s (1965) theory contains three central components: inputsy (the effort an individual makes); outputs (extrinsic and intrinsic rewards from the employer); and comparison with others. When an employee perceives others receiving a similar ratio of inputs (e.g. hours worked, time studying for qualifications, relevant work experience) to outputs (e.g. pay, status, promotion) to themselves, they experience equity. When they perceive an input–output ratio that either favours other employees (underpayment) or relevant others (e.g. workers in another, similar company) or themselves (overpayment) they experience inequity, which is assumed to be a sufficiently unpleasant experience to motivate changes in behaviour; they exert less effort or engage in ‘misbehaviour’ such as work stoppage or sabotage, or they leave the organization. It is important therefore to ground equity theory in the reality of societal effects of inequalities in contemporary everyday life (Wilkinson and Pickett, 2018). Equity theory too has practical implications for reward management (see Chapter 11); for example, the huge gender pay disparity found between male and female sport. The message for managers is that they must be

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careful to avoid setting pay rates which cause employees to feel underpaid relative to others either in the same workplace (internal equity) or to comparison groups outside the organization (external inequity). Equity theory’s hypothesis therefore serves as an important precursor to the study of distributive justice (Greenberg, 2011). Support for equity theory among researchers is mixed. Inequalities caused by overpayment do not seem to significantly affect workplace behaviour (Mowday and Colwell, 2003). There are also cross-cultural concerns with the theory’s propositions (Bolino and Turnley, 2008). Importantly, real or perceived inequity may lead to relationship difficulties between leaders and followers.

Pause and reflect

You may have experience as a worker or customer of the new ‘on- demand’ or gig economy. How does the gig economy change the nature of the employment relationship? What is the equity or inequity effect on the motivation of ‘followers’ in the gig economy?

Expectancy theory is ‘one of the most widely accepted explanations of work motivation’ (Robbins and Judge, 2019: 264). The explanatory theory argues that the motivation to exert a high level of effort is determined by an individual’s expectation that performance behaviour will result in extrinsic or intrinsic rewards, multiplied by the preference that person has for that outcome. Vroom’s (1964) theory focuses on three work-based relationships:

Expectancy: the effort–performance relationship. The probability perceived by the employee that her or his behaviour will lead to a particular performance outcome. Instrumentality: the performance–reward relationship. The perceived probability that the performance will lead to those valued outcomes or rewards. Valence: The perceived reward–personal goals relationship can be positive, negative or neutral.

The three relationships are displayed in Figure 13.2:

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Figure 13.2 Expectancy theory

Effective performance appraisal can help a manager apply expectancy theory to increase effort by each employee (see Chapters 9 and 11); for example, by increasing the employee’s perception that her or his expenditure of effort will result in completing the task successfully – the effort–performance relationship –perhaps through additional training. Alternatively, appraisal can increase the employee’s perception that improved performance will lead to desired rewards – the performance– reward relationship. Finally, a manager can engage in transactional leadership (covered in Chapter 7) by increasing the attractiveness of the reward. This could be achieved by offering promotion or additional vacation days or redesigning the job to give greater responsibility rather than a pay increase – the reward –personal goal relationship. Expectancy theories represent a far more nuanced approach and enable leaders to better understand the complexity of followers’ work motivation.

Finally, goal-setting theory proposes that both motivation and performance will be high if individuals set and work toward goals that are challenging and where feedback is given on performance (Locke, 1968). The model contains four major assumptions:

challenging goals will produce higher performance than less challenging goals; specific challenging goals will produce higher performance than no goals or vague goals, such as ‘do your best’; goal-setting with feedback on goal attainment will produce higher performance than goal-setting alone; follower participation in goal-setting will produce higher performance than no engagement. In other words, an

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employee has to feel some ownership of the goal if the goal is to influence work motivation.

Goal-setting is a popular technique used in performance management (see Chapter 13). To faciliate achievement, it is posited that goals should be SMART – specific, measurable, agreed upon, realistic and time-bound (Locke and Latham, 2006); that goal-setting should be part of the individual’s action plan (Grant, 2012); that goals should be flexible and that constructive feedback is crucial so that individuals can gauge the effect of their efforts (Sorrentino, 2006). For leaders and managers, the plethora of motivation theories can appear mystifying. In short, they should identify the needs and ambitions of each employee, the outcomes each wants, while avoiding any form of stereotyping, and recognize that followers differ in their personality, needs and expectations.

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Dialogic Conversation and Leadership

Image 13.1 While a monologic mode of communication is useful for imparting information, it is not usually the most appropriate way of securing consent or creative ideas from organizational members. In contrast, a dialogic mode of communication is driven by an exchange of views and is central to the process of followership.

It has long been accepted that communication is essential to leadership. Conventional treatment of communication treats language as something that simply describes what is going on in organizational life rather than actively shaping individual and organizational behaviours (Francis, 2007; Tsouskas, 2005). A monologic mode of communication, the process of information transfer in a top-down fashion, from upper-echelon leaders to followers, while useful for imparting information, is not usually the

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most appropriate way of securing consent or creative ideas from organizational members.

In contrast, a dialogic mode of communication is driven by an exchange of views. An explicit or implicit premise underpinning a dialogic mode of communiction is the notion of conversational practice and the crucial role of language and conversation in shaping organizational realities (Barrett et al., 1995). The leadership relationship has been conceptualized as being embedded in an evolving process of leading and following, and as ‘dialogic’ focusing on communication processes between participants (Reitz, 2015). Broadly, dialogic theories cluster into two conceptual streams: prescriptive and descriptive (e.g. Escobar, 2009). We will consider them each in turn.

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Prescriptive approach to dialogue Prescriptive accounts treat dialogue as an ideal type of conversation, structured with its own set of guiding principles distinct from conventional forms of discussion, argument and debate (Barge and Little, 2002). For Bohm, ‘collective thought’ is foundational to our understanding of dialogue as a specialized form of conversation. It is characterized as a form of free talking and thinking amongst fairly small groups (Bohm, 1987, 1996) and described as a ‘reflective conversational mode that can enable leaders and managers to alter their mental models’ (Jacobs and Heracleous, 2005: 342). Gryn explains that, conceptually, in a ‘Bohm dialogue’ format participants sit in a circle so they can observe each other’s body language. There is no leader or facilitator, no fixed rules, nor is there any fixed agenda or specific goals. Focus is given to processes that enable a space where participants feel psychologically safe to engage in an open, natural and non-judgemental flow of conversation, underpinned by the concept of ‘suspension’:

What is essential here is the presence of the spirit of dialogue, which is, in short, the ability to hold many points of view in suspension, along with a primary interest in the creation of a common meaning. (Bohm, 1987, cited by Gryn, 2003: 94)

Seen from this point of view, Shein (2003: 30) argues that an important goal of dialogue is to enable the group to reach a ‘higher level of consciousness and creativity through the gradual creation of a shared set of meanings and a “common” thinking process’. Shein presents a ‘road map’ of conversation in terms of two basic paths (see Figure 13.3). Within this framework, the underlying shift to a dialogic conversation is identified when participants understand the value of suspending their own ideas and opinions in ways that embrace everyone’s point of view fully and non-judgementally.

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Figure 13.3 Shein’s ‘road map’ of conversation

Four dialogue practices – listening, respecting, suspending and voicing – have been defined (Isaacs, 1993b, 1999). Dialogue is activated within organizations when change is desired, based on the premise that people can be trained in communication skills as well as the processes, such as action learning (discussed previously in Chapter 12), that allows for a ‘safe space’ for dialogue in which people can offer ideas and criticism without fear of reprisal (Barge and Little, 2002).

At a theoretical level, this normative ideal of reflective dialogue can be used as an analytical concept to explore the processes of product innovation. It is argued that managers can play a ‘key role in inviting people in a safe, open setting in which listening and understanding are valued by senior people’ (Jacobs and Heracleous, 2005: 349). Creating a learning context of this kind is not easy, however; it requires, among other things, time, space and the development of group facilitating skills, and the alternate ‘descriptive’ perspective on dialogue foregrounds a more dynamic view of organizational life.

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Descriptive approach to dialogue The descriptive approach to dialogue is rooted in Bakhtin’s work (1984). It argues that people acquire ‘dialogic wisdom’ to cope with multiple voices in organizational life (Barge and Little, 2002). The approach emphasizes the importance of enabling practices to create a new dialogic ‘tone’ to everyday leadership conversations. In doing so, a key challenge is creating a balance between advocacy (a right to hold to one’s position and objectives) and inquiry (a genuine openness to the position and interests of others) (see Figure 13.4).

Figure 13.4 Balancing advocacy and inquiry

In striving for a better balance between advocacy and inquiry, dialogic conversational practices seek to achieve a mutuality of gains in the employment relationship, creating potential for conversations that allow an openness to change, embrace uncertainty and afford opportunities to work with tensions creatively (Francis and Keegan, 2018).

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Building leader and follower communicative competencies There are a number of models that focus on the leader’s role in ‘leading’ workplace conversations. Each in different ways seeks to develop ‘conversational leadership’, a process which makes explicit use of conversation to cultivate collective learning and organizational change (Gambetti and Biraghi, 2015). For instance, Kantor’s (2012) ‘four-player model’ claims to enhance individual leaders’ communicative competencies, and it involves balancing four speech actions (see Table 13.6). Participants learn about their common behavioural tendencies (action stances) that they tend to hold when in conversation. They also learn about advocacy and inquiry, how to expand their communicative repertoire and how ‘operating systems’ shape conversation (i.e. the rules participants implicitly follow and expect others to follow).

Table 13.6 Kantor’s model of structural dynamics

Table 13.6 Kantor’s model of structural dynamics

Action stances MOVE (aspect of advocacy): initiates action or suggests direction, for example ‘Let’s start the meeting, shall we?’

FOLLOW (aspect of inquiry): validates and completes an action, for example ‘I’m ready also’.

OPPOSE (aspect of advocacy): challenges and corrects the action. It blocks the way of moves and follows: ‘Hold on. Ralph’s not here yet. We need our CEO.’

BYSTAND (aspect of inquiry): provides a perspective on the overall interaction, and attempts, in some way, to reconcile

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competing actions: ‘It’s no secret that he’s typically late. Are there reasons you should not confront him directly?’

Communication domains

AFFECT: feelings and connections between individuals, for example ‘Whenever Ralph forgets time, he leaves me with a sense that he doesn’t care about how it affects me.’

MEANING: attends to ideas and ways of understanding, for example ‘When he gets immersed in an idea, he forgets the whole world.’

POWER: takes on action and issues of completion, achievement and influence, for example ‘We can get things done while we are waiting. Let’s do what we can.’

Operating system

CLOSED: negative loops predominate; speakers regulated by formal rules and orient themselves to the larger system.

OPEN: governed by both positive and negative feedback loops; speakers are regulated by one another and orient themselves towards the collective.

RANDOM: regulated by positive feedback loops; it encourages speakers to self-regulate.

Source: Kantor, 2012: 9–10

In contrast to individual leader development (see Chapter 14), leadership development has been defined as a process that expands the collective capacity of organizational members to engage effectively in leadership roles and processes (McCauley et al., 1998, cited by Day, 2000). From this perspective, groups of

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leaders and followers work together in meaningful ways – to ‘learn’ their way out of problems (Day, 2000: 582). Appreciative inquiry (AI), which seeks to engage all stakeholders in self- determined change, helps facilitate this kind of ‘bottom-up’ conversational approach to leadership (Bushe and Marshak, 2009; Francis et al., 2012). However, implementing conversational leadership remains a challenge (Groysberg and Slind, 2012), not least because practitioners do not give sufficient attention to equal rights of participation (Boje, 2008), and to achieve a ‘consensus’ that contentious voices are marginalized (Jabri et al., 2008).

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Conclusion In this chapter we have discussed how followership has been conceptualized and its importance to leadership. Leaders and followers together co-produce the leadership relationship. Through a process of question and answer, the interrogation of ideas, shared understanding and advocacy, each follower affects and is affected by the leader. Effective leaders are those that understand the process of following and direct their attention to the differences that might exist between themselves and each of his or her followers, rather than treating followers as a homogeneous group. An important aspect of attending to differences is to understand how personality affects social relations. Equity and expectancy theories also provide a nuanced explanation of why followers are (or are not) motivated in their jobs. It should come as no surprise that understanding what motivates followers is complex and theories of motivation cannot universally be applied.

The quality of the leadership relationship is inextricably bound to the communication process. In so doing, we have examined the notion of ‘conversational leadership’ involving dialogic interventions to promote change. A common theme running through the models is skill: both in accurately interpreting human interactions and in designing a work environment that motivates followers, which foster authentic dialogic conversation and high- quality social relations.

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Chapter Review Questions

1. What is meant by the term ‘followership’ and how, if at all, does it increase your understanding of the process of leading?

2. Discuss two ways that leaders can increase follower motivation by changing the rewards–personal goals relationship.

3. How does the concept of dialogic mode of communication enhance our understanding of the leadership relationship?

Assignment Task: Effective follower leadership

Theories of followership highlight a wide range of issues around the role played by personalities, motivation and perceptions in understanding dynamic leader–follower relations, and follower perceptions of leadership and followership. Read Michelle Bligh’s chapter ‘Followership and followership-centred approaches’, in A. Bryman, D. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. London: SAGE, pp. 425–36.

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Questions 1. How do both leaders and followers play a role in managing

leader–follower processes? 2. What contexts are particularly ripe for constructions of effective

follower leadership?

Go Online

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Helen Francis and Catherine Thomson from Edinburgh Napier University discuss how language and communication can shape leadership and engagement in the workplace. Helen expands on the HealthOrg case study to explain engagement tensions, and Catherine shares how her use of Kantor’s model has helped the leaders she’s supported.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Alford, C.F. (2008) ‘Whistleblowing as responsible followership’, in R.E. Riggio, I. Chaleff and J. Lipman-Blumen (eds), The Warren Bennis Signature Series: The art of followership – how great followers create great leaders and organizations. San Francisco, CA: Jossey-Bass, pp. 237–51.

Alrø, H. and Dahl, P.N. (2015) ‘Dialogic group coaching – inspiration from transformative mediation’, Journal of Workplace Learning, 27 (7): 501–13.

Bligh, M.C. (2011) ‘Followership and follower-centred approaches’, in A. Bryman, D.L. Collinson, K. Grint, B. Jackson and M. Uhl-Bien (eds), The SAGE Handbook of Leadership. London: SAGE, pp. 425–36.

Pinder, C.C. (2014) Work Motivation in Organizational Behavior. New York: Psychology Press.

Suda, L. (2013) ‘In praise of followers’. Paper presented at PMI Global Congress 2013 – North America, New Orleans, LA. Newtown Square, PA: Project Manage-ment Institute. Available at www.pmi.org/learning/library/importance-of-effective-followers- 5887 (accessed 9 April 2019).

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Case Study: HealthOrg

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Background HealthOrg is a UK healthcare charity that employs 700 staff to provide social services and training aimed at the promotion of mental health in the workplace and the wider community. The organization has become increasingly reliant on local government contracts and is under growing pressure to do ‘more with fewer resources’ in the face of government austerity measures and competition from private service providers.

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The problem A core organizational paradox is emerging of cost control and quality of customer service, indicative of the voluntary sector as a whole. In this context, an engagement survey was launched which captured people’s’ experiences of workplace tensions; for example, how they pursue meaningfulness in their work, and the kind of support they get from their line manager. Results point to a strong service orientation to work, typically couched as making a ‘real difference’ to customers’ lives. This was infused, however, with tensions of engagement at task and organizational levels (see Table 13.7).

Table 13.7 Paradoxical tensions Table 13.7 Paradoxical tensions

Tensions at task level

Social care and (regulatory) paperwork: Meaningful (service) work depends on getting contracts, and contracts depend on staff being able to carry out procedural tasks that provide less meaning to workers (i.e. ‘paperwork’).

Service excellence and service efficiency: ‘Quality service’ is challenged by growing local authority budget cuts, marked by reduced contact hours for service users, and expectations to do ‘more with less’. New contracts fall short of the standards care staff are used to (and want to provide) alongside growing work pressures.

Tensions at organizational level

Commercial identity v. service identity (with external clients): Tensions are rooted in a re- orientation towards ‘more commercial’ values in order to reduce the current reliance on government funding and/or meet the requirements for government funding of new service contracts.

Responses to tensions were clustered into two main themes: ‘flailing’ and ‘muddling through’.

Flailing: A defensive ‘either/or’ response, marked by lack of conversations about competing tasks/identities, and associated stressors. A typical response would be:

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‘Pressure from HealthOrg to be completing more and more paperwork and more and more regulations – this is having a real impact on us being able to do the main job we are here to do, i.e. supporting people.’ (Worker)

‘My perception is that HealthOrg is focussing all its attention on their profile, media work, fundraising and campaigns, and this sometimes feels that they are ignoring, forgetting about the services and the people we support on a daily basis.’ (Worker)

Data suggested that a sense of ‘them and us’ developing between the senior team, commercial managers and people working in client services, heightened by poor communications about maintaining frontline services:

‘Poor support from further up the organization. An expectation that you can just work with anything thrown at you. More hours, less salary, less staff, stand still budgets […] things like the Internet. Issues are either shelved and forgotten about or left until the last minute.’ (Service Manager)

Muddling through: This response suggests a both/and perspective, embracing tensions as best they can through conversations that enable workers and managers to express and share problems, anxieties and ideas about the handling of contradictory demands:

‘Currently in our services we are experiencing problems around being able to maintain effective staffing levels against service delivery expectations … This has required the local management team to genuinely share thoughts and suggestions in a constructive way that enables rota problems to be met […] therefore good communication between the management team ensures we are looking to minimize problems around service delivery where we can.’ (Senior Manager)

‘However, in the face of a reduced “managerial presence” […] it is now common for service managers to have to manage several teams at a time – leading to a deterioration in the quality of management, and ultimately in service provision.’ (Manager)

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Case exercise In small groups, play the role of a consultant. Prepare a report for the chief executive, outlining a proposal for the effective handling of tensions arising in this case. Your report should also consider the implications for leader–follower relations and leader capabilities.

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Source Professor Helen Francis, adaptation of a case study written with Professor Anne Keegan (Francis and Keegan, 2018).

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Sources of additional information Francis, H. and Keegan, A. (2018) ‘The ethics of engagement in an age of austerity: a paradox perspective’, Journal of Business Ethics, pp 1–15.

Lewis, M.W., Andriopoulos, C. and Smith, W.K. (2014) ‘Paradoxical leadership to enable strategic agility’, California Management Review, 56 (3): 58–77.

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14 Gender and Leadership

Lois Farquharson

‘The phalanx of women now occupying top jobs in politics represent a much more profound shift. So is this equality? Hell no. The advance of women to the top of politics has been accompanied by a misogynist renaissance in Britain, the US and other supposedly progressive democracies … Women wielding executive power are a prime target.’

Rebecca McQuillan, 2017

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Chapter Outline Introduction The nature of diversity The glass ceiling, the labyrinth and the glass cliff Gender pay gap Women in global leadership Millennial women and leadership Future challenges for gender diversity and inclusion practices Supporting women to lead Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

define diversity and understand the value of diversity and inclusion in a global leadership context; understand the discourse around gender in leadership, particularly concerning the benefits and challenges for women leaders in differing countries and cultural contexts; explain solutions to support impactful leadership diversity and inclusion at work, with particular focus on gender.

video

To learn more about the challenges faced by women in leadership, don’t forget to watch the video conversation for this chapter online.

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Introduction As the opening vignette suggests, in spite of the progress that has been made, women in leadership positions are contending with misogyny. Inequality between men and women and misogyny long predate the relatively new academic interest related to gender and leadership. Early feminist writers studied the roots of European ideologies based on patriarchy that placed men superior to women, which shaped ideas and beliefs on what constitutes paid work, what kinds of work are valued and the role of women in western societies. The tendency until the early 1970s was for researchers to examine the social organization of work through a masculine prism (Bratton and Denham, 2019). As you will see, this notable deficiency means that traditional leadership theory and research offer an inadequate framework for understanding many important aspects of the modern organization.

In the last decades, robust public discourse and scholarly interest have challenged the stereotypes and language around women, the inclusion and exclusion of people based on different genders, racial and ethnic backgrounds, disabilities and sexual orientation. Fuelling the interest is the upsurge in large-scale public protests across the globe, including #MeToo and Black Lives Matter. Many of these movements and protests have diversity, and the benefits and tensions therein, at their heart. It should be no surprise to you, therefore, that diversity and diversity management have become a feature not only of university life but also of contemporary organizations (Bendl et al., 2017).

In this chapter, we seek to advance your understanding of the leadership relationship by examining issues of diversity, highlighting that genuine ‘inclusion’ may support innovation and enhanced organizational performance. While other identities are crucially important too, the principal focus is on gender. We discuss the challenges for female leaders, and leadership behaviours are critiqued in order to surface feminine advantage as a key contributor to effective leadership. Finally, we make

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recommendations around how organizations may address the challenges of diversity and leadership.

Pause and reflect

Before reading on, consider your university: to what extent is it diverse, and how does this impact on the university’s culture? How does this affect your experience of interacting with and/or working at the university?

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The Nature of Diversity With changing demographics, globalization and immigration, work organizations are increasingly heterogeneous in nature. The plurality in the workplace represents the basis for theorizing diversity and diversity management in organizations. The difference between organization members can be visible and non- visible. From the academic viewpoint, diversity is an ‘unwieldy’ concept that has produced a plethora of definitions (Özkazanc- Pan and Calás, 2017: 576). In its broadest sense, diversity in organizations is about bringing together ‘a mixture of people with different group identities within the same social system’ (Nkomo and Stewart, 2006: 520). Diversity reflects differences in terms of social background, sexual orientation, race and ethnicity, age, disability, thinking and work styles. This encompassing sweep is captured in an early definition:

Diversity includes everyone; it is not something that is defined by race or gender. It extends to age, personal and corporate background, education, function, and personality. It includes lifestyle, sexual preference, geographical origin, tenure with the organization … and management or non-management. (Thomas, 1991: 12, cited by Pringle and Strachan, 2015: 44)

For Hays-Thomas and Bendick, diversity is defined as ‘the mixture of attributes within a workforce that in significant ways affect how people think, feel, and behave at work, and their acceptance, work performance, satisfaction, or progress in the organization’ (2013: 195). They point out that inclusion focuses new attention on the policies, practices, and climate of the workplace – the workplace culture – that shapes the experiences of employees with those characteristics.

Whereas the notion of equal opportunity (EO) is externally initiated and externally driven, in other words by government legislation, managing diversity (MD) is internally initiated and business-needs driven (Pringle and Strachan, 2015). The

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business case for diversity and equality is the result of the changing composition of the talent pool (see Chapter 10) as well as the internationalization of business (Tatli et al., 2017), which may enhance performance at individual, group or organizational level.

Interestingly, Winters makes a distinction between diversity and inclusion by suggesting that ‘perhaps the most salient distinction between diversity and inclusion is that diversity can be mandated and legislated, while inclusion stems from voluntary actions’ (2014: 206). Therefore, inclusion requires a levelling of the playing field and provision of opportunities through organizational and leadership practices that offer real equal access to opportunities for employees who belong to social identity groups that experience greater discrimination (Bell et al., 2011; Roberson, 2006). Although much of the discourse on diversity has focused on gender diversity, recent diversity literature (e.g. Farndale et al., 2015; Dennissen et al., 2018; Mor Barak, 2018) has extended research and theory on diversity and diversity management practices beyond issues of gender to include a wide variety of racial, religious, physical and sexual identifications or positions; for instance, in Britain, black and minority ethnic (BME) groups and lesbian, gay, bisexual and transgender (LGBT+) members in the workplace.

Pause and reflect

Before reading the next section, what is the business case for diversity? Considering an organization you have worked for or patronized as a customer, to what extent did it consist of visible differences?

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The business case for diversity management Many diversity and inclusion scholars and practitioners have emphasized the benefits of investing in diversity management and the business value that people with a variety of differences bring to organizations (Ferdman, 2013; Nekhili et al., 2018). Danowitz defines diversity management as ‘a concept and process that acknowledges the value of difference and strategically strives through structures and processes to increase inclusion and promote equity among its stakeholders, especially its internal ones, to create added value’ (2015: 358, emphasis added). This definition posits that diversity management is a form of strategic human resource management (SHRM).

The ‘Delivering through Diversity’ research report by McKinsey & Company (Hunt et al., 2018) focuses on evidencing the business case for diversity and found significant correlation between a more gender-diverse leadership team and financial outperformance. Gender-diverse executive teams were 21 per cent more likely to outperform on profitability and 27 per cent more likely to have superior value creation. The report also highlights the impact of ‘opting out’ of diversity – companies who lacked both gender and ethnic/cultural diversity were 29 per cent less likely to achieve above-average profitability than were all other companies in the data set. Mor Barak (2018) links diversity with innovation and its potential to uplift and energize economies during times of economic hardship.

However, diversity does not necessarily yield positive outcomes and can in fact lower cohesion and performance. The study by Jackson and Joshi (2011) found that diversity yielded mixed results, with the effects of team diversity ranging from positive to neutral to negative. The authors posit that ‘social dynamics’ shapes how work teams experience diversity. This suggests that the concepts of equity and reciprocity and perceived team-level leader–member exchange (see Chapter 8) affect the way teams experience diversity. Further, although intended to achieve inclusion, some diversity practices unwittingly have the potential to ‘reproduce exclusion’ as well (Bendl et al., 2017: 1). Hence, while

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the focus on inclusionary management practices can promote the potential advantages and opportunities of having a diverse workforce, managing diversity in organizations is never without controversy.

Winters (2014: 206) quotes Andres Tapia’s interesting distinction between diversity and inclusion and introduces us to the inclusion paradox: ‘Diversity is the mix; inclusion is making the mix work’ (see also Tapia, 2016: 15). Thus, transformational leaders (arguably defined by female characteristics which exhibit communal rather than the agentic approaches – see also Chapter 7) create the future by being open and including the new, different and unusual. Chandler (2011) notes that women leaders practice transformational leadership more frequently. Many of the other characteristics associated with women’s leadership – the development of followers, strong interpersonal relationships, participative decision making – have also been associated with more effective leadership (Chandler, 2011; Ellwood and Garcia- Lacalle, 2018; Griffiths et al., 2019).

There is therefore a strong suggestion that transformational leaders face the additional challenge of ‘inclusion’ to inspire and bring about change, as leaders reconcile tensions between ‘I’ and ‘we’. In other words, leaders must balance when they push and drive for their own way, excluding the views of others, and when they listen, collaborate and synthesize others’ insights for a more diverse and inclusive view. Tapia (2009) makes a compelling case for inclusion as a business strategy, stating that it is inclusion that ‘Calling out differences unleashes the true creative contributions of diverse perspectives that play off each other and lead to better work relationships, greater innovation, and profitability that benefit individuals, teams, and organisations’. Employees then become more engaged, collaborative, productive and innovative based on a deeper understanding of customers, their cultures and unmet niches. Leaders have to develop their cross-cultural agility that has at its heart self-awareness (“I”) and awareness of others (“we”). Leaders need to understand this in a deep way in order to activate diversity.’

Critical Insight: The power of intersectionality in driving diversity

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The concept of intersectionality recognizes multiple social categories (including race, class, gender and sexuality), and views them as operating in parallel (Breslin et al., 2017). Therefore, these categories can exist independently, but can also combine to create ‘double jeopardy’ for individuals where each category adds up to result in even more inequality (e.g. racial minorities or LGBTQ and low socioeconomic status). For example, the concept of intersectionality was used 30 years ago to examine the various ways in which race and gender interact to shape multiple dimensions of black women’s employment experiences. Further intersectionality may help to explain perceptions and definitions of leadership and the ways in which they may exclude particular social groups. Hearn and Louvrier (2015) emphasize the value of intersectionality to managing diversity across organizations and in leadership contexts, suggesting that in multinational organizations the multiple intersectional categories mentioned above are further developed across space, place, cultures, interorganizational power relations and virtual technologies.

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Activity Read Danielle Mercer et al. (2017) ‘Intersectionality at the intersection’, in R. Bendl, I. Bleijenbergh, E. Henttonen and A.J. Mills (eds), The Oxford Handbook of Diversity in Organizations. Oxford: Oxford University Press, pp. 435–53.

1. What is meant by the term ‘intersectionality’? 2. What is the research value in framing discriminatory practices

through an intersectionality lens? 3. Think about organizations that are cited in the media or are

known to you. Do they understand and acknowledge intersectionality in their approach to managing diversity?

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The Glass Ceiling, the Labyrinth and the Glass Cliff We introduced the concepts of the glass ceiling and the glass cliff in Chapter 1. The glass ceiling represents the invisible barrier that exists in many workplaces, preventing women from achieving senior positions. The metaphor of a ‘leadership labyrinth’ goes further, suggesting that women are on a journey riddled with challenges which must be successfully navigated. Within the leadership labyrinth, women encounter multifaceted barriers that not only result in lack of numerical parity between women and men in leadership, but also critical gender differences in the nature of leadership positions.

In order to break the glass ceiling or manoeuvre through the complex leadership labyrinth, there continues to be an assumption that women need to be ‘fixed’ so that they can better display the competencies and behaviours associated more readily with a traditional, arguably male, leadership profile (Bierema, 2016). The expected outcome of this ‘fix’ and ‘fit’ approach would be that organizations would see a larger proliferation of women in senior leadership positions. However, the question must be asked whether this is at the expense of an individual’s personal identity and authenticity, and researchers suggest that this does create a ‘double bind’ for women (Varghese et al., 2018): be fixed and fit in or fail. The 2016 US presidential election revealed the animosity that many Americans harbour toward women who seek power. Gender-based hostility (Hoyt and Murphy, 2016 call this ‘stereotype threat’) reached significant heights in relation to Democratic candidate Hillary Clinton. Throughout her career in public office, many have demonized her as a woman, wife and mother, and labelled her a ‘radical feminist’ and, during a presidential debate, as a ‘nasty woman’. This backlash against female power seeking was epitomized in the campaign slogan ‘Trump that Bitch’. It can be argued that Americans’ hostility toward women and feminism predicated support for Republican

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candidate Donald Trump almost as strongly as their political party affiliation.

Image 14.1 Within the leadership labyrinth, women encounter multifaceted barriers that not only result in lack of numerical parity between women and men in leadership, but also critical gender differences in the nature of leadership positions.

Similarly, in New Zealand, a societal constraint that tends to enforce gender order is that of ‘tall poppy syndrome’ (TPS). TPS is a mechanism that targets those who stand out in some way, whether through success in achievement or wealth, thereby engendering envy. The response to success is therefore ‘cutting him or her down to size’ and self-promotion is discouraged. For women, this can result in diverting credit for excellent work and self-deprecating humour to mitigate praise, both of which could impact negatively on the use of the norms of self-promotion in recruitment (Holmes et al., 2017).

When women are successful in promotion and do break the glass ceiling, the contention is that they move onto the volatile glass cliff (Ryan and Haslam, 2005, 2007). This is the phenomenon of women making it to the boardroom but finding themselves

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disproportionately represented in what could be described as unstable and potentially unsustainable leadership positions (2005). For example, Theresa May became the first female prime minister of the UK since Margaret Thatcher, just in time to preside over Brexit – the country’s economically perilous break from the EU.

Research into the glass cliff shows that women, relative to men, are preferentially appointed to precarious leadership positions coupled with greater risks and criticism (Ryan et al., 2016; Cook and Glass, 2014). It is suggested that women’s promotion into these types of leadership positions is dependent on firm performance (Ryan and Haslam, 2007), that is, women are more likely than men to be promoted in firms that are in crisis (which may vary from financial performance and major change to reputational scandals), making their leadership roles high risk, with the potential for them to be ousted for apparent failure. The danger here is that these types of positions only confirm and continue biases against women’s leadership capabilities.

So, why do women apply for these leadership posts if this is the case? There are a number of reasons, including men’s attitudes to a risky or undesirable position, and women’s perception that these leadership opportunities may not occur again in future. There is also the important contention that female leaders’ relational approach to leadership (including skills such as caring, supporting, emotional intelligence, interpersonal skills and teamworking) creates the ‘feminine advantage’ (Ryan et al., 2011) by engendering trust which can result in job satisfaction, organizational commitment, individual wellbeing and task effectiveness, thus enhancing the effectiveness of crisis responses (Post et al., 2019). In addition, it may also be the case that when firms are in crisis, they look for non-traditional leaders in order to signal a clear change in direction to stakeholders (Ryan and Haslam, 2007). However, this type of approach could encourage token status, and therefore their leadership may face negative evaluation bias (Eagly and Karau, 2002; Heilman, 2001; Schein, 2001), reducing stakeholder confidence in their abilities.

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The alternate view is that this is institutional sexism, which assumes that a woman will do a good enough job for a while, getting the business into a better position for when the next man, often dubbed as the ideal manager (Ryan et al., 2011), can take over. This has been dubbed the ‘saviour effect’ (Cook and Glass, 2014).

An example of female leadership success in a company in crisis is that of Mary T. Barra, who became General Motors’ CEO in 2014. Barra led the team that, in under a year, made enhancements to the Chevrolet Malibu to give the flopped 2012 version a facelift, which improved sales. During the auto crisis, she also increased efficiency through product innovation and created more vehicles that shared the same parts. She got General Motors’ purchasing and product development departments to work together, which they had previously never done. It is claimed that her ‘secret’ to success is in her inclusive approach to leadership, managing by consensus balanced with knowing when to make decisions herself. When asked about her management style, Mary Barra says:

Collaborative. When we have to make tough decisions, giving direction and setting the strategies for the products of General Motors, there should be constructive tension. We should have vigorous debates … At the end of the day, when the decision has to be made, if we don’t have complete unanimity; I have no qualms about making it. But I want that tension in a constructive way to make sure we evaluate things from every angle. I am pretty hands-on as well. I will call a chief engineer when I am driving a vehicle. (Hirsch, interview with the Los Angeles Times, 11 December 2013)

This approach built highly effective work teams who felt connected to the organization which spurred them to drive innovation and success in growth markets.

It is very important to note that this approach does not only apply to women; leaders are made up of multiple identities, including

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race, socio-economic status, sexual orientation and other aspects. Racial minorities are also more likely to be promoted in times of crisis, for example Barack Obama, the USA’s first black president, could be seen as a ‘glass cliff’ leader. Obama was elected in 2008, during the worst financial crisis in the country’s recent history, and was often blamed for this crisis – which actually happened before his election.

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Gender Pay Gap As you will recall, we discussed perceived equity as a motivational incentive in Chapter 13. Data shows the extent of the global pay gap between men and women. In 2018, the average progress on closing the global gender gap stands at 68.0 per cent – meaning an average gap of 32.0 per cent remains to be closed worldwide in order to achieve universal gender parity. Women across the world are paid 63 per cent of what men earn and the earnings of men are continuing to increase. This means the global gender pay gap has only improved very slightly, despite numerous initiatives to break the glass ceiling and force salary disclosure. Dworkin et al. (2012: 364) observed that ‘the leadership [pay] gap is surprising given that a noteworthy body of research suggests businesses and organizations which employ women at the highest levels reap significant financial benefits in doing so.’ But it is not as simple as saying that men and women who are doing the same job are paid differently, as the picture for women is much more complex than that.

Although much has been done to close the gap, many women still work in industries with lower average pay rather than high-income areas such as finance or technology that are still traditionally dominated by men. They are also more likely to undertake part- time work due to commitments to caring responsibilities. And they are less likely to be in highly-paid senior positions, often because they have chosen to take a career break while having children. Currently, only 34 per cent of individuals holding senior managerial positions globally are women (WEF, 2018a). In order to address this gap, two thirds of the Organization for Economic Co-operation and Development (OECD) countries have introduced new policies on pay equality since 2013, while the UK, Australia, Japan, Germany and Sweden are among a handful of countries that require some employers to publish calculations every year showing the gender pay gap. With inequality permeating so much of the fabric of society – especially when it comes to caring for children – it is perhaps not surprising that the World Economic Forum (WEF) (2018a) indicates that it will take

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202 years to achieve parity (an improvement from 217 years the previous year).

Leadership in Action: Are women set up as ‘fall-girls’?

Yahoo! has undergone major restructuring, including cutting thousands of employees. As CEO, Marissa Mayer had a tough experience as a leader. Activist investors demanded that Mayer should be fired for mismanaging the company. There is no doubt that the charismatic Marissa Mayer, who enjoyed being in the spotlight and who was seen as a star in the tech industry with a background working in Google, took on a challenging situation when she became the CEO in 2012. She has been hailed as the spirit of womanhood and female entrepreneurship. Initially, shares rocketed 254 per cent from $15 to $53.12 when Mayer took over and Yahoo’s credibility in the market began to improve. The stock performance was bolstered by Yahoo’s prior investment in Chinese e-commerce company Alibaba.

Transforming the company’s outdated internet portal proved challenging. As apps and social networks continued to dominate, it was clear that Google and Facebook had eviscerated Yahoo’s once- healthy share of online advertising globally, and Instagram and Snapchat were also coming into the market looking to take their share. Mayer had a strong vision and took an assertive stance in her strategy of acquisitions and executive hires, but she also had a hand in some significant errors including two major data breaches of Yahoo accounts between 2013 and 2016, a questionable acquisition of social media site Tumbler and high-salaried employees who were not performing to achieve company goals. Her approach also led to internal politics at Yahoo where former male executives criticized Mayer’s management style as brusque and inflexible. It was reported that Mayer could have talked less and listened more, taken time to learn before acting, and built bridges instead of walls within her workforce. Tech, finance, law, sports, the military and the stock market are all occupations where men continue to dominate, so her experience may not be unusual.

But it is important to note that if we consider the five male Yahoo CEOs who preceded Mayer, each of them had a similar challenge in trying to create new growth waves as others fell; each of them also failed. In addition, Mayer also introduced a ban on telecommuting (working from home), which caused widespread consternation.

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Employees perceived this as unfair as Mayer was not ‘walking the talk’ – she could take her own child to a personal nursery whilst other employees might struggle to manage their own family responsibilities because of the loss of flexible working arrangements. As a result of the above leadership approach, the culture was perceived as toxic which impeded the performance of the organization and ultimately vilified Mayer.

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Reflective questions 1. Do you think Marissa Mayer fell from the ‘glass cliff’? 2. What action could she have taken to address the leadership

challenges she faced at Yahoo? 3. Should she have changed her leadership style?

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Sources Chamorro-Premuzic, T. (2017) ‘Marissa Mayer’s departure from Yahoo and the challenge of drawing lessons from an N of 1’, Harvard Business Review, 15 June. Available at https://hbr.org/2017/06/marissa-mayers-departure-from-yahoo-and- the-challenge-of-drawing-lessons-from-an-n-of-1 (accessed 14 November 2019).

Mejia, Z. (2017) ‘Why Marissa Mayer is the “least likeable” CEO in Tech’, CNBC.com, 31 May. Available at www.cnbc.com/2017/05/31/why-yahoo-ceo-marissa-mayer-is-the- least-likable-ceo-in-tech.html (accessed 14 November 2019).

Myatt, M. (2015) ‘Marissa Mayer: a case study in poor leadership’, Forbes.com, 20 November. Available at www.forbes.com/sites/mikemyatt/2015/11/20/marissa-mayer-case- study-in-poor-leadership/#2c7656bf3b46 (accessed 14 November 2019).

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To explore this topic further see: Tinsley, C.H. and Ely, R.J. (2018) ‘What most people get wrong about men and women’, Harvard Business Review, 96 (3): 114–21.

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Women in Global Leadership As global society has developed its perspectives around women in the workplace, there have been positive movements via an increase in women in the boardroom, with evidence of success and profitability as a result; however, this has been a slow growth and arguably not enough to reassure women of their value and impact in the workplace. The impact of social movements such as the, arguably adversarial, #MeToo movement, spurred on by the election of Donald Trump as President of the USA, has reverberated around the world, asking questions about both the treatment of women in global work and society, and the lack of women represented in leadership positions. In 2018, the All India Democratic Women’s Association (AIDWA) called a protest against sexual and communal violence, lack of access to social security programmes, malnutrition and unemployment. Around 5,000 women from 23 states in India participated in this protest, marching in solidarity to the Indian Parliament. We have already noted that the WEF (2018a) has predicted that it will take 202 years to achieve parity in terms of pay.

With reference to political and economic leadership, the world still has a long way to go. Across the 149 countries assessed, there are just 17 that currently have women as heads of state while, on average, just 18 per cent of ministers and 24 per cent of parliamentarians globally are women. Similarly, women hold 34 per cent of managerial positions across the countries where data is available, and less than 7 per cent in the four worst-performing countries (Egypt, Saudi Arabia, Yemen and Pakistan). However, there are countries where significant progress has been achieved. Full parity on this indicator is already a reality in five countries (Bahamas, Colombia, Jamaica, Lao PDR and the Philippines), and in another 19 countries there are at least 40 per cent of women in managerial positions.

It is also important to recognize that more countries do have gender-balanced national cabinets. Rwanda’s parliament is 60 per cent female and Iceland continues its path toward complete

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gender parity. Saudi women are at last able to drive legally and allowed into sports stadiums, though the Crown Prince has also jailed activists fighting for women’s rights. Whilst in Germany, Chancellor Angela Merkel was succeeded by the new female Christian Democratic Union party leader Annegret Kramp- Karrenbauer, and in Denmark, Social Democrat leader Mette Frederiksen, 41, was elected to become Denmark’s youngest ever prime minister. In 2019, the world’s youngest prime minister, Sanna Marin, 34, was elected in Finland and leads a centre-Left coalition of women (BBC News, 9th December 2019). In the 2018 US midterm elections, more than 110 diverse women, including the first Muslim women and the first Native American, were elected to Congress. Several factors appeared to shape the results, including an increase in the number of women willing to run, women of colour moving forward, and President Donald Trump himself – the strong societal reactions to his comments, policies and the allegations surrounding his treatment of women (WEF, 2018b).

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The artificial intelligence gender gap This year’s analysis also suggests that the rise of new technologies across a range of industries may play a role in exacerbating persistent gender gaps. The state of the gender gap in the fast-growing field of artificial intelligence (AI), which is considered to be one of the main drivers of change in labour market transformations, was analysed. There continues to be a significant gap between female and male representation among AI professionals: only 22 per cent of AI professionals globally are female. Over the past four years, men and women have been adding AI skills to their profiles at a similar rate. This means that while women aren’t falling further behind, they also aren’t catching up. If the current trend continues, male AI professionals will continue to outnumber women, even as both genders continue to gain AI skills.

It is interesting to note that the patterns in the AI gender gap are similar to those in the overall workforce: female AI professionals are more likely to work in ‘traditionally female’ industries – those that already have a relatively high share of female workers, such as the nonprofit, healthcare and education sectors. In general, women with AI skills are more likely to work in the use and application of AI, with common positions including data analytics, research and teaching. Men are more likely to work in the development of the technology itself, which is reflected in the skills they report, such as deep learning and neural networks. WEF (2018a) confirms that women are ‘growing but not gaining’ when it comes to AI skills, which means that gender imbalance in the field is likely to persist. In a global context where human skills are complementary to technology, organizations must continue to develop the women’s talent pipeline in sectors in which talent is already scarce.

Pause and reflect

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To what extent do you think there has been an improvement in women in leadership in your country and why? Can you think of any prominent examples you have seen in the media?

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Millennial Women and Leadership Women who are characterized as ‘millennials’ provide an interesting discussion point in considering the changing attitudes, drivers and identities of future women leaders. Millennials have become the largest generation in the global workforce. As the millennial generation becomes the majority of the workforce and baby boomers retire, millennials will increasingly move into leadership positions. What makes millennials different from previous generations is that they are technologically savvy, working and leading in a digital world where technology is embedded in all aspects of business, education and government. Research shows that millennials expect more out of work; they are looking for meaning, challenge and flexibility (Kuron et al., 2015). Sociologists have described the new archetypal millennial as the ‘neoliberal self’ (see Critical Insight, p. 299 and Mason, 2019). It is maintained that millennials are more people-oriented and gender-neutral in how they view women in leadership. While this generation of women may often be stereotyped as less motivated and lacking ambition, millennial women seek their professional aspirations in ways that coexist with their personal values and are likely to take different paths to leadership than did previous generations (DeFrank-Cole and Tan, 2017).

This millennial approach parallels the three factors, identified in the kaleidoscope career model (Mainiero and Sullivan, 2006), that influence career decisions: authenticity (the need for fulfilling, meaningful work), balance (integrating work and nonwork lives) and challenge (the need to experience career advancement that contributes to feelings of self-worth). Gerzema and D’Antonio (2013) of The Athena Doctrine: How Women (and the Men Who Think Like Them) Will Rule the Future, give an informed perspective about leadership attributes that are sought around the world, especially by millennials. They speak to the issues of equality and fairness as being the preferences of young adults.

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Future Challenges for Practices of Gender Diversity and Inclusion Although women have been pivotal in reshaping the views we now hold about leadership, there remains a disconnect between women’s ways of leading in often competitive, top-down, hierarchical systems. The evidence for differences in men and women’s leadership behaviours is mixed, however. While Rosener (1990) argues that women executives succeeded because of ‘feminine’ characteristics (e.g. interactive, power and information sharing), Wajcman (1998) argues that executives of either sex who hold positions of equivalent status in the organization adopt a similar style of leadership largely as a consequence of the context – ‘economic imperatives’ – in which they work.

Lipman-Blumen (1996, 2017) argues that leadership needs to embrace a more nuanced multifaceted approach to leadership. This means embracing what she labels ‘connective’ leadership. The connective era is characterized by the global economy and greater cross-cultural interaction, with contradictory tensions pulling us toward greater global interdependence but also fragmentation based on our diversity. At a time when polarization and dissonance about values could lead to paralysis, successful leaders of either sex need to reconcile differences and work across national cultures (see Chapter 4) and seemingly irreconcilable values. The connective leadership model requires a blending of the various skills that can be seen across the leadership literature – including the most recent studies of women leaders (Carbajal, 2018; Kubu, 2018; Kulich et al., 2018). According to Lipman-Blumen, connective leadership is focused on three main areas: relational, direct and instrumental. Together, these areas play a supportive role in contributing to others’ tasks (relational), mastering one’s own task (direct) and maximizing interactions (instrumental).

Lipman-Blumen (1996, 2017) emphasizes that although the model includes many politically oriented behaviours, they are ethically

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oriented toward community benefits such as a sense of belonging. She also advocates a ‘politics of commonality’ as an alternative to the politics of difference favoured by traditional leaders. In recognizing differences in the approach to leadership, they help translate the different styles and approaches so that different change agents better communicate and can act together. Lipman- Blumen regards connected leaders as inclusive, authentic and accountable. Using connective leadership, women (and all other groups) are better able to determine when they might need to use traditional approaches but also how to counteract and circumvent them with this knowledge. Connective leadership is also about navigating the tensions of diversity, which women can do better if they are harnessing multiple approaches and even, when necessary, those with which they may be less comfortable. As Lipman-Blumen predicts, we are living in an era when leadership requires a complex integration of the best qualities of many different approaches to leading.

Pause and reflect

Why should men work more closely with women on gender diversity and inclusiveness – what are the benefits and barriers to this?

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Supporting Women to Lead Ely (1995) found that gender integration reduces the likelihood that women will be viewed as ‘tokens’ and will be less subject to negative evaluation bias and intense scrutiny compared to women leaders in less diverse organizations (Ely, 1995; Kanter, 1977). In other words, gender diversity among decision makers is likely to increase the chances of women being promoted to leadership positions.

Whilst there has been significant focus on women in organizations, the role of men in organizational gender diversity and inclusion has received less attention (Kelan and Wratil, 2018). Relevant to this debate is the notion of ‘doing gender’, which is the idea that in western culture, gender, rather than being an innate quality of individuals, is a psychologically ingrained social construct that actively surfaces in everyday social interaction. In a landmark article, Deutsch (2007) distinguishes between men ‘doing gender’ as creating gender difference and ‘undoing gender’ as reducing gender difference. While the former leads to gender inequality, the latter leads to gender equality. Kelan and Wratil (2018) explore the ways of ‘doing gender’ – behaviours which cement the power of male over female – in the workplace. First, through everyday social interaction, men ‘doing gender’ create connection with other men, which means to exclude women. Second, men distance themselves from women for fear of being entangled in accusations of sexual misconduct. Third, men impress others and, fourth, men display heroism.

There is much less to say around ‘undoing gender’ in the recent research. However, in practice, it is important to note that there have been developments in social media and public organizations around what men can do to ‘undo gender’ and contribute to gender diversity in organizations and wider society. The Prime Minister of Canada, Justin Trudeau, made headlines globally in 2016 when he suggested that ‘Men have got to be involved in the conversation … We shouldn’t be afraid of the word feminist, men and women should use it to describe themselves any time they want … That role we have as men in supporting and demanding equality and demanding a shift is really, really important’ (Saul,

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2016). He also appointed a gender-balanced cabinet in 2015. This quote is reflective of the move from traditional gender equality interventions focused on women (e.g. leadership development and mentoring programmes), organizations (e.g. recruitment and promotion policies), or government policy (e.g. gender equality legislation) towards men and male leaders as ‘champions’ of diversity and inclusion. The United Nations HeForShe campaign, Lean In, #LeanInTogether and #MentorHer campaigns, and the Australian Sex Discrimination Commission’s Male Champions of Change initiative are examples of this type of highly publicised, celebrity-supported approach.

Subašic´ et al. (2018) surface the question of how both men and women can act collectively as champions to challenge gender inequality, thus moving away from typical roles of men as the perpetrators or bystanders and women as the victims. This is a movement towards the identity of ‘we’ and shared values that define ‘us’ in a common cause. White (2006) suggested that African American women and men who identify as ‘feminists’ are equally supportive of feminist activism on a range of measures, and argues that experiences of discrimination based on their racial identity caused increased solidarity. This suggests that it is possible to rise above the traditional social category boundaries acting as a barrier to diversity and inclusion.

But, practically, how do organizational leaders accelerate women into leadership positions? Mara Swan, the vice chair of the World Economic Forum Global Agenda Council on Gender Parity, suggests that ‘Conscious inclusion is about ensuring all people feel invited in and their human potential is valued.’ PwC in their recent ‘Time to Talk: What has to Change for Women at Work’ report (The Manpower Group, 2018), which focused on professional women aged 28–40, suggested key organizational areas for action including transparency and trust in promotion and pay processes and feedback and strategic support through proactive networks of leaders, mentors and peers to champion them in the workplace. It is also interesting that this report states that the much debated area of work–life balance is not a life-stage or gender-specific issue. The suggestion is that perceptions around flexible working are de-parented, de-gendered and de-

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aged to establish more candid conversation across women, men and those in leadership. Padavic et al. (2019) take a critical view of the conflict between women’s family obligations and professional jobs’ culture of working long hours. They suggest that the enduring ‘work–family narrative’ is not representative of the real reasons why gender inequality persists. Thus, the work– family discourse becomes an unconscious ‘social defence’ evidenced in the use of HR policies and practices, which protect powerful groups within the organization, that is, men, and sustain workplace inequality.

Critical Insight: Quotas – regulating or empowering?

Whereas the ‘liberal’ approach to equal opportunity (EO) is concerned with applying the ‘rules’ and process across all people, the radical approach to EO has sought to intervene directly in organizational practices, such as gender quotas (Pringle and Strachan, 2015). However, around the world, there is much debate over whether quotas help speed the closure of the gender gap. WEF (2018a) has reported that government mandates are indeed slowly closing the gender gap: in the 44 countries where companies have three or more women on their boards, 43 have government- mandated quotas. Those without affirmative mechanisms are seeing only incremental gains.

Even though mandatory quotas for women on boards have been adopted in countries including Norway, France, Belgium, Germany, Italy and Iceland, these solutions remain controversial. Other countries have chosen to implement voluntary goals (Austria, Finland, the Netherlands, Sweden and the UK), with goals for female representation varying from 25 per cent to 40 per cent. The emphasis on women’s access to decision making is evident in the strong recommendations of a wide range of international bodies – led primarily by the United Nations, but including the Inter-Parliamentary Union, African Union, Southern African Development Community, Commonwealth, Council of Europe, EU, Organization for Security and Co-operation in Europe, and Organization of American States. Norway was the first to adopt a quota for female board members (40 per cent), building them into their legislation and holding companies to account for the recruitment and development of women in the workplace, resulting in an increase in women on boards alongside a

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more professional and formal approach to board selection. Other Nordic countries take a similar, less legislative approach. Although Sweden does not have a gender quota, there is a requirement in its corporate governance code to ‘strive for equal gender distribution’ in the board (Terjesen et al., 2015).

In Australia, on the other hand, the issue of gender quotas remains very problematic. In 2018, the government continued to argue over the semantics of ‘quotas’ and ‘targets’, suggesting that quotas are a box-ticking exercise and can be demeaning to beneficiaries whom others may regard as chosen because of their gender rather than their talent. Focusing on gender quotas may also reduce applications from men or ethnic groups as they see no rationale for applying, thus reducing the talent pipeline. In Japan, in the 2000s, firms quickly implemented global CSR standards so as not to fall behind their American and European competitors (Kato and Kodama, 2018). However, questions have been raised as to the extent they truly embraced the standards but are instead an ‘investor relations’ issue (Mun and Jung, 2018; Nemoto, 2016). In the US, although the need for gender diversity on company boards does seem to be acknowledged (e.g. California has mandated that publicly traded companies headquartered in the state must have at least one woman on their board) critics argue that more progress is needed.

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Activity What is your perspective on quotas? Should there be a global approach?

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For further information on this topic see: Brinton, M.C. and Mun, E. (2016) ‘Between state and family: managers’ implementation and evaluation of parental leave policies in Japan’, Socio-Economic Review, 14: 257–81.

Hughes, M.M., Krook, M.L. and Paxton, P. (2015) ‘Transnational women’s activism and the global diffusion of gender quotas’, International Studies Quarterly, 59 (2): 357–72.

Mölders, S., Brosi, P., Bekk, M., Spörrle, M. and Welpe, I.M. (2018) ‘Support for quotas for women in leadership: the influence of gender stereotypes’, Human Resource Management, 57: 869–82.

Training in diversity, which includes recognizing underlying prejudices, assumptions and unconscious bias towards women, has come to the fore as an inclusive approach to managing diversity. Arguably, unconscious bias training allows employees to confront and problematize their prevailing biases, but this training alone does not ensure individual behavioural change or cultural change (Bezrukova et al., 2016: 1243) – this must come from individual and group willingness to change. It is suggested that unconscious bias training should be the start of reflection, discussion and awareness-raising activities rather than a quick fix.

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Conclusion After explaining diversity, this chapter proceeded to consider contemporary debates around gender, diversity and leadership. The future of women in leadership globally is making traction. However, research evidence informs us that there is still much to do to ensure that women do not become further victimized based on gender rather than their skills set. This is where the importance of inclusivity comes into play – the view that all the varied aspects of individuals are valued and facilitated in the workplace, not only through legislation or regulation but also through culture and role modelling of leadership. We have emphasized the importance of taking a social view of diversity, gender and leadership in order to foster a more inclusive approach that transcends men/women or binary thinking. Finally, the influence of the ideology of patriarchy cannot be understated. Powerful men still hold the majority of leadership roles globally, and until they are willing to support women and champion them, women’s entry into and development within leadership positions will be impeded. To take the spirit of a quote from PwC (2018): diversity and inclusion cannot remain a work in progress; they must become a work for progress.

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Chapter Review Questions

1. Why are gender and diversity so valuable to organizations on a global scale?

2. What are the key challenges for women leaders and how can they overcome them?

3. What type(s) of leadership approach(es) may be critical in the drive for diversity?

4. To what extent do millennial women view their role in organizations and as leaders differently from other generations? What are the implications of this?

5. What can men do to support diversity?

Assignment Task: CIPD

According to Bendl et al. (2017), different organizations in different cultural contexts still have varied interpretations of diversity and its meaning, and practise diversity and its management in different ways. The professional association for HR professionals, the UK Chartered Institute of Personnel and Development (CIPD), recommends, for example, that managers and leaders focus on fairness and inclusion, ensuring that merit, competence and potential are the basis for HRM decisions (CIPD, 2019b). See CIPD (2019a) ‘Building inclusive workplaces: assessing the evidence’, available at www.cipd.co.uk/knowledge/fundamentals/relations/diversity/building- inclusive-workplaces and CIPD (2019b) ‘Diversity management that works: an evidence based view’, available at www.cipd.co.uk/knowledge/fundamentals/relations/diversity/manage ment-recommendations (accessed 3 November 2019).

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Questions 1. Taking examples from your own internet and e-journal

searches, identify principles and practices that characterize diversity management.

2. Enumerate and explain the key features of a diversity policy. 3. Write the key features of a policy for improving diversity in an

organization you have worked in or studied, giving ‘best practice’ examples from your internet and e-journal searches.

Go Online

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Diane Vincent, former Director of People and Organizational Development for the Scottish Fire and Rescue Service, discusses the challenges she’s faced in leading traditionally male-dominated industries, as well as the impact of recent societal and workplace changes towards women in leadership.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Athanasopoulou, A., Moss-Cowan, A., Smets, M. and Morris, T. (2017) ‘Claiming the corner office: female CEO careers and implications for leadership development’, Human Resource Management, 57 (2).

Bendl, R., Bleijenbergh, I., Henttonen, E. and Mills, A.J. (2017) Oxford Handbook of Diversity in Organizations. Oxford: Oxford University Press.

Carli, L. and Eagly, A. (2016) ‘Women face a labyrinth: an examination of metaphors for women leaders’, Gender in Management: An International Journal, 31 (8): 514–27.

DeFrank-Cole, L. and Tan, S.J. (2017) ‘Reimagining leadership for millennial women: perspectives across generations’, Journal of Leadership Studies, 10 (4): 43–6.

Kelan, E.K. and Wratil, P. (2018) ‘Post-heroic leadership, tempered radicalism and senior leaders as change agents for gender equality’, European Management Review, 15 (1): 5–18.

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Case Study: Women and Leadership in BRIC Countries

2018 was a key year for the five major emerging national economies of Brazil, Russia, India, China and South Africa (BRICS). According to the WEF Gender Gap Report 2018, South Africa is leading its BRICS counterparts on progress towards gender parity, ranking number 19 in the world. The rest of the BRICS members lag far behind, with Russia at 71, Brazil at 90, China at 100 and India at 108. South Africa’s ranking is boosted by its regulations towards equal gender representation in Parliament, but that doesn’t necessarily translate into equality in the daily lives of South African women.

The contributions of women have been largely invisible throughout the rise of the BRICS. However, in these emerging economies this is changing rapidly as government policies are supporting more women to attend university and enter the workforce. Women are flooding into universities and graduate schools in Brazil, Russia, India and China, accounting for 60 per cent of students enrolled in tertiary education in Brazil, 57 per cent in Russia, and 47 per cent in China. In relative terms, women are therefore ‘more economically active in China and Russia than in the United States already, while in Mexico and Brazil they are entering the labour force faster than in the U.S.’ (Zahidi, 2014). Women are providing the professional and technical skills that emerging market companies need to compete globally. Russia, Brazil, China and South Africa have more women than men in teaching, medicine and finance professions. With the exception of China, more than a third of women in the majority of emerging markets have been appointed to managerial roles. In fast-growth companies, there is a dynamic focus on investment in skills and expertise, none of which depends on gender.

According to WEF (2018a), women in BRICS countries:

earn wages that are closer to those of men (for similar work) in Malaysia, the UAE, Nigeria, Indonesia and China in comparison to the United States … Emerging economies are also more able to embrace bold, progressive policies to integrate women into leadership roles than their counterparts in the developed world … For example, between 2011 and 2013, India, the UAE and Malaysia proactively introduced quotas to increase women on

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boards; kickstarting a mindset change. These policies reflect the growing public acceptance of the need for visible female leadership.

Perhaps most importantly, women’s own expectations are changing, as is the social fabric around them. Skilled women in Latin America and China show a preference for work over marriage, some choosing to delay marriage and motherhood. In India, women’s own aspirations have been transformed, as evident in the 2018 #MeToo protests over respect.

There are significant differences between geographies and generations, especially for those women at the start of their careers (18 to 30 years old) and the next generation on (31 to 45 years old). Hewlett (2012) offers some key indicators which leaders must consider. These include, career aspirations; employee engagement; love of work; satisfaction and loyalty; and work–life balance.

The approach to business in emerging markets is different and there’s a real recognition that innovation and creativity are sometimes more closely linked to female leaders who become role models for the next generation. For example, Maria das Gracas Silva Foster of Petrobras in Brazil and Karen Agustiawan of Pertamina in Indonesia operate large state-owned enterprises. Zhang Xin, CEO of SOHO, the Chinese real estate developer, is a renowned role model.

While much work is still required around women’s safety, rights, political empowerment and health in these countries, their economic progress to date indicates that change is possible and that economic empowerment can contribute to change in the Fourth Industrial Revolution.

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Case exercise On your own, or in a study group, write a report addressing the following questions:

1. How should employers ensure that they sustainably retain the talent of women leaders in emerging markets?

2. How do generational and cultural aspects impact on women’s performance at work?

3. In the fourth industrial revolution, where information technology is king, how should organizations support and develop women in emerging markets?

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Sources of additional information Hewlett, S.A. (2012) ‘Understanding female talent in emerging bric markets’, Harvard Business Review, 30 January.

Näsman, C. and Hyvönen, C. (2016) Gender and Leadership in Brazil – a Study on Women in Management Positions. UMEA Universitet, Brazil.

Zahidi, S. (2014) ‘How women will dominate the workplace BRIC by BRIC’, CNN. Available at https://edition.cnn.com/2014/01/22/opinion/how- women-will-dominate-the-workplace-bric/index.html (accessed 10 September 2019).

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15 Leadership in Public Sector Organizations

Colin Lindsay

‘Leading a … multimillion-pound organisation that provide services … requires business acumen, the ability to connect with communities and, ultimately, the willingness to listen and respond to the needs of people as individuals – not something you see in abundance within the upper echelons of public service.’

Stephen Moir, 2008

‘By rolling back the state, neoliberalism was supposed to have allowed autonomy and creativity to flourish. Instead, it has delivered a semi-privatised authoritarianism more oppressive than the system it replaced.’

George Monbiot, 2019: J1

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Chapter Outline Introduction Problematizing public sector leadership Distinctive challenges associated with public sector leadership The new public management and the rise of transformational leadership Beyond transformational leadership: shared and distributed leadership Challenges of distributed leadership in public sector organizations Leadership and performance in public sector organizations Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain the particular challenges of leadership in complex public sector organizations and why there has been increasing interest in strengthening public leadership; explain how theories of leadership have informed approaches to public sector leadership; engage critically with important themes in leadership in the public sector, from support for transformational leadership under ‘new public management’ to more recent developments in shared or distributed leadership in co-produced services.

video

To learn more about leadership in the public sector, don’t forget to watch the video conversation for this chapter online.

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Introduction Policy makers have increasingly prioritized building improved leadership skills among public sector managers. As you have seen through this text, organizations face the challenges of managing people and the dynamics of the employment relationship including managing employee performance and managing diversity. However, it has been argued that managers in public sector organizations face highly specific leadership challenges related to: competing performance demands; diverse practice and priorities across multiple professional groupings; and a reliance upon complex networks of organizations, managers and employees in order to achieve their goals (Broussine and Callahan, 2016). The ascendancy of what is called new public management (NPM) is in response to these new specific challenges. NPM describes a movement or ideology (see Chapter 4, pp. 94–95) that has informed management practices in public sector organizations that include: contracting out of services; competition within and between public services; and a sharper focus on meeting ‘targets’ and measuring both individual and organizational performance. We aim here to advance your understanding of the leadership process by examining challenges specific to public sector organizations. Two key questions are posed: ‘Is it useful to seek to develop a single, coherent model of public sector leadership?’ and ‘How are the practice and priorities of public service leaders likely to differ from their private sector counterparts?’

This chapter will trace policymakers’ and public managers’ increasing interest in leadership and explore the contested nature of how leadership has been defined and understood in public sector organizations. It will discuss the distinctive challenges associated with leading public sector organizations, including: the complexity and contested nature of goals and objectives; the demands of regulatory and performance regimes; the influence and siloed nature of professional hierarchies and demarcations; and (increasingly) the complexity of inter-organizational, networked public services. We will then note that public

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organizations have increasingly focused on leadership development based on arguments that the sector lags in leadership capacity; the chapter will critically evaluate the evidence for such claims.

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Problematizing Public Sector Leadership There is no universally accepted definition of the public sector. However, ‘public sector organizations’ can best be understood as those organizations involved in the delivery of public goods and/or services, and having a degree of (local, regional and/or central) government control over their corporate policy or strategy. Public sector organizations include those in: central government (government departments and those bodies that deliver departmental priorities, such as executive agencies and non- departmental public bodies); devolved/regional and local government and their agencies; and other public bodies (organizations that are, in whole or part, publically funded to deliver a public or government service).

A key theme in public leadership development over the past 20 years has focused on the potential benefits of transformational leadership; the idea that strong leaders communicating a clear vision can motivate improved individual and organizational performance echoes ideas we first discussed in Chapters 1 and 6, when we discussed leader-centric approaches to leadership. Although there is some evidence of benefits associated with supporting transformational leadership, critical scholars have pointed to tensions associated with this approach to leading public organizations: that the rhetoric of inspiring and transformational approaches is not always matched by leaders’ capacity to break free of the performance demands and constraints associated with NPM. This argument connects with a broader critique of NPM- inspired leadership strategies – that the transfer of private sector management ‘best practice’ to the public sector (a key tenet of NPM) can be problematic. We examine here the evidence of a shift towards post-NPM approaches to leadership, and argue that networked, co-produced services require more inclusive, shared approaches to leadership. In doing so, we return to the ‘shared’ or ‘distributed’ approaches to leadership first examined in Chapter 8, to look at the evidence on networked public service approaches to

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leadership, identifying both the benefits and challenges associated with this model.

Pause and reflect

What do you understand by the term ‘privatization’? Give public sector examples. To what extent, if at all, has privatization improved efficiency in public services?

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Distinctive Challenges Associated with Public Sector Leadership Debate on the distinctive challenges of leadership in public sector organizations to some extent reflect broader debates about whether the public sector presents a different context for management and organization more generally (Bovaird and Loeffler, 2016). Despite some common challenges across sectors, there is consensus that public sector leaders face a series of distinctive issues (Hughes, 2012; Burnham and Horton, 2013; Orazi et al., 2013; Seidle et al. 2016):

they need to lead across and within multiple professional hierarchies and groupings – powerful professions with their own networks, systems of peer review and institutions throw up challenges to public sector leaders; they are required to respond to the demands of multiple principals (funders, political leaders and service users, to name a few) and to deliver according to complex and varying performance criteria; their room for manoeuvre is limited due to multiple audit/performance regimes and high levels of formalized constraints on their authority; their work is characterized by goal complexity and ambiguity; the outcomes achieved (by which leaders are judged) may be complex, hard to measure and take a long time to be realized; they are increasingly required to navigate inter-organizational hierarchies and multiple agencies working together on complex policy problems (so that organizational factors external to their own team may impact performance); they may lead on the design and delivery of services that rely upon ‘co-production’ with service users, so that success will be defined by whether they and their team can secure the ‘buy-in’ and support of relevant sections of the public.

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Image 15.1 Public sector leaders face a series of distinctive issues, including the need to lead across and within multiple powerful professions with their own networks. Their work is characterized by goal complexity and ambiguity, and they are required to ensure delivery according to complex and varying performance criteria.

These distinctive issues facing public sector leaders bring to the fore the notion of ‘place-based leadership’ (see Chapter 17). Building on Portugal and Yukl’s (1994) observation that leaders influence internal and external others, place-based leadership is often external, generative by nature, and highlights those processes that are geared to constructing local conditions for knowledge creation and action. Reflecting on the effect of these unique challenges, Seidle et al. (2016: 604) observe that ‘These factors limit the autonomy enjoyed by public sector leaders to set priorities and allocate resources; they also divert attention away from leading subordinates toward managing relationships with external actors, generating external support for the agency and obtaining vital information and resources.’ Nevertheless, despite the distinctive challenges that potentially inhibit the capacity of senior public sector officials to ‘lead’, recent years have seen a substantial increase in interest in how to support effective

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leadership in the public sector. To some extent, the changing discourse on leadership in the public sector can be seen as a mirror of broader shifts towards and beyond a NPM, which we will go on to consider next.

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The New Public Management and the Rise of Transformational Leadership Public leadership studies have increased in number and prominence in the past two to three decades. Previously, there was limited interest in the subject due to a perception that the rule-based practices and bureaucratic structures of the public sector limited the scope for senior public sectors to exert genuine ‘leadership’ (Orazi et al., 2013). In the British context, Spicker (2012: 34) notes the ‘mushroom growth’ in interest in public leadership from the late 1990s onwards: ‘hardly considered in the UK in the earlier part of that decade, it became one of the focal points of the New Labour government’. The New Labour government (1997–2010) saw ‘strong leadership as a scarce resource’ (Liddle, 2010: 658) and a series of reports (e.g. Cabinet Office, 2001) argued for the need to invest in and drive up the quality of public leadership. To some extent, this narrative reflected a broader debate on the neoliberal proposition that markets are supreme in all aspects of society and individual life (Mason, 2019), and the inadequacy of leadership and management skills in UK workplaces (BIS, 2012). Under successive British governments since the end of the New Labour era – and among policymakers in devolved and local government – leadership development has remained a key priority (Broussine and Callahan, 2016). Initiatives to support and develop leadership capacity in the public sector have included the development of competency frameworks, substantial investment in leadership training programmes, and the funding of sectoral leadership ‘academies’ in areas such as healthcare and education (McGurk, 2013; Broussine and Callahan, 2016).

As noted above, increasing interest in leadership in the public sector mirrors a broader shift in management thinking. McCann (2016) reaffirms the observation we made in Chapters 1, 7 and 8, that the era of modern global capitalism has seen a profound shift in the approach to leading organizations, from command and control to shared and distributed or transformative leadership.

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McCann calls this the ‘third spirit of capitalism’ (the other two being globalization and investor capital). McCann (2016) goes on to make a link to specific changes seen in the public sector under NPM ideas that dominated and continue to dominate organizational reform agendas in public organizations (Hood, 1991; Ferlie, 2017). NPM refers to the organizational reform movement that has informed changes to public sector organizations that include: contracting out of services; increased marketization and competition within services in the public sector (Mason 2019); a focus on performance management; stronger managerial capacity and control over the work of public sector professionals; the disaggregation and decentralization of organizations and management structures; and a focus on driving down costs while improving performance (Ferlie, 2017). McCann sees evidence of clear impact on how leadership is perceived in the public sector:

Public sector organizations increasingly became subjected to radical reforms, including deregulation, outsourcing, privatization, and corporate-style re- engineering, as neoliberal politicians repeated a mantra of ‘value for money for tax-payers’, ‘flexibility’, and ‘increased accountability’. Leadership rhetoric and managerialist discourse deeply infiltrated what used to be relatively stable, self-policed bureaucracies, including government and the professions. (2016: 174)

Similarly, Hughes is in no doubt that NPM’s emphasis on empowered managers who are ‘free to manage’ but are responsible for hitting performance targets (two classic tropes of NPM thinking) leads directly to a stronger focus on individual leadership: ‘once an individual public manager is responsible, his or her personal qualities – their leadership – necessarily become important in how results are achieved’ (2007: 320). Similarly, a reliance on the motivational qualities of an individual leader implies a shift away from the more rules-based and systems- based approaches to managing public services that were familiar under the ‘traditional’ public administration (Hughes, 2012):

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The emergence of concepts of leadership in the public sector should be seen as a reassertion of individual and personal attributes in management and, as a corollary, a reduction in the emphasis on management by formal rules. Giving a manager real responsibility to achieve results means that he or she must then deliver and their part of the organization must also deliver. The staff involved need to achieve and the manager needs to lead them. (Hughes, 2007: 320)

Critical Insight: The tenets of NPM

In his landmark 1991 article that defined the ‘new public management’ (NPM), Christopher Hood argued that NPM reforms across the public sector were characterized by seven often-recurring principles or ‘doctrines’:

1. Hands-on professional management: meaning ‘active, discretionary control of organizations’ from named people who are ‘free to manage’.

2. Explicit focus on standards and measures of performance: meaning that individual and organizational goals and targets should be clearly quantified and measured.

3. Greater emphasis on output controls: meaning that resource allocation and rewards should be linked to measured performance and the breakup of centralized ‘bureaucracy-wide’ HRM.

4. Disaggregation of units within the public sector: meaning the unbundling of management systems in service-specific business units operating at arm’s length from central management.

5. Greater competition and contractualism: with the aim of lowering costs and improving standards.

6. Stress on private sector management practices: the use of ‘best practice’ in HR and organizational management from the private sector and a shift away from a public service ethos.

7. Greater discipline in resource use: meaning increasing control and discipline in the labour process and an emphasis on reducing direct costs.

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Many theorists of public sector leadership argue that these tenets of NPM remain powerful influencers of practice today (Ferlie, 2017).

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Activity Read: Hood, C. (1991) ‘A public management for all seasons?’, Public Administration, 69 (1): 3–19.

Question: Thinking about examples that you know about from the public sector, to what extent are Hood’s seven tenets of NPM still influential? What is this likely to mean for how public sector leaders see themselves and identify priorities for leadership practice?

Many of the actions that have sought to promote leadership development and capacity in the public sector from the 1990s onwards have clearly been informed by thinking around the value of entrepreneurial and transformational approaches to leadership. Reflecting on the transformational leadership agenda promoted under New Labour, it is clear that ‘North American models of leadership, emphasizing an individualistic and entrepreneurial approach to reforming public services were an important early influence’ (McGurk, 2013: 155). Advocates of NPM reforms also tend to support investing and developing entrepreneurial and transformational leaders, whom they argue should be granted the autonomy to drive change, and who might therefore lead innovation in public service delivery (Miao et al., 2018). ‘Transformational leadership aims to develop motivation and commitment by generating and communicating a clear vision … to inspire their teams to achieve higher levels of performance and encourage them to accept (or even embrace) change’ (Marchington and Wilkinson, 2012: 184). ‘They inspire followers to transcend their self-interests for the sake of the collective. Followers become highly committed to the goal of the collective’ (Den Hartog and Boon, 2013: 208). Accordingly, transformational leaders in the public sector are seen as providing meaning and a sense of purpose for employees and modelling pro-social behaviours (Orazi et al., 2013). In the public sector, it has been argued that transformational leadership styles – at least when compared to more transactional forms of leadership – are associated with higher levels of motivation and satisfaction among employees (Oberfield, 2014).

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The education sector in England represents an interesting example of the British Government’s support for transformational leadership since the 1990s. Investment in leadership development for Head Teachers, the parachuting in of high-performing Heads to lead schools perceived as failing, and increasing control for senior teachers over their own budgets and practices (and even more ‘earned autonomy’ for the best performing schools, contrasted with reduced discretion for ‘failing’ schools) reinforced the view that transformational leaders could turn around educational performance almost singlehandedly. Thus, Head Teachers ‘like CEO superstars in the private sector [were] cast in a heroic, transformational mould’ (Currie et al., 2009: 1744). While there have been some examples of improvement from new leadership in schools, concerns have also been raised that the recasting of the role of Head has undermined professional collegiality, and further embedded classroom behaviours such as ‘teaching to the test’ in order to meet the school’s performance targets (Currie et al., 2009). Thus, Hall (2013: 278) argued that the shared and transformational leadership discourse around empowered teacher-leaders is a distraction to hide the new reality of highly controlled ‘target setting’ school regimes (Currie et al., 2009). In such a work culture, school leadership is circumscribed and malleable in the face of the doctrine of NPM.

Pause and reflect

It’s argued that measuring and appraising public services have led to perverse work behaviours (e.g. hospitals manipulating waiting times, police ignoring some crimes, teachers teaching to achieve test results). Do you agree or disagree? To what extent are these behaviours predictable? (Hint: Go back to Chapter 11 and read the section discussing the potential problems associated with performance management.)

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Beyond Transformational Leadership: Shared and Distributed Leadership We have already examined transformational leadership styles in Chapter 7, and this section extends the discussion by critically scrutinizing distributed forms of leadership in non-profit, public organizations, which appear increasingly to have found traction among public sector leaders (Drumaux and Joyce, 2018).

Given the limitations of NPM-oriented approaches to leadership, the public sector in the UK and many other states has arguably seen a shift towards ‘post-heroic’ visions of public leadership that are much more focused on collaboration, teamwork and the sharing of responsibility (and reward) for leadership. Thus, for Bach and Kessler (2012: 109) ‘an emphasis on team working reflected a shift away from NPM’s emphasis on “heroic” individual leadership towards a more distributed form of leadership involving staff across an organization.’

As we noted in Chapter 8, there are a number of drivers behind an increasing emphasis on distributed or shared forms of leadership. First, the 2008 global financial crisis generated a general sense of ‘disillusionment with heroic models of individual leadership’ (Boak et al., 2015: 335). In Britain a series of high-profile scandals in which apparently well-led organizations failed to deliver effective public services (the failings at the Mid Staffordshire NHS Foundation Trust being an infamous example) further weakened the brand of transformational public leaders (West et al., 2014). The sense that ‘transformational approaches perpetuate an arrogance and grandiosity that allows leaders to flee from the harsh side of reality’ was increasingly seen as a risk factor in maintaining standards in the public sector (Orazi et al., 2013: 493). Thus, for the NHS in Scotland, ‘The model of heroic leadership is no longer appropriate’ (2014: 2). There has been some attempt to resuscitate the transformational public leadership agenda by making claims for a ‘post-transformational’ leadership

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that ‘differs from the classic concept of the heroic or charismatic leader’ but still sees individual leaders as a source of ‘inspirational motivation’ (Aagaard, 2016: 1173). These exercises in semantics have not proved convincing.

Second, in public sector organizations, this shift in thinking on leadership styles reflects a broader ‘post-NPM’ movement that argues that NPM’s focus on markets, performance management and transformational leadership failed to deliver the promised results and, as importantly, is ill-suited to an increasingly challenging public sector environment where inter-agency networks are required to solve complex, ‘wicked problems’ (Ferlie et al., 2013). Broussine and Callahan (2016: 275) agree: ‘Wicked problems that cross-organizational boundaries can only be addressed successfully by networks of public, private and non- profit organizations, community groups and citizens and other inter-organizational arrangements.’

The new wisdom emerging is that given public agencies have to work together, formally and informally, to solve problems in multi- organizational networked arrangements, shared, collaborative leadership styles help to nurture public sector employees’ commitment to NPM practices and ‘public governance’, with a focus on building coalitions of shared leadership across networks (Hsieh and Liou, 2018; Osborne, 2010). For Teelken et al. (2012: 71), ‘within the network governance model of public management, there has been a shift in emphasis to leadership as a directing force … dispersed laterally and vertically through the organization.’

There are implications for the content and focus of leadership activities. For McGuire and Silva (2009), it is important that shared or distributed leadership activities focus on: activating resources and support from different stakeholder groups; framing a work environment that validates collaborative problem solving; and mobilizing support from stakeholders. Senior managers are increasingly required to play a key role in creating opportunities and providing resources that help public service professionals at all levels to collaborate and innovate across organizations and government (Lindsay et al., 2018). It has also been argued that

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networked public services make demands on a different set of leadership skills. The new network governance model of public management requires that leaders are capable of leading not only within the boundaries of their own public organization that authorizes them, but they must also give leadership across the boundaries in other public and private organizations, including, for example, government, educational institutions, hospitals and community spheres in which their influence and actions have no authorization (Sotarauta, 2005). In this context, leaders are compelled to learn new leadership skills not only in administrating resources, but also in leading dynamic interactive processes. These skills include, but are not limited to: (1) the ability to find new resources; (2) the ability to direct resources according to public sector strategies and policies; (3) the ability to find common ground and negotiate with external agencies and institutions; and (4) the ability to lobby government agencies and fund providers and decision makers and to creatively use external funding. As Broussine and Callahan (2016: 283) observe, ‘the skills needed to design and lead networks place a premium on the ability to negotiate, to work through uncertainty in funding and to engage a wide range of stakeholders, clients and funders, as well as influencing other public sector leaders.’

So, public leadership has been re-cast (again), this time as a role that involves supporting collaboration and engaging in boundary- spanning networking to co-lead multi-disciplinary public services (Mangan and Lawrence- Pietronot, 2019). A parallel shift has taken place in relation to the ‘who’ of public sector leadership. As noted above, a change in emphasis towards shared or distributed leadership implies a similarly collaborative approach within public organizations. In the context of the new network governance model of public management, distributed leadership conceptualizes leadership as an emergent property of a group or network of interacting individual leaders, and suggests openness of the boundaries of leadership, widening the conventional net and role of leaders. The assumption is that ‘leadership skills and competencies are dispersed among actors within teams and public networks’ (Orazi et al., 2013: 493), so that ‘post- transformational and distributive leadership strategies encourage senior leaders to share responsibility for leading and driving

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change with frontline managers and employees’ (Hartley et al., 2013: 824).

Gronn’s (200b) seminal research identified two dimensions along which distributed leadership can be distinguished from other forms of leadership: concertive action and conjoint agency. Concertive action flows from institutionalized levels of collaboration and shared leadership roles in work groups, producing overt learning and its subsequent formalization. Conjoint agency refers to the nature of interactions and extent of synergies among different leaders, and their willingness to engage in reciprocal relationships. Shared leadership, the NHS’s preferred term for distributed leadership, is intended to embody both dimensions, as ‘a dynamic, interactive influencing process among individuals in groups for which the objective is to lead one another to achievement of group or organizational goals or both’ (NHS Institute for Innovation and Improvement, 2009: 1). Thus, the assumption is that leadership is best seen as shared between and across clinical teams and multi-disciplinary groups.

The effective facilitation of shared leadership in the NHS includes: consciously involving team members in decision making and delegating responsibilities appropriately; empowering team members; developing and maintaining non-hierarchical structures; providing information required by teams; creating alignment; and coaching colleagues in shared leadership (Smith et al., 2018). As Smith et al. (2018: 460) observe, ‘for inter-professional teams to work effectively, each team member must accept responsibility as a member-leader stepping in and out of the leadership role when their professional expertise, particular knowledge of a client, or the situation comes to the fore.’ This needs a formal leader with overall responsibility for team performance, but who consciously shares the leadership function and facilitates joint decision- making. Accordingly, a key leadership activity is to develop and maintain non-hierarchical, democratic structures, and coach team members to share their ideas. Internal research in the NHS has pointed to a number of benefits of effective distributed/shared leadership in terms of staff engagement and team performance (Storey and Holti, 2013a). Fitzgerald et al.’s (2013) research in several NHS organizations similarly found that widely distributed

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leadership projects contributed to more effective change management and service improvement.

Leadership in Action: Shared leadership for health improvement among BME communities

An innovative initiative saw health professionals share leadership across organizational, disciplinary and sectoral boundaries. Local NHS organizations had identified the need to improve care for members of the Pakistani and Bangladeshi community suffering from diabetes (with black and minority ethnicity (BME) groups at a significantly higher risk of diabetes). Increasing take-up of retinopathy screening appointments and providing complementary health education were seen as key priorities. Improving knowledge and take-up of these services can lead to early identification and treatment and significantly better clinical outcomes. A two-year project brought together expertise from the local NHS Trust, community-based NHS health services, the local government leisure organization, a third-sector diabetes support group and other local community organizations. The shared leadership approach adopted built upon existing NHS third-sector partnerships as well as new relationships, for example the NHS working with the community leisure centre.

Five GP practices with low levels of retinopathy screening take-up were targeted, with the team working with these practices to increase awareness through easy-to-follow information mail-outs (in appropriate languages), local drop-in sessions and engagement through community groups. The team developed a tailored approach to each GP practice based on networking, targeted research and trust-building with local GP teams. Senior clinical leads from the NHS acknowledged the importance of non-NHS co-leadership to the success of the project, with local community organizations proving innovative and effective at engagement work. At the same time, the inclusion of NHS commissioning representatives meant that lessons from the project could be mainstreamed in future commissioning rounds.

The project saw increased attendance at retinopathy screening appointments in the target areas. As part of the broader lessons/spin-offs from the project, local NHS providers developed cultural competency training for GP practices, while GPs reported new and lasting networks with local community organizations with

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expertise in diabetes (and engaging those BME communities at greater risk). The NHS third-sector shared leadership team pointed to a number of other lessons, including the need to: tailor approaches to engaging with different stakeholders (from GPs to local community groups); arrive at a consensus on aims, measures of success and the roles and added value of each partner; and ensure that communication lines remain open throughout the lifetime of the project (Health Foundation, 2011).

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Reflective question To what extent does distributed leadership fit with the shift towards a network-oriented new public governance, discussed above, given its emphasis on pluralism and collaboration?

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Source Author’s own interpretation and reflections, adapted from Health Foundation (2011) Shared Leadership for Change. London: Health Foundation.

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To explore this topic further see: Bussu, S. and Tullia Galanti, M. (2018) ‘Facilitating coproduction: the role of leadership in coproduction initiatives in the UK’, Policy and Society, 37(3): 347–67.

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Challenges of Distributed Leadership in Public Sector Organizations There is substantial evidence of the problems and challenges associated with promoting shared and distributed forms of leadership in the public sector. Martin et al.’s (2014) extensive case study research in the NHS found that those designated as sharing in leadership in fact reported many barriers to exerting concretive action and conjoint agency, including: a sense that more junior leaders were not ‘heard’ by senior management; top- down policy and management prescriptions that were seen as impossible to challenge; and power inequalities according to level of seniority or clinical (versus non-clinical) expertise. Martin et al. (2014: 21) argue that these problems were exacerbated by a ‘delusional’ failure of senior management to acknowledge the weaknesses of shared leadership processes, so that their continued commitment to the rhetoric of distributing leadership provided ‘fertile ground for constructing fantasies of the power of others’.

Martin et al. (2014) also found systemic barriers in terms of: limited resources, meaning that staff struggled to find time to adopt leadership roles alongside their day-to-day work responsibilities; professional demarcations and silo working that limited inter-professional collaboration; and the scale of organizational structures, which created practical difficulties in bringing people together to share ideas and in creating opportunities for senior leaders to engage with staff at other levels. In line with previous research in the public sector, they also argue that distributed or shared leadership requires sufficient skills among those participating in the leadership process and sufficient horizontal and vertical distribution of knowledge (Currie and Lockett, 2011), and that not all designated leaders are able to call on such expertise (see Chapter 12).

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To return to the case of England’s school system, a recurring theme has been the tension between recent strategies promoting more inclusive and distributed forms of leadership, management systems and residual styles of leadership that reflect the priorities of NPM. Both school Heads and their colleagues invited to share in distributed leadership tasks have reported a tension between, on the one hand, new guidance promoting sharing leadership, and on the other hand, the legacies of NPM. So, Heads felt that they were being held personally and individually responsible for performance metrics (reflecting a real and continuing focus on performance management and individual accountability in England’s school system), while their teaching colleagues suggested that Heads remained ‘wedded to an individualistic conception of leadership’ and possibly a more ‘heroic’ view of their own leadership style and performance (Currie et al., 2009: 1747). This example seems to connect with a broader concern that a NPM-oriented emphasis on individual performance and entrepreneurial and empowered management remains a strong theme in the UK public sector, and are at odds with more recent rhetorical commitments to encouraging more collaborative forms of leadership (Currie and Lockett, 2011).

A further challenge relates to the link between distributed leadership and calls for more networked approaches to leading public sector organizations (see above). A focus on distributed leadership within public organizations often goes hand-in-hand with an emphasis on connecting and networking with other public organizations and including community stakeholders in processes of co-production. Thus, for Alimo-Metcalfe and Alban-Metcalfe (2011: 226):

A distributed model of leadership is about enabling individuals and groups to work together in meaningful ways. It has, as its goal, the building of social relationships involving all members of the community, both internal and external to the organization, in order to respond proactively and effectively to changing circumstances, and thereby achieve organizational and societal goals.

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In the context of distributed leadership in schools, this has meant Head Teachers being encouraged to engage with families, communities and local stakeholders to involve them in the life of the school, and being required to evidence outward engagement with local businesses and civil society. This has again proved problematic, with teaching staff seeing such engagement activities as adding non-core tasks to their workload, and Heads faced with the difficult task of ensuring that sometimes reluctant communities engage with their schools (Currie et al., 2009).

To sum up, the past decade or so has arguably seen a decisive shift in how leadership has been conceptualized in the public sector, with far less emphasis on NPM priorities around ‘freeing’ individual (generally senior) leaders to drive transformation, and more focus on building networks where people at different levels and across diverse organizations can share leadership. This focus on shared or distributed leadership seems a better fit given the complex environments inhabited by public sector organizations, their staff and managers. Under an emergent ‘new public governance’, managers and public sector professionals are increasingly required to lead through and across networks, and bring together the resources of a range of colleagues and stakeholders to attack wicked problems. But we have also seen that a range of challenges – not least the enduring features of previous NPM reforms and resource shortages in an era of austerity – continue to throw up barriers to the full realization of distributed leadership.

Pause and reflect

We have discussed the leader–performance relationship in previous chapters; in terms of leading in a hospital or a university, how can we measure leadership success?

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Leadership and Performance in Public Sector Organizations Attributing the effectiveness of public services to the individual performance of employees, managers or leaders has long been acknowledged as problematic (Bach and Kessler, 2012; Spicker, 2012). Most often, discussion of public sector leadership performance follows from occasional crises or scandals, such as tragic failings in healthcare or child protection services (Marinetto, 2011). But beyond (perhaps rightly) blaming senior leaders in these cases of failure, there is a lack of systematic evidence on how leadership impacts on public sector performance. Although Boyne and Dahya (2002: 187) have demonstrated a performance bounce within public organizations appointing new chief executives, they also acknowledge that this may be because leadership changes are used to bring about broader reform programmes ‘as outsiders are more likely to implement strategic changes’.

There is some evidence that changing senior managers in local government is positive for low performers (Boyne et al., 2011). However, these authors are careful to acknowledge the limitations of their evidence beyond these extreme cases. Meanwhile, there is limited consistent evidence of individual leaders or even approaches to leadership as encompassing ‘best practice’ in delivering improved performance in some of the sectors that we have discussed above, such as education and healthcare (Currie et al., 2009). Perhaps this is because the rise in interest in public sector leadership during the 1980s and 1990s coincided with a NPM agenda that, with limited evidence, sought to present a heroic or individual approach to leadership as potentially ‘transformational’. As Spicker (2012: 45) notes, given the complexity of public sector organizational and inter-organizational environments, there is little evidence that leadership must be concentrated among ‘special’ people: ‘there is no standard of skills, behaviours or roles which is generally applicable to positions of responsibility throughout public services.’

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The increasing interest in distributed or shared leadership, discussed above, also perhaps reflects a broader acceptance that much of the leading of the delivery of public services actually happens through networks of professionals at ‘street level’. ‘There are public services like policing and social work where officers are routinely required to manage risks and take the initiative‘ (Spicker, 2012: 38) and, more generally, theories of ‘street-level bureaucracy’ suggest that frontline professionals in these and other areas of the public sector make judgements, ration resources and shape services on a day-to-day basis (Lipsky, 1980).

Perhaps we are left with the conclusion that a careful and gradual shift towards senior managers and other leading professionals training for and supporting the implementation of distributed leadership is our best guess at how to prepare people – across a range of roles in the public sector – to engage in shared and networked forms of leader activities that reflect the collaborative context of public services.

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Conclusion Leadership theorists have sometimes struggled to nail down what a model of effective leadership in the public sector might look like. Part of the explanation we covered in this chapter lies in the complexity of public services, the public sector and its organizations. Public sector leaders arguably face a unique set of challenges. They are required to respond to the demands of numerous stakeholders – policymakers, funders, service users and others – and their success is defined with reference to multiple and sometimes contradictory performance indicators. New approaches to public sector leadership emerged with the rise of new public governance theory, and alongside this collaborative new public governance, which generated increasing interest in distributed leadership. There are signs that such collaborative and distributed leadership is a better fit with what public sector professionals themselves see as effective approaches to running public services. But progress remains difficult to evidence.

Leadership in the public sector is always going to be a contested space. Public sector leaders are compelled to engage with and respond to the myriad demands of stakeholders (policymakers, powerful professional groupings, trade unions and public service users) to a much greater degree than leaders in private sector, for-profit organizations. Arguably, it was a mistake for the public sector to try to ape the transformational leadership fad that dominated some private companies. More recent developments towards distributed leadership models seems to offer a better fit with the need to build networks of complementary professionals and stakeholders, with leadership shared among them. However, it remains to be seen if these collaborative approaches are able to add to the limited evidence as to what effective leadership means in public sector organizations.

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Chapter Review Questions

1. What sort of specific problems and challenges do leaders in public sector organizations face?

2. How have NPM ideas challenged and informed approaches to public sector leadership?

3. What do you understand by the term ‘distributed leadership’, and why might this approach be effective in leading public sector organizations?

Assignment Task: The NHS

As noted in this chapter, there are a number of leadership and HR practices associated with the facilitation of shared leadership in public sector organizations. Search the Internet to identify these practices within NHS England or another public sector organization, such as education.

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Questions 1. What are the key barriers that health service managers might

face in supporting shared leadership? 2. What sort of strategies might they deploy to try to overcome

impediments to sharing leadership? Are there lessons that can be drawn from the private sector on collaborative working that might be transferable to public organizations?

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Sources of additional information O’Reilly, P., Lee, S.W., O’Sullivan, M., Cullen, W., Kennedy, C. and MacFarlane, A. (2017) ‘Assessing the facilitators and barriers of interdisciplinary team working in primary care using normalisation process theory: an integrative review’, PLoS One, 12 (5). Available at www.ncbi.nlm.nih.gov/pmc/articles/PMC5436644 (accessed 4 October 2019).

Smith, B., Fowler-Davis, S., Nancarrow, S., Ariss, B. and Enderby, P. (2018) ‘Leadership in interprofessional health and social care teams: a literature review’, Leadership in Health Services, 31 (4): 452–67.

Go Online

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Paul Gray, former CEO of NHS Scotland, shares his personal experience of leading a major public sector organization through shared leadership, the unique rewards and challenges of working for the NHS and how public sector organizations can recruit and develop leaders with the right values.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Drumaux, A. and Joyce, P. (2018) ‘Leadership in Europe’s public sector’, in E. Ongaro and S. van Thiel (eds), The Palgrave Handbook of Public Administration and Management in Europe. Basingstoke: Palgrave.

Ferlie, E. (2017) ‘The new public management and public management studies’, in R. Aldag (ed.), The Oxford Research Encyclopaedia of Business and Management. Oxford: Oxford University Press.

Spicker, P. (2012) ‘Leadership: a perniciously vague concept’, International Journal of Public Sector Management, 25 (1): 34–47.

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Case Study: Shared leadership development in Scotland’s NHS

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Background An innovative project in Scotland was awarded resources to develop strategies to improve diabetes care in the Lothian region. The project sought to improve the quality and reach of diabetes care in GP surgeries and areas (including rural communities) and support the development of shared leadership and partnership-based structures to achieve improved care outcomes.

The project was led by a lead consultant clinician within the main NHS organization, and included another seven core members taking in other relevant clinical leads in acute care, primary care practitioners (i.e. GPs), a public health consultant physician, a clinical network manager, a healthcare planner and a patient representative. These lead partners were charged with coordinating and aligning activities within their own teams and spheres of professional expertise.

The project focused on developing a shared leadership model, bringing the partners together to: develop a common vision and framework for collaboration to improve services; agree an accountability framework where different partners’ roles and required actions were detailed; and deploy 360-degree appraisals to allow for reflection on project participants’ contributions linked to one-to-one coaching sessions designed to support collaboration. Collaborative leadership development coaching and mentoring were also provided. Responding to evaluation research, the project participants recalled overcoming traditional silo thinking in order to make discussions more action-focused and efficient. Improved information sharing resulted in a better shared understanding of the ‘patient pathway’. Participants also discussed taking new (shared) leadership skills back to their own day-to-day work.

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Benefits Participants reported significant service improvements during the period of the award: there was collaboration on clarifying and revising ‘patient pathways’ so as to improve care and referral procedures for specialist advice; expanded diabetes screening services and improved patient information services were developed and piloted; and participants suggested that there had been improvements in patient voice and a better understanding of patients’ perspectives as a result.

In this and similar projects, there have also been reported improvements in teamworking among health professionals, focusing on ‘getting things done’, minimizing and managing conflict, and understanding others’ roles and challenges (and how to influence and build consensus with other key stakeholders).

In terms of the development of a shared leadership model, participants reported a range of views: there was a consensus that the project had a clear (single) clinical leader, but that in complex clinical services this was often necessary to ensure clear lines of accountability and responsibility; but there was also a sense of improved shared voice among all participants (especially more junior and non-medical staff). Leadership development activities were seen as delivering gains in confidence, and individual participants felt better able to take leadership responsibility in their own professional sphere.

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Facilitators and challenges of the shared leadership project An evaluation found that the project benefited from being able to draw on existing relationships of trust between the professionals involved (indeed, participants noted that the project helped to accelerate progress on collaborations that were already under discussion), clear leadership from the clinical lead professional and a well-functioning administrative and communications infrastructure, facilitated by a clinical network manager who was responsible for supporting connectivity across services and enabled by effective IT systems. Beyond the additional resources allocated for partnership working, participants were able to commit extra time – a sign of their shared commitment and the buy-in of senior management colleagues.

Project leadership and membership remained relatively stable, which allowed for the retention and sharing of learning. Unlike NHS organizations in England, which have seen a series of re-organization initiatives under successive waves of NPM, the project also benefited from a stable policy and organizational context in NHS Scotland – as Boxall and Purcell (2016: 217) note, ‘Scotland has been less enthusiastic about NPM’ – and this stability supported collaboration and shared leadership.

Evaluation research identified a number of challenges that the project faced including: the perceived dominance of tertiary (i.e. specialist) clinical services; disruption caused by frequent (if minor) organizational changes; and time and resource pressures that limited opportunities for collaboration.

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Case exercise In small groups or individually, identify the key lessons from the case study and address the following questions:

1. The project developed a range of partnership-building and learning initiatives to support shared leadership. Reflecting on the discussion of the challenges of shared or distributed leadership earlier in this chapter, are there any other leadership skills that should be incorporated into leadership development activities linked to projects like this one?

2. The implication of the case study is that the relatively limited impact of NPM ideas in the NHS in Scotland created more fertile ground for shared leadership. Based on the case study and the discussion in this chapter, do you think that shared/distributed leadership and NPM are incompatible? If so, why?

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Source Author’s own interpretation and reflections, adapted from information drawn from Burgoyne, J., Williams, S. and Walmsley, J. (2009) Shared Leadership for Change Award Scheme: Evaluation and final report. London: Health Foundation.

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Sources of additional information Currie, G. and Spyridonidis, D. (2019) ‘Sharing leadership for diffusion of innovation in professionalized settings’, Human Relations, 72 (7): 1209– 33.

West, M., Eckert, R., Steward, K. and Pasmore, B. (2014) Developing Collective Leadership for Healthcare, London: King’s Fund.

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16 Leading Pro-Environmental Change

Andrew Bratton

‘The BBC’s Blue Planet series has made us aware of how the oceans are being polluted, but it’s not enough to return a few plastic bottles.’

John Vidal, 2018

‘Reducing emissions … it’s not about sacrificing. This is about modernizing the economy to meet 21st-century demands. It’s not about decreasing our quality of life. It’s about increasing it, making it safer for ourselves, and certainly for others, without the carbon footprint.’

Christiana Figueres, Executive Secretary of the UN (quoted in Allan, 2019)

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Chapter Outline Introduction The nature of environmental sustainability Employees’ pro-environmental behaviours and environmental management systems Environmental leadership, organizational change and culture Creating a sustainable workplace through human resource practices Employee voice in environmental sustainability Critical perspectives on corporate-oriented sustainability Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain the nature of environmental sustainability and the role of the workplace both as a significant contributor to carbon emissions and as a site for implementing environmental improvements; explain the role of organizational leadership in influencing environmental sustainability; critically analyse pro-environment management strategies; explain how learning and development are connected to change management strategies; explain the meaning of ‘employee voice’ and how it contributes to environmental sustainability in the workplace.

video

To learn more about the growing importance of sustainability within organizations, don’t forget to watch the video conversation for this chapter online.

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Introduction The 2018 UN Intergovernmental Panel on Climate Change (IPCC) concluded that the Earth is on track to overshoot the targets of the Paris climate agreement and warm by 3 degrees C by the end of the century, a level that would ‘disrupt life on the planet and cause long-lasting or irreversible changes’ (Hook, 2018: 4). This would result not so much in climate change but ever more catastrophically uncontrollable ‘runaway climate change’ (Barkham, 2018). It is within this context that there has been more incentive for organizations to report on their environmental sustainability activities. This includes an area of management we have examined in previous chapters: human resource management (HRM). In this chapter, we extend the discussion to ‘sustainable’ or ‘green’ HRM. Here, environmental sustainability incorporates ecological or environmental considerations (e.g. carbon emissions) with organizational needs (e.g. profitability) in such a way as to promote benefits for the environment (Norton et al., 2015). That work organizations are both part of the problem as well as part of the solution to carbon accumulation is not in doubt. The question examined in this chapter, however, is to what extent do organizational environmental leadership and people-oriented management practices contribute to changing behaviours that can create more environmentally sustainable workplaces?

The aim of this chapter is to examine how environmental leadership and HR practices influence environmental sustainability in the workplace. It introduces the concept of environmental sustainability and examines how this might be integrated within a workplace context to create positive outcomes for employees, their organization as well as the environment. It begins with explaining the nature of environmental sustainability and why, and how, it is closely connected to organizational change. This is followed by a discussion of the role of environmental leadership and HR practices in reducing carbon emissions. Finally, it focuses on organizational change strategies to support environmental sustainability in the workplace.

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Pause and reflect

What do you understand by the term ‘sustainability’ as it relates to the planet?

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The Nature of Environmental Sustainability The sustainability discourse evolved in the 1970s and 1980s with publications on the ecological limits of economic growth (e.g. Meadows et al., 1972). The issue of sustainability was initially debated at the 1972 United Nations Conference on the Human Environment in Stockholm (Sumner, 2005: 79). A significant development came with the formation of the UN World Commission on Environment and Development (WCED; also known as the Bruntland Commission), which subsequently provided the now classical definition of sustainable development: ‘development that meets the needs of the present without compromising the ability of future generations to meet their own needs’ (1987: 43).

Conceptually, the meaning of sustainability, as cited in the Brundtland Commission, ‘can be understood as an overarching worldview recognizing the interconnectedness of ecological, social, and economic factors in human activity’ (Docherty et al., 2009: 6). The Commission’s report also introduced ‘the concept of justice (within and between generations, global justice and justice through participation and democratic arrangements) as a central issue in relation to efforts to enhance sustainability’ (Lund, 2004: 43).

Sustainability science is an interdisciplinary field that seeks to enhance sustainability by integrating knowledge from a range of disciplines including natural sciences, engineering, social sciences and the humanities (Kates et al., 2001). The challenge for sustainability science is to ensure that knowledge production is a communal effort that links academic research with industry and government, and benefits individuals and society (Wiek et al., 2011). Sustainability science is embedded within broader social processes of understanding, and thus contributes to organizational decision-making processes through the creation of knowledge (particularly analysis of risks and consequences) derived from emergent interdisciplinary enquiry (Kasemir et al., 2003). Although it is recognized that there is a multiplicity of

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viewpoints, sustainability is, for an increasing number of organizational and environmental writers, the ultimate goal: that is, ‘living within the regenerative capacity of the biosphere’ (Wackernagel et al., 2002: 9266). Importantly, in terms of managing work and people, scholars of sustainability science advocate participatory and collaborative approaches to the co- generation of knowledge and environmental decision making (Blackstock et al., 2007).

Environmental management is an attempt to control the human impact on and interaction with the natural environment in order to preserve natural resources. At the organizational level, corporate environmental performance refers to ‘organizational performance in managing natural resources and the natural environment in the process of conducting business’ (Ones and Dilchert, 2012: 450). Corporate environmental performance includes both environmental outcomes and the pro-environmental initiatives that organizations implement. The former represent the ecological impact or ‘footprint’ of organizational activities; the latter focus on what organizations do for environmental sustainability. In the workplace, this includes encouraging energy efficiency, waste reduction and recycling, water conservation and employees’ use of alternative low-carbon forms of transportation (e.g. a bus, train or bicycle). At the individual level, workplace pro-environmental behaviour (WPEB) can be defined as ‘a systematic set of actions from a collective network of organizational actors spread across a company, team, and/or value chain’ (Kennedy et al., 2015: 370). For employees, this entails changes to their existing job duties, additional requirements of their position and, in some cases, the creation of entirely new occupational opportunities, such as ‘environmental manager’ (Ones and Dilchert, 2012).

Although environmental sustainability has been debated for decades, it is an emerging concept in the business world, and the existing literature provides numerous and varied interpretations of it. In contemporary management parlance, sustainability has been used to refer to values and ethics, as well as goals such as corporate social responsibility (CSR). In 1997, expert John Elkington, for example, coined the term ‘triple bottom line’ or ‘P3’ (People, Planet and Profit) which emphasizes that, in sustainable

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workplaces, human and social resources along with ecological and economic resources should be able to grow and develop. From a work systems perspective, sustainability has been described as an ongoing process of efficiency and improved environmental and social performance (Docherty et al., 2009). For Norton and his colleagues (2015), organizational efficiency and improvements to the planet are combined in the concept of environmental sustainability. In the organizational context, this means that environmental sustainability incorporates business needs (e.g. profitability) with environmental consideration (e.g. lower carbon emissions) in such a way as to be ecologically beneficial to the planet.

Therefore, WPEBs are necessary but not sufficient for environmental (corporate) sustainability. Popular corporate strategy authors have been optimistic, arguing that although the concept is understood to mean different things to different people, it has nevertheless made a positive social and environmental impact. For example, management strategy expert Michael Porter, championing the concept of creating competitive advantage and shared value, has argued that the ongoing efforts of certain corporations are helping to transform sustainability from a ‘cliché term’ to an innovative and enduring business strategy (Porter and Kramer, 2006, 2011).

Pause and reflect

In addition to the business case, to what extent have public protests and the environmental movement transformed sustainability into a potential innovative business strategy?

Leadership in Action: Trust as the most valuable commodity in business?

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It has been argued that trust – the invisible glue that holds communities and social contacts in place – is the most valuable commodity in business (Corner, 2015) and the workplace. You may recall from Chapter 5 the Volkswagen emissions scandal that helped reinforce public cynicism about the ability of the private sector to act in good faith to help combat climate change. In Wolfsburg, Germany, the headquarters of Volkswagen, when news of the scandal broke thousands of VW employees, their families and their community were angry and fearful (Goffee and Jones, 2015). They were angry that an incredibly successful and profitable company, in which many had invested their entire working lives, could have engaged in large-scale corporate deception. An article in the New York Times explains that

The most significant difference between the European and American approaches to emissions standards is that regulators in the United States conduct their own tests to check whether manufacturers’ claims are accurate. In contrast in Europe, testing is left to the discretion of automakers and their contractors. (Hakim and Barthelemy, 2015: B1)

With just 100 companies responsible for 71 per cent of the global emissions, companies have a huge role to play in contributing to climate change (Riley, 2017). In the context of the VW emissions scandal, why should individuals bother to take the issue seriously either? And if corporations can’t be trusted, should governments intervene with stricter emissions regulations?

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Reflective question Do you agree or disagree that trust is the most valuable commodity in business and the workplace? How important is mutual trust between leaders and other employees?

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Sources Hakim, D. and Barthelemy, C. (2015) ‘VW fought in Europe on testing’, New York Times, 2 December, p. B1.

Riley, T. (2017) ‘Just 100 companies responsible for 17 per cent of global emissions, study says’, Guardian, 10 July.

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To explore this topic further see: Goffee, R. and Jones, G. (2015) Why Should Anyone Work Here? What it takes to create an authentic organization. Brighton, MA: Harvard Business Review Press.

The burgeoning literature demonstrates that sustainability is no longer a fringe issue. Corporate titans, for example retailer Walmart (2018), Google (2018) and BP (2017), have embraced elements of sustainability. In the 20th century, occupational health and safety was always an issue for trade unions, but in the 21st century, institutions such as the International Labour Organization, the European Trade Union Confederation and the British Trades Union Congress (TUC) in the UK have also embraced the wider concept of sustainability. Sustainability is particularly relevant to ‘mission-driven organizations, such as governments, charities, and universities, because they are not evaluated in traditional financial terms, and have missions that go beyond the bottom line’ (Boudreau and Ramstad, 2005: 130). This trend towards sustainability, no doubt influenced by the environmental movement of the 1980s and the CSR movement of the 1990s, has influenced organizational leaders to become increasingly aware of the need to build positive relations with stakeholders, both internal and external to the organization (Harrison and Freeman, 1999).

The concept of sustainability has evolved since its first usage over 30 years ago. There is a general consensus in the literature that the concept of sustainability is linked to nature, the notion of resource conservation, and, as outlined by Dyllick and Hockerts (2002), present-day interpretations of the term have been influenced primarily by three different stakeholder groups: ecologists, business strategy scholars and the United Nations (WCED, 1987). While its origin begins with the natural environment, the concept often embodies a human emphasis, ‘reflecting not only a concern for our future, but also an unease with our current situation and an emphasis on human agency’ (Sumner, 2005: 78). Instead of helping to improve our understanding of sustainability, these contradictory interpretations and their tensions indicate the kind of problem that sustainability

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can pose, both in evaluating the literature and in terms of employers and employees working in partnership towards more sustainable outcomes in the workplace. Following the perspective throughout this textbook, sustainability is examined here through a prism that recognizes that the employment relationship is, by necessity, cooperative but that it also entails unavoidable structural conflict between managers and workers.

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Employees’ Pro-environmental Behaviours and Environmental Management Systems The extant literature on sustainable workplaces raises the possibility that work organizations, through appropriate policies, processes and practices, can make strategic choices that may enhance natural resource efficiency and reduce the amount of greenhouse gases emitted into the atmosphere (Cox et al., 2012). It is in the workplace, therefore, where human resources (HR) policies and practices have their effects on the issue of work itself and, by extension, on employee behaviour, labour productivity and environmental sustainability (Bratton, 2020). It is to the workplace that one must look to examine how managers’ and workers’ behaviours and own goals combine to create more environmentally sustainable workplaces. The workplace is a site where social relationships shape interests, motives and the actions of managers and workers, and where cooperation and resistance around management objectives take place in a ‘contested terrain’ (Edwards, 1979). Workplace sustainability is therefore more than a technical challenge – it goes to the very heart of managing people.

Ultimately, the solution to reducing carbon emissions in the workplace lies with those social sciences that are tasked with changing employee behaviour. In this regard, Boiral et al. (2015) provide some insight into the nature and scope of employees’ pro- environmental behaviours, and Renwick et al. (2016) examine the role of green HRM (GHRM), which we will go on to consider in the next section.

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Employees’ pro-environmental behaviours The role of employees’ pro-environmental behaviours has been highlighted in many environmental studies (e.g. Yuriev et al., 2018). Pro-environmental behaviour is a multifaceted concept used to describe a broad range of actions intended to benefit the natural environment. Ones and Dilchert (2012: 452) define employees’ pro-environmental behaviours as ‘scalable actions and behaviours that employees engage in that are linked with and contribute to or detract from environmental sustainability’. This definition focuses on environmental behaviours inside organizations at the individual level, and excludes those behaviours rooted in employees’ own lifestyle. Notwithstanding the value of the definition, Ones and Dilchert focus only on measurable behaviour at the employee level and exclude actions taken by employees to support organizational practices, or informal initiatives. Therefore, a more inclusive definition of WPEB includes ‘all types of voluntary or prescribed activity undertaken by individuals at work that aim to protect the natural environment or improve organizational practices in this area’ (Boiral et al., 2015: 21). This definition highlights the diverse nature of informal and formal employee-level behaviour and organizational initiatives, and the voluntary or prescribed nature of the pro-environmental behaviours of employees and managers alike. Employee pro- environmental behaviours mostly comprise task performance or organizational citizenship (commitment and engagement) behaviours. Empirical research in this area has demonstrated that effective environmental sustainability change depends, to a large extent, on various behaviours intended to reduce pollution, internalize environmental management practices and contribute to eco-innovations (Boiral et al., 2015).

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Environmental management systems Within the emergent sustainable workplace literature, it has been argued that in order to work towards the goal of environmental sustainability, organizational managers must develop an environmental management system (EMS). An EMS is the most widely recognized tool for managing the impacts of an organization’s activities on the environment. It refers to the management of an organization’s environmental impact in a comprehensive, systematic, planned and documented manner. It incorporates people, procedures and working practices into a formal structure, involves all members of an organization as appropriate, promotes continual improvement, including periodically evaluating environmental performance, and actively engages senior management in support of the EMS (see e.g. Zutshi and Sohal, 2004). EMS enables organizations to achieve more environmentally sustainable processes, practices and outcomes (see e.g. Jabbour et al., 2010). Thus, the focus is on improving environmental performance and maintaining compliance with environmental regulations. As EMS and risk management are analogous activities, EMS supports an organization’s overall approach to environmental risk management.

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Environmental Leadership, Organizational Change and Culture A growing body of research has highlighted the importance of leadership (Robertson and Barling, 2015) and organizational culture (Norton et al., 2015) to drive both organizational and employee-level pro-environmental performance. The focus in this chapter is on how leaders affect their organization’s environmental performance through influencing the behaviour of individual employees and by changing organizational practices and culture.

Image 16.1 Environmental leadership is a process to create a shared vision of environmental sustainability and motivate others to create sustainable organizations in an equitable manner whilst living within the limits of ecosystems.

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Environmental leadership Although employees’ pro-environmental behaviours are critical to the effectiveness of environmental sustainability initiatives, there is insufficient understanding of the role of leadership to support these behaviours (Afsar et al., 2018). Within the strategic management context, the goal of environmental leadership is to motivate followers to achieve high levels of environmental performance. Egri and Herman (2000: 572) define environmental leadership as ‘the ability to influence individuals and mobilize organizations to realize a vision of long-term ecological sustainability.’ This definition is based on the notion that, guided by eco-centric values and assumptions, environmental leaders seek to change economic and social systems that they perceive as being currently and potentially threatening to the health of the biophysical environment. Robertson and Barling’s (2015: 166) framework for pro-environmental leadership highlights the importance of leaders, inspired by their own personal values, attitudes and perceptions, striving ‘to influence others at all levels of the organization in an effort to benefit the natural environment’. Pro-environmental leaders typically demonstrate transformational patterns of behaviour, including charisma, two-way communication, collaboration, and an orientation towards changing work systems, that reduce the environmental impact of an organization. For example, Portugal and Yukl (1994: 274) report transformational leadership behaviours such as ‘articulating an appealing vision with environmental issues, changing perceptions about environmental issues, and taking symbolic actions to demonstrate personal commitment to environmental issues.’ Importantly, leaders’ supportive behaviours have been shown to be a crucial component of environmental leadership (Robertson and Barling, 2015). Here environmental leadership is defined as a process to create a shared vision of environmental sustainability and motivate others to create sustainable organizations in an equitable manner whilst living within the limits of ecosystems. This definition emphasizes the importance of vision to help align individuals and motivate followers, that the coordinated pro-environmental initiatives must be sustainable and viable for the organization, and, at the same time, marries pro-

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environmental leadership with notions of social justice and ecological limits.

A sustainability leader can extend beyond senior managers (Ferdig, 2007). Robertson and Barling (2015: 169) found that pro- environmental leaders are more likely to: (1) possess personal values that go beyond self-interest; (2) have favourable attitudes toward the natural environment; (3) perceive social pressure to support environmental and sustainability initiatives; and (4) view environmental issues as commercial opportunities for their organization. Other studies have identified different types of behaviours enacted by sustainability leaders, including line- management supportive behaviours (Ramus, 2001). These behaviours include encouraging innovation among employees, competence-building, communicating ideas on sustainability, dissemination of information, rewards and recognition, and management of goals and responsibilities by disseminating environmental targets and responsibilities. Kotter (2012) points to the importance of leadership behaviours that encourage employee involvement and participation in organizational change. Participation at all levels of management is essential to the introduction of environmental sustainability change (Davis and Coan, 2015). However, internal workplace stakeholders – specifically front-line managers – are seen to be critical to the overall success of an organization’s sustainability strategy (Bratton and Bratton, 2015).

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Reframing organizational culture Having explored the concept of organizational culture in Chapter 4, here we ask ‘What role does culture play in developing employees’ pro-environmental behaviours?’. Findings across several studies consistently show that, when implementing strategic change, managers need to consider organizational culture and climate (see Chapter 4). Norton et al. (2015) define a pro-environmental organizational culture as

a pattern of shared basic assumptions learned by a group as it adapts to the challenges posed by human activity’s impact on the natural environment in a way that permits day-to-day functioning, which has worked well enough to be considered valid and, therefore, to be taught to new members as the correct way to perceive, think, and feel in relation to environmental sustainability’ (Norton et al., 2015: 329–30)

At the individual level, a pro-environmental climate – defined as employees’ shared perceptions of pro-environmental policies and practices that management tangibly supports – acts as a go- between between the perception of management’s pro- environmental behaviour and the pro-environmental behaviour of employees. Research suggests that leaders and organizational culture and climate influence employees’ and their organizations’ environmental performance. There is debate regarding whether organizations need to have an underlying ‘moral commitment to sustainability’ (Davis and Coan, 2015: 247), which suggests that there is a need for the principles, assumptions and values that underpin the organization’s norms and rules to be changed if sustainability is to be achieved (see e.g. Hayes, 2014). This introduces the concept of ‘cultural congruence’; that is, for an organization to become environmentally sustainable, its underlying values and assumptions must be aligned with sustainability interventions in such a way that employees’ attitudes and behaviours support the organization’s overall low-carbon

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strategic objectives (Russell and McIntosh, 2011). A sustainable workplace is therefore associated with specific pro-environmental attitudes, values and behaviours. Taken together, the available research findings identify two key antecedents or enablers of pro- environmental behaviours and initiatives, which are leadership and a pro-environmental culture and climate.

In this context, organizational behaviour theorists have tried to identify effective ways to change manifestations of organizational culture: visible artefacts, including language and shared behaviour; work values, which are invisible, but can be espoused; and various sets of HRM practices that reinforce culture. Research shows that the three main strategies of planned culture change are:

Leadership processes that create the motivation to change behaviour, with a particular emphasis on their symbolic content; for example, replacing office plastic cups with ceramic. Reframing social networks of symbols and meanings through artefacts, language, rituals and ceremonies; for example, a ‘best employee’ award for an initiative that helps to decarbonize the organization. Initiating new HRM practices to change work conduct; for example, training new and existing employees about the need and benefits of reducing carbon emissions in the workplace.

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A process model of strategic change All three strategies implicitly adhere to Lewin’s (1951) three-stage model of planned change, which involves ‘unfreezing’ present inappropriate employee work conduct, ‘changing’ to new behaviour patterns, and positive reinforcement to ‘refreeze’ the desired change. Drawing upon leadership studies, the three strategies of planned culture change are shown in Figure 16.1. Steps 1 and 2 represent Lewin’s ‘unfreezing’ stage, steps 3 and 4 represent the ‘changing’ stage, and step 5 represents the ‘refreezing’ or consolidation process. John Kotter’s 8-step model (2012), which subsumes Lewin’s model, attempts to change culture through an empiricist-rational strategy. That is, individuals make rational choices if provided with ‘correct’ information. Steps 1 to 4 in Kotter’s model represent Lewin’s ‘unfreezing’ stage. Steps 5, 6 and 7 represent the ‘changing’ stage, and step 8 represents the ‘refreezing’ process. The approach emphasizes the importance of communicating a clear change vision to all stakeholders affected so that employees can participate in the change initiative. Senge et al.’s (1999) systematic model highlights the critical period after change implementation, the role of leaders in removing perceived barriers to change, and the importance of sustaining cultural change.

Harris and Crane (2002) identify an undeveloped conception of organizational culture in the GHRM literature, with non- functionalist views of culture largely being ignored. The comparative case study research by Fineman (1996, 1997) has been referred to as ‘something of an antidote to the non-empirical and largely uncritical literature on green organizational culture’ (Harris and Crane, 2002: 217). It suggests that even in the ‘most progressive firms’, environmental values and beliefs tend to be absorbed into existing cultural assumptions and beliefs rather than eliciting any kind of cultural transformation. Newton and Harte (1997) expose the over-reliance on simplistic formulae for green change, the overselling of voluntary change as a solution to environmental issues, and the lack of a critical perspective on how and why culture change might occur. A simplistic formula, for example, would be to believe that the organization can impact

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climate change just by replacing single-use plastic cups, that individual effort rather than enforceable carbon-reducing legislation is a solution to high-carbon workplaces, and neglecting the role of values in nudging human behaviour towards more pro- environmental action.

Figure 16.1 A strategy for creating a sustainable workplace (adapted from Bratton and Gold, 2012: 163)

Pause and reflect

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Thinking of your university, do you feel that top leadership value sustainability? Have the university’s leaders communicated a shared ‘green’ vision? If so, how?

The extant literature on organizational culture and business strategy highlights how important it is that the prevailing business strategy and organizational culture are consistent with each other (internal fit) and with the wider operation of the organization (external fit) (e.g. Chow and Liu, 2009). For example, a company may be targeting sales of a new craft beer to the 19- to 24-year- old age group but its processing system uses traditional methods, which is energy inefficient and pollutes a nearby river. Extending the best-fit debate, theory and empirical research suggest that a green HR strategy should coincide with the organization’s business strategy and create an appropriate culture in which to enhance environmental performance. Broadly, the HRM approach to building a low-carbon workplace is to develop and support the workplace’s environmental sustainability initiatives.

Pause and reflect

Visit the website of the Canadian company Steam Whistle Brewing at www.steamwhistle.ca (accessed 6 October 2019). To what extent does the company’s organizational culture fit its business model?

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Creating a Sustainable Workplace through Human Resource Practices What role do HRM practices play in developing employees’ pro- environmental behaviours? As previous chapters suggest, when HR policies and practices are embedded into the organization’s architecture they improve organizational outcomes. Serial research suggests that when green HR practices are embedded, they also improve environmental sustainability (Fernández et al., 2003). The established use of HR processes in occupational health and safety, minimum waste production as part of a ‘lean’ manufacturing system and cultural management make HRM well positioned to coordinate the goals of a sustainable workplace (Oliveira and Pinheiro, 2009).

An early contribution to the debate on the links between HRM and environmental management was made by Wehrmeyer’s (1996) edited book, Greening People: Human Resources and Environmental Management. In it, HRM is associated with a distinctive HR philosophy, strategy and set of determinate HR practices (see Chapter 9) to create a high-performance work system (HPWS). Building on the HPWS concept, Bratton and Bratton define a low-carbon work system as:

A planned approach to organization design, culture, and HR practices to deliver low-carbon outcomes in the workplace as well as to align the organization and its processes to achieve innovation and sustainable high- quality results for the organization, workforce, and customers. (2015: 277)

A low-carbon work system (LCWS) requires new roles and low- carbon behavioural activities for leaders, managers and other employees. Low-carbon behaviours occur at three levels: individual, social and material (Cox et al., 2012):

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Individual-level influences act on individual motivations (e.g. personal rewards). Social-level influences act on employees when operating in teams or groups (e.g. social norms, shared understandings and communities of practice). Material-level influences act on organizational structure and processes (e.g. products, technology and environment).

The research by Cox et al. (2012) suggests that behavioural interventions tend to be most successful when they consider these three dimensions holistically, and do not simply focus on trying to change individual employee attitudes or just installing new technology. In other words, when establishing a LCWS, the goal should be to take an integrated approach that raises awareness and improves understanding with individual employees and groups, builds social meaning and norms around pro- environmental, ‘low-carbon’ or ‘sustainable’ working practices, and supports employees with the technology they need, backed up with consistent policies.

HRM scholars have tried to identify effective ways to change manifestations of an environmentally sustainable organizational culture through modified HR practices. The emergent literature on GHRM emphasizes that a set of integrated HR practices covering recruitment, selection, performance management, training and development, rewards and employment relations can promote pro-environmental behaviours at work and build a more environmentally sustainable organizational culture.

Existing GHRM studies highlight the opportunity for improved environmental performance when the goals, policies and procedures of EMSs are more closely aligned or ‘embedded’ (Purcell and Kinnie, 2007) with HR practices and wider activities of the organization (see e.g. Chen, 2011; Jørgensen, 2000). However, this convergence between HR practices and organizational culture is considered secondary in classic studies of organizational sustainability (see e.g. Shrivastava, 1995). A central question that arises from the literature is whether effective environmental sustainability initiatives can develop from top-down management-driven exercises, or whether they are more likely to

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be successful if they are part of a more grass roots, employee-led initiative for environmental sustainability in the workplace. To date, much of the GHRM research has focused on core HR practices (see Chapter 11, Figure 11.2).

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Recruitment and selection Environmental sustainability has become an important dimension shaping the recruitment and selection process. Research suggests that attracting top candidates is easier for organizations known for their superior environmental stewardship (Gully et al., 2013; Rupp et al., 2013). An Italian study found, for example, that ‘green recruiting practices’ could have a distinct and direct effect on attracting applicants (Guerci et al., 2016). One obvious way to build a sustainable workplace is through self-selection of prospective employees. For example, German companies such as chemical and pharmaceutical company Bayer and engineering company Siemens use their environmental reputation to attract competent employees who are committed to the environment (Jabbour and Santos, 2008). The published research suggests that given a choice, people are attracted to green employers that are keenly attuned to climate change issues and have a strong ecological approach (Philips, 2007). Environmentally sensitive job previews combined with accurate portrayal of the organization’s culture can attract talented people with values that match and promote sustainability (Jabbour, 2011).

Another way to embed ecological values in the workplace is by selecting people with green-related skills and values. The selection process may be designed to ensure that ‘employees committed to the environmental issue have a potential to be hired more than those who do not show an ability to lead the environmental management in a company’ (Jabbour and Santos, 2008: 53). Studies also suggest that it may be expedient to start hiring managers who have a proven track record of environmental performance and value environmental protection (see e.g. Ramus, 2002). Personality- and competency-based tests provide the tools that enable managers to find talented individuals who seem to fit the new culture. Selection tests based on attitudinal and behavioural profiling can also be used to screen applicants for green values.

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Pro-environmental training and learning Consensus is growing among academics that the issues of sustainability, organizational change and training and learning are closely interrelated. Training and workplace learning is a primary intervention for developing pro-environmental behaviours (Garavan and McGuire, 2010). Much of company training appears to be related to improving employees’ health and safety, energy saving and waste management. For example, the US company 3M has encouraged employees to find creative ways to reduce pollution through their Pollution Prevention Pays (3Ps) programme, which has saved the company close to $300 million (Renwick et al., 2008: 7). Training and learning is a necessary component of advanced environmental management systems. The literature suggests that a major factor in a successful EMS is a comprehensive training programme that provides all employees, at all levels of the organization, with the tools and understanding necessary to conduct themselves in an environmentally aware manner, foster innovation, make environmentally responsible decisions and contribute to continued environmental improvements (Daily and Huang, 2001).

Research suggests that the level of employee environmental awareness is one of the most important predictors of the level of adoption and success of an organization’s environmental initiatives. Perron et al. (2006: 553) report, for example, that the intent of clause 4.4.2 of ISO 14001 is to ‘ensure that employees at all levels of the organization understand the goals of the EMS and the ways their job activities impact the environment and the achievement of EMS goals’ (ISO, 2015). This understanding allows employees to participate in environmental management efforts, and could lead to the improved environmental performance of an organization. Zilahy’s (2003) study of the factors restricting the implementation of energy efficiency improvement indicates that perhaps the most salient restrictive factor was the level of employee environmental awareness. Research findings support the importance of employees being well versed in environmental issues, environmental processes and the overall functioning of environmental management systems to

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ensure that an organization’s environmental targets and objectives were achieved (see e.g. Sammalisto and Brorson, 2008).

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Rewarding pro-environmental behaviours The organization’s reward system provides a good indication of the seriousness of its commitment to environmental sustainability management (Berrone and Gomez-Mejia, 2009). The rewards can be monetary or non-monetary, and could be tied to individual, group or organizational actions (see Chapter 11). Monetary rewards may be one of the strongest motivators for encouraging employees to participate in environmental improvement activity. For example, aligning compensation practices with environmental strategy has been implemented in North American companies such as Huntsman Corporation (chemicals), Browning-Ferris Industries (waste management) and Coors Brewing Company (Milliman and Clair, 1996), where financial rewards are tied to employees’ environmental performance. In this regard, managers will need to determine whether environmental responsibilities and initiatives should be incorporated into managers’ and employees’ performance appraisal. Denton (1999) observes that, even in some of the best-known companies for encouraging environmental initiatives, financial rewards are rarely tied to environmental performance.

Studies suggest that many workplaces are encouraging environmental activities using non-monetary rewards such as employee recognition schemes, time off from work, gift certificates and paid vacations (Govindarajulu and Daily, 2004). For example, Dow Chemical Company, a leading American multinational corporation, motivates its employees by awarding plaques to employees who develop innovative waste-reduction ideas (Denton, 1999). Some employees may be more motivated by formal or informal recognition than financial incentives. Empirical findings from six environmentally proactive European firms have shown that two of the most important factors for engaging employees and encouraging creative ideas are management support and company environmental awards (Ramus, 2002). This suggests that front-line managers should seek environmental ideas from all employees, and seek opportunities to provide feedback to encourage employees’ engagement in environmental sustainability. Whether rewards are monetary or non-monetary in

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nature, the reward system has to be supported by an effective communication plan (Parker and Wright, 2001), rewards must be tied to the achievement of environmental objectives (Starik and Rands, 1995), and they must be consistent with other aspects of the rewards system (May and Flannery, 1995).

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Performance management and appraisal Emergent studies in environmental management (Garavan and McGuire, 2010) suggest that, in those organizations with proactive environmental sustainability programmes, individual performance appraisal systems (IPAs) can improve the effectiveness of environmental management over time by guiding employees’ behaviour and actions toward the environmental performance outcomes desired by the organization (Milliman and Clair, 1996). Jabbour et al. (2010) report that Brazilian manufacturing companies are establishing environmental objectives for their employees, whose performance is evaluated as one of the criteria of the performance appraisal. For example, the business services Xerox Corporation has a reward system that recognizes employees who meet certain levels of innovation in terms of how they deal with waste reduction, reuse and recycling (Milliman and Clair, 1996). Without performance appraisal, pro-environmental behaviours may come to a standstill. Chinander (2001) highlights how many environmental management programmes fail to emphasize the importance of feedback on environmental issues. Continual feedback ensures that employees are aware of their responsibilities and communicates the link between their environmental performance outcomes and rewards (Govindarajulu and Daily, 2004).

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Employee Voice in Environmental Sustainability Employee voice has been discussed in Chapter 8 covering relational and distributed leadership. In this section, we extend the discussion by critically examining how employee and trade union voice is processed to create a sustainable workplace and improve environmental management (Hampton, 2015; Markey et al., 2019). Recent GHRM studies such as Montabon et al. (2016) have tended to focus on non-union processes, and most only go so far as to suggest that managers should use various employee representation arrangements to encourage employee ‘voice’ (Brio et al., 2007). As Perron et al. (2006: 556) opine, ‘the many small actions and decisions that all members of an organization can make in their everyday work can cumulate to large improvements in the environmental impacts of the organization.’ The research suggests that when employees are ‘engaged’ through employee participation processes, they will better understand how they can contribute toward environmental sustainability. This highlights further that without the ingenuity and expertise of human capital, environmental management initiatives may be limited and superficial.

If pro-environment change is desired, Kelly’s (1992) notion of effective followers (see Chapter 13) underscores the value of followers’ engagement and agency. Employee voice mechanisms such as ‘green teams’ (Daily et al., 2007) and ‘eco-champions’ (Brosse, 2010) are major elements of the GHRM strategy because they provide followers with an opportunity to use their intimate knowledge of work and discretion at work to generate creative, eco-friendly initiatives rather than rely solely on leaders.

Table 16.1 Different concepts of involvement and participation

Table 16.1 Different concepts of involvement and participation

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Elements within management

Employee involvement Employee participation

Elements within management

Employee involvement Employee participation

Decision-making process

Management initiated and controlled

Dialectics between top- down and bottom-up managerial tasks allocated to workers

Level of competence

Limited to assignments and functions

Involves high-level decisions

Forms of consultation

Individual only

Collective and individual representation

Strategy for innovation/change

Management through goals and visions

Dialogue and cooperation

Views on the employees’ role in workplace changes

Employees as important production factors

Employees as political actors

Source: adapted from Lund, 2004: 53

Lund’s classification (Table 16.1) shows different levels of employee participation from the perspective of workplace democracy. The distinction between ‘employee involvement’ and ‘participation’ may be conceptualized in terms of six categories: (1) information; (2) practical involvement; (3) consultation; (4) negotiation; (5) codetermination; and (6) self-management (Lund, 2004: 53). These categories only relate to the question of ‘how’ employees participate, and therefore must also be combined with categories describing the subject of participation. These subject categories can be described in terms of increasing levels of participation in managerial decisions such as: (1) welfare

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decisions; (2) shop-floor operational decisions; (3) tactical business decisions; and (4) strategic business decisions (Walters and Frick, 2000).

Critical Insight: Union action to protect the environment?

By responding to what has been described as one of the ‘big issues of the day’, unions can influence sustainability in the workplace (Hampton, 2015). The challenge facing the trade union movement is that sustainability goals can be in conflict with the perceived interests of different groups of workers within a single union and between unions. In the UK, employees and unions have no legal rights of involvement in workplace environmental issues and, to date, few employers have signed collective ‘green’ agreements (TUC and Allan, 2008). This situation is likely to remain while there is no legal requirement for mandatory union involvement in environmental issues. Minimal investment in workplace environmental training and zero government commitments for statutory environmental representative rights have caused environmentalists and union leaders to lament the lack of cooperation between unions and green advocacy groups and political parties. The responsibility for an absence of ‘gains sharing’ opportunities does not rest entirely with reluctant employers.

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Activity 1. Why should unions participate in environmental sustainability

issues in the workplace? 2. What are their interests? 3. What are the potential benefits for employers and employees?

What are the challenges?

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Further information Pearce, S. (2012) ‘Tackling climate change: a new role for trade unions in the workplace?’, Advisory, Conciliation and Arbitration Service. Available at www.acas.org.uk/CHttpHandler.ashx? id=3291andp=0 (accessed 7 October 2018) to explore how trade unions can contribute to creating an environmental sustainability workplace.

In the UK, the climate of employment relations has changed radically over the last three decades (Farnham, 2015b: 231). In the post-2008 recession, a key question remains: ‘Who gains what from being involved?’ Leaders and managers have the power to drive (or not) employee participation (see Chapter 3). It is plausible therefore to assume that leaders and managers expect to see some advantage from investing in time-consuming voice mechanisms, and HR practices which critics might see as ‘an expensive waste of time’ (Wilkinson et al., 2010: 5).

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Critical Perspectives on Corporate- oriented Sustainability Mainstream environmental studies do not tend to engage sufficiently with conflicts inherent in the employment relationship (Lund, 2004: 48–49); they also tend to largely neglect the role of the state (e.g. government legislation) in combating climate change (Betsill and Rabe, 2009). Critical authors three decades ago argued that the term sustainability had become a purposeful distraction, ‘deliberately vague […] so that endless streams of academics and diplomats could spend many comfortable hours trying to define it without success’ (O’Riordan, 1988: 37). Later, others added to this critique, arguing that the sustainability debate had become too ‘technocratic, mere rhetoric, in-egalitarian, and for being a smokescreen for perpetuation of the status quo, vacuous, politically correct sloganeering’ (Buttel, 1998: 262, emphasis added).

More recently, informed by a social justice perspective (i.e. justice in terms of the distribution of wealth, opportunities and privileges within a society) a number of critical social scientists (e.g. Holden et al., 2017) and environmental advocacy associations (notably Friends of the Earth Scotland) are attempting to re-orient the term ‘sustainability’ around concepts of equity, social justice, participatory democracy and ecological limits. This more inclusive view of sustainability is captured by Agyeman et al. who argue that:

Sustainability ... cannot be simply a ‘green’, or ‘environmental’ concern, important though ‘environmental’ aspects of sustainability are. A truly sustainable society is one where wider questions of social needs and welfare, and economic opportunity are integrally related to environmental limits imposed by supporting ecosystems. (2002: 78)

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There is a requirement to define environmental sustainability that recognizes the need to ensure a better quality of life for all, in the present and into the future, in an equitable manner whilst living within the limits of ecosystems (Agyeman et al., 2016; Schlosberg, 2013); that is, an economy that meets emissions targets and is environmentally sustainable and socially just. This more inclusive definition focuses on four core areas: (1) quality of life; (2) present and future generations; (3) equity and justice in resource allocation; and (4) living within environmental limits. While mainstream corporate notions of sustainability have little to say about contemporary human conditions, this definition includes notions of both intra-generational and inter-generational equity (equality within and between different generation groups). This new, more egalitarian perspective of sustainability draws the connection between environmentalism, equity and fairness. Emerging definitions of environmental sustainability are shifting towards ‘just sustainability’ (the nexus between social justice and environmentalism), a broader approach that prioritizes social justice but does not downplay notions of ecological limits. The ‘environmental justice’ definition has more explicit emphasis on the social conditions of citizens and workers, both locally and internationally, and also acknowledges that multiple stakeholder decision making starts to address environmental and social inequality (see e.g. Agyeman, 2013).

The role of the ‘state’ in the environmental management discourse should not be downplayed or ignored. Whether through macro- economic policy, free trade agreements (e.g. NAFTA, TTIP), labour market reforms (e.g. Information and Consultation of Employees Regulations 2004), environmental legislation or investment in renewable technology, the state plays a central role in the economy. But most environmental studies mirror mainstream management by neglecting the close relationship of the state to corporate interests (Kelly, 1998). For example, governments project an image of neutrality on the issue of fracking, a drilling process used in the extraction of gas from shale rock, and down play environmental damage while claiming that shale gas has the potential to provide greater energy security, growth and jobs. Those opposed to fracking accuse governments and fracking companies of providing misinformation and ‘keeping

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secret the impacts of shale gas extraction’ (BBC, 2014). Heyes and Nolan observe that

The state is viewed as a benign force composed of multiple sites of authority none of which is dominant. It acts to create institutions and networks that facilitate information sharing, innovative behaviours, coordination and joint problem solving by social actors … Yet pluralism lacks a clear theory of the state, certainly lacks a theory of the capitalist state and therefore fails to problematize the nature of the state’s relationship to capital and labour. (2010: 121, emphasis in the original)

The mainstream management approaches fail to engage with the dynamics of capitalism and the nature of the capitalist state. For example, mainstream approaches might experience difficulties accounting for the unwillingness of the state to strengthen the legal rights of employees and unions (Heyes and Nolan, 2010: 121). Examining sustainability and the workplace from a critical perspective also requires that researchers recognize macro social structures (e.g. population changes; social movements like Greenpeace), climate and environment agreements such as UK and EU environmental legislation, and distortions of international free trade.

At the workplace level, a critical environmental studies perspective recognizes the need for bottom-up, stakeholder-centred input ‘which would, by necessity, involve a process we looked at …: dialogical communication’ (Sumner, 2005: 91). This, it is argued, is best developed if deliberative democracy principles are employed and there is recognition by stakeholders of ‘their interdependencies and power differences and the development of a shared will to move beyond the immediate self-interest of the affected parties’ (Benn et al., 2009: 1572). Such stakeholder- centred approaches accept the inevitability of change in the nature of environmental risks or human perceptions of environmental risks, and assume that organizations have reflexive capacity to respond to the process of deliberation and ‘mutual learning’ between a range of stakeholders engaged in decision

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making (Carlsson and Berkes, 2005). A stakeholder-centred approach would also give greater prominence to effective followers. Potentially, follower voice would make every member of the organization an effective follower for pro-environmental creativity and innovation. Organizational leaders, senior managers and other employees are central to facilitating change and supporting better environmental outcomes. From a pluralist perspective, for example, employees and their union representatives could be involved in strategic decision making with potential for ‘social partnership’ (Johnstone and Ackers, 2015) for better environmental outcomes in the workplace.

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Conclusion This chapter has established the role of HRM in enabling and improving environmental sustainability in the workplace. It has introduced the concept of sustainability and examined how this might be integrated within a workplace context to create positive environmental outcomes for organizations and society. It has critically evaluated a distinct body of literature illustrating the connection between environmental sustainability, leadership and HRM. Given that questions of leadership, culture and managerial behaviour are increasingly seen to fall within the HRM field, this chapter brings together distinct streams of literature to focus on environmental sustainability and HRM in the workplace. The review of GHRM literature focuses attention on how selective HR practices can drive change through formal and informal levers. In this regard, the emerging GHRM literature focuses on a cluster of HR practices including selection, rewards, appraisal and training that can influence employees’ attitudes and behaviours.

The literature highlights topics we have examined in previous chapters, the employment relationship and the process of employee voice that not only helps to create the leadership relationship but also enables or constrains environmental sustainability in organizations. The review of environmental leadership and organizational culture literature highlights the need to examine the role of leaders’ influence in creating an environmentally sustainable workplace. While research consistently points to the need to examine the personal values held by leaders toward the environment, leadership scholars need to examine the socio-political context of a climate emergency, develop a more comprehensive picture of effective followership, and monitor the results of pro-environmental leadership.

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Chapter Review Questions

1. What is your understanding of a low-carbon work system? 2. What is the role of leadership in the creation of an environmentally

sustainable workplace? 3. Why is organizational culture important in transitioning to a

sustainable workplace? How can leaders change the culture of their organization?

4. What role can HRM play in creating a sustainable workplace? What are the challenges?

Assignment Task: What motivates pro-environmental leadership?

A significant body of research indicates that government regulation and legislation are a major driver of organizations’ environmental activities. Several studies have reported that customers motivate organizations to adopt environmental management practices. The UK literature on strategic HRM suggests that general and line managers play a crucial role in enacting HR policies and practices. As internal stakeholders, senior managers and line managers are seen to be key to the adoption and enactment of sustainability initiatives. External governmental bodies, such as the Carbon Trust, can reduce information costs, provide technical assistance and coerce others by requiring adherence to environmental standards. Local community and the media stakeholders can also exercise influence on the reputation of organizations that implement environmental improvements. Despite the research on organizations’ sustainability strategies, it remains unclear why some organizations adopt sustainability initiatives beyond regulatory compliance.

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Questions 1. Read Walker, H., Sisto, L. and McBain, D. (2008) ‘Drivers and

barriers to environmental supply chain management practices: lessons from the public and private sectors’, Journal of Purchasing and Supply Management, 14 (1): 69–85.

2. Thinking about ‘drivers’ and the momentum around ‘climate emergency’, what drives public and private sector organizations to implement environmental sustainability initiatives? Who are the key stakeholders that influence environmental sustainability in the workplace? And what are the barriers to workplace environmental sustainability?

Go Online

Explore the real world of leadership by reading this case study:

The BMW Group’s Journey to Leadership in Sustainable Development Practice

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Mollie Painter from Nottingham Trent University discusses her work on sustainability, the emerging importance of the triple bottom line and the concept of visionary leadership.

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The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Davis, M.C. and Coan, P. (2015) ‘Organizational change’, in J.L. Robertson and J. Barling (eds), The Psychology of Green Organizations. New York: Oxford University Press, pp. 244–74.

Millar, C., Hind, P. and Magala, S. (2012) ‘Sustainability and the need for change: organizational change and transformational vision’, Journal of Organizational Change Management, 25 (4): 489–500.

Robertson, J.L. and Barling, J. (2013) ‘Greening organizations through leaders’ influence on employees’ pro-environmental behaviors’, Journal of Organizational Behavior, 32: 176–94.

Shin, S.J., Jeong, I. and Bae, J. (2018) ‘Do high-involvement HRM practices matter for worker creativity? A cross-level approach’, The International Journal of Human Resource Management, 29 (2): 260–85.

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Case Study: The green workplace

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Background This case study involves a conference centre within NHS Scotland. The case illustrates how sustainability initiatives have centred on event and conference planning, which provides an interesting context for the adoption of workplace pro-environmental behaviours (WPEBs). The event-planning industry more broadly presents unusual challenges not faced elsewhere in the economy, most notably that a significant proportion of the building’s carbon use is consumed by customers rather than employees. Work teams were assigned primary responsibility for developing a culture whereby employees felt more confident and motivated towards the organization’s sustainability strategy.

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The organization The conference centre is part of the NHS National Services Scotland (NSS), a non-departmental public body with an annual budget of roughly £600 million and a workforce of approximately 3,500 people across Scotland. Its remit is to provide expert advice and national strategic support services to the rest of NHS Scotland. The conference centre employs approximately 25 people, with about 40 per cent of workers unionized. The centre’s primary clients are the Scottish Government and NHS health boards in Scotland. The venue offers state-of-the-art technology and meeting facilities, events management services, and an in-hours catering service specializing in organic and Fairtrade food and drink.

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Thinking greener To meet the sustainability needs of their clients, the conference centre’s management developed the Think Greener sustainable conference and meeting package. The package offers products and services that incorporate social and environmental considerations, such as providing recycled paper, an organic buffet lunch, Fairtrade tea and coffee and a carbon-neutral taxi service. The conference centre’s ‘sustainability committee’ or green group, a cross-functional employee committee chaired by the head of the centre, coordinates sustainability activities and initiatives. For example, the centre’s sustainability initiatives include: improving indoor air quality by purchasing plants chosen to absorb chemicals and remove air pollutants; reducing energy, paper and water through staff awareness campaigns; installing new technology; and encouraging employees and visitors to use public transportation.

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Case exercise On your own or in a study group:

1. Complete an online search for sustainable or green workplaces. What, in your view, are the key characteristics of an environmentally sustainable workplace? Think about how leadership, culture and HR practices influence environmental sustainability in the workplace (Hint: review Table 16.1).

2. How do leaders support a green or sustainability-oriented culture? 3. How do HR practices influence WPEBs? 4. Does everybody benefit from the outcomes of environmental

sustainability?

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Source of additional information Cox, A., Higgins, T., Gloster, R. and Foley, B. (2012) ‘The impact of workplace initiatives on low carbon behaviours: case study report’, Scottish Government. Available at www.scotland.gov.uk/Publications/2012/03/2237 (accessed 18 September 2019).

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17 Leadership for Urban and Regional Innovation

Markku Sotarauta

‘English cities and regions … need to be innovative. But, local leaders … do not have a strong enough position to work with, by and through their networks to secure a smooth transition … Consequently, comprehensive and systematic local strategies for transition may suffer from lack of place-based leadership.’

Ayres and Beer, 2018

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Chapter Outline Introduction The nature of place-based leadership for urban and regional innovation Regional innovation systems and strategies Placed-based leadership Place leaders, knowledge producers and decision makers Generative leadership – a missing link in transformative efforts Criticism and exemplary research for place-based leadership Conclusion

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Learning Outcomes After completing this chapter, you should be able to:

explain what regional innovation systems are and why they are important in the economic development of regions; explain how leaders within regional innovation systems influence others in places where they have no formal authorization; define place-based leadership and explain how it differs from organization-based leadership; explain the generative nature of place-based leadership, and why in regional innovation systems, leadership relationships are indirect and often contested.

video

To learn more about leading across different national and regional cultures, don’t forget to watch the video conversation for this chapter online.

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Introduction In the first decades of the 21st century, economic globalization has adversely affected particular regions, towns and social groups within European and US society. These are the regions and towns we describe as the ‘unsuccessful’ or ‘left behind’ in modern Europe or the ‘rust-belt’ cities of North America. Leadership research has advanced new theories and empirical evidence on the role of leadership in promoting urban and regional regeneration. Building on the knowledge of organizational leadership gained from previous chapters, this chapter introduces you to the notion of place-based leadership. It is a concept that is rooted in a conviction that it is crucial to better understand what type of leadership may serve the many efforts to regenerate different post-industrial regions and urban conurbations.

Portugal and Yukl (1994) posit that leaders affect their organization’s performance through two types of relationships: internal and external. Within this framework, place-based leadership is often external and generative by nature. It highlights those processes that are geared to constructing local conditions for knowledge creation, circulation and valorization. In contrast to dominant leader-centric approaches, generative leadership calls for the mobilization of collective action and the pooling of existing and new knowledge, power and resources of many independent actors. This calls for better understanding of how key institutional leaders influence each other in the construction of shared strategic intentions across complex public-private-higher education constellations, where no one is in charge alone. Place- based leadership is therefore concerned with influencing inter- organizational development strategies and practices across institutional boundaries.

In this chapter, you have the opportunity to examine the importance of leadership in urban and regional innovation and renewal. We then continue by explaining the nature of urban and regional innovation systems. Next, we proceed to examine the notion of place-based leadership in a multi-actor context, and

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examine complex and varied leader–follower relationships. We conclude the chapter by offering criticism and a summary of possible research questions for future place-leadership research.

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The Nature of Place-based Leadership for Urban and Regional Innovation In the early 21st century, economic development is driven by knowledge-intensive activities and business services that tend to concentrate in the main urban regions both globally and nationally. It is the Londons, Shanghais and Silicon Valleys that dominate the world economy. Post-industrial cities and rural areas often struggle to find their place in the knowledge economy. Entrepreneurs, the proximity of knowledge and expertise, venture capital and world-class universities are typically not in the models explaining the spatial concentration of the knowledge-based enterprises (Asheim et al., 2006). Research acknowledges this view but highlights the need to examine how different regions and cities generate economic pathways for the future, why some cities and regions are more successful than others, and what makes some places transform despite the odds while others are caught by a downward spiral. While there are many studies searching answers to these questions, few focus on leadership.

Studies focusing on the economic regeneration of cities and regions face an interesting double challenge. First, structurally oriented programmes of research tend to downplay issues related to human agency, and thus neglect the roles many actors play in local and regional changes. According to Rodríguez-Pose (2013), a large share of regional development differences remains unexplained after taking account of structural preconditions, the most obvious being industrial structure, the size of the region, capital and labour characteristics and the quality of infrastructure. In other words, some regions grow more than could be expected from their structural preconditions, and conversely, some regions grow less than could be expected (Grillitsch and Sotarauta, 2019). Second, structurally oriented programmes of research tend not to look beyond standard public policy repertoires and neglect what leaders actually do to influence economic regeneration in their regions.

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Image 17.1 Studies on economic regeneration face a double challenge: a tendency to downplay human agency and to neglect what leaders actually do. Place-based leadership is a concept that seeks to better understand what type of leadership may serve the many efforts to regenerate post-industrial cities and regions.

Since the beginning of modernity in Western Europe, cities have been an engine driving economic and social change, attracting intellectuals and entrepreneurs and fostering the myriad interactions that energize creativity and innovation (Bratton and Denham, 2019). However, since the 1990s, the ascendency of neoliberalism (see Chapter 2) has caused economic activity to be more polarized in Western Europe and North America between the ‘successful’ and the ‘unsuccessful’ regions due to increased differentiation in innovation and economic growth. In the UK, it is argued that such polarization, which has created high levels of interregional inequality, was an important factor in explaining voting patterns in the 2016 EU referendum – so-called Brexit. UK

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levels of interregional inequality are 50 per cent higher than similar-sized economies such as Germany and France. To emphasize the point, of Britain’s 63 cities, Mansfield, a post- industrial city, which has a miniscule private sector in knowledge- based activity and where average wages are 19 per cent below the national average, had the highest percentage vote to leave the EU: 71 per cent. In contrast, the city of Reading, with its university, highly developed networks into London and upward social mobility, voted 58 per cent to remain (Hutton and Adonis, 2018: 12). It is argued that Brexit was a vote against an economic order that seems only to work for the educated and the upper-middle class, leaving the majority ‘increasingly frustrated and angry, but also dangerous because they have no voice, and hence they are vulnerable to the siren calls of extreme political parties’ (Bridle, 2018, cited by Bratton and Denham, 2019: 364).

In the USA, a compelling explanation for why so many white working-class voters in post-industrial regions – the ‘rust-belt’ – supported Donald Trump has been linked to job losses and interregional inequality (Vance, 2016). In this context, addressing interregional inequality through leadership has resonance and has, unsurprisingly, been gaining in importance in regional development spheres. Under such conditions, standard recipes alone do not produce the desired outcomes. Whether a region is peripheral or central, innovative or less so, successful efforts to construct and/or improve urban or regional conditions for innovation depend both on the ability to exploit existing resources and to create and attract new ones. All this calls for mobilization of collective action. This again cries out for an elaborate understanding of how leaders working to improve regional conditions for innovation influence a wide spectrum of decision makers as well as resource and knowledge holders.

Beer and Clower (2014) argue that place-based leadership is the missing piece in the regional development puzzle, and more specifically in regional innovation systems and related policy arenas. Hambleton (2014) describes place-based leadership as leaders exercising their decision-making power to improve the quality of life of communities living in a particular place. This contrasts with organizational or ‘place-less’ leadership in which

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leaders are unconcerned about the impact their decisions have on particular external communities. Place-based leadership addresses some key challenges found in any regional development effort: how to choose priorities when there are multiple leaders and numerous multipurpose organizations with diverse goals; how to collaborate for a locality/region while simultaneously pursuing one’s own goals; how to combine an individual leader’s priorities with collective priorities and vice versa; and how to see beyond formal structural considerations and policies to identify the ways human interactions between leaders and followers can be mobilized in a common endeavour, and by whom.

Nicholds et al. (2017) conclude that it is indeed possible to cultivate multilevel and shared place-based leadership aimed at finding third-party solutions among competing vested interests. The solutions rely upon dialogic communication (see Chapter 13), negotiation and the coordination of myriad social relationships. Studies show that place-based leadership as a specific form of leadership exists, and that it matters to the economic development of regions and cities (see e.g. Beer et al., 2019; Storper et al., 2015). However, place-based leadership is not a quick-fix recipe producing instantaneous impacts on innovation dynamics but is better framed as a long-term quest to improve regional conditions for innovation. In this kind of setting, the process of leading entails the process of following. In short, co-produced leadership with leaders and followers working together is more important (Grint, 2001).

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Regional Innovation Systems and Strategies Scholars and practitioners involved in regional development are unanimous in their belief that the innovative capacity of firms and other organizations is better served by creating regional innovation systems (RISs). Here, a RIS is an arrangement that connects the regional economy and its external links that have systemic connections for business with a second sub-system of local and global linkages, which support innovation. Also referred to as regional innovation hubs (RIH), a hub brings leading university academics together, to coordinate, collaborate and champion multidisciplinary research that can be shared, applied and benefit local business entrepreneurs. Studies of RIS have provided evidence on how regional economies can construct their own competitiveness by boosting the systems of knowledge creation and applying the knowledge to produce goods or services commercially for the national or global market. Many regions have, with varying success, attempted to formulate and implement strategies aimed at constructing high-level knowledge pools or hubs in selected areas of economic activity, and at finding ways to strengthen mutually supporting internal networks as well as pipelines to knowledge sources elsewhere in the world (Bathelt et al., 2004).

Pause and reflect

Go to the regional innovation hub at Cambridge at www.hotfrog.co.uk/business/cambridgeshire/cambridge/regional- innovation (accessed 6 October 2019). What programmes does the hub provide to promote regional innovation and advance knowledge- based growth in urban and regional economies?

Regions have different preconditions to support innovation and advance knowledge-based growth in their regions. For example,

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some regions specialize in dynamically growing new industries while others specialize in mature industries, and there are also regions specializing in several industries which are in different stages of development. Highly knowledge-intensive industries tend to cluster around universities, while the less knowledge- intensive industries tend to be located in the peripheral regions, which may not have developed a critical mass of knowledge expertise (Storper et al., 2015).

Innovation systems comprise a number of factors that influence the creation and utilization of economic opportunities. At the core of a RIS or hub is human interaction, technically called the systemic interaction to describe meetings of creative and innovative individuals, university academics and educationalists from vocational education and training institutions, finance and representatives from supporting bodies such as incubators and technology transfer centres (Cooke et al., 1997). Studies suggest that the many resources crucial for innovation are both co- constructed and exploited by individuals who are embedded in a web of regional and extra-regional informal and formal social networks.

RISs can be separated from national innovation systems. In addition to the level of resources, both physical and human, the nature and intensity of the interaction between key individuals may deviate between regions (Oughton et al., 2002). Innovation systems may also be inherently more sectoral than regional by nature, if the actors’ knowledge sources and main innovation partners are fairly alike, irrespective of location (Isaksen and Onsager, 2010). In addition to the existing preconditions, the capacity of regional actors to create new resources and exploit the existing ones varies. There is now a consensus among regional development scholars that to make a difference, regional innovation strategies need to be customized to suit the needs of the country, region and/or industry in question (Tödtling and Trippl, 2005). First, national innovation strategies have a regional impact that ought to be acknowledged whether it is intended or not. Second, regional dissimilarities in the quality and quantity of innovation activity are not limited to the performance of a RIS or the activities embedded in it, but also, in those institutions framing

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and shaping innovation, the patterns of interactions among individuals may differ (Fritsch and Stephan, 2005). Therefore, tailor-made strategies and policy instruments are required to serve regional needs but also to achieve national-level objectives effectively.

Importantly, a RIS or hub in a vibrant knowledge economy is not only regionally bounded because it is a global arena for different academics, policy-makers and entrepreneurs to source knowledge and collaborate (Crevoisier and Hugues, 2009). Even though the emphasis is on RISs, innovation processes are often multi-locational in nature. Therefore, regional systems need to be understood in wider contexts, which is why place-based leaders need also to work to establish extra-regional linkages to complement localized learning and networks.

In sum, the rationale behind regional innovation strategies is to enhance knowledge-based economic development, and more specifically, to boost collective learning for economic and social renewal through innovations. The process of place-based leaders requires leaders and followers together to create the leadership to improve a regional innovation and regional economic growth. Place-based leaders work with others to mobilize and co-ordinate resources and the competencies of many actors to change institutions, patterns of leader–follower interactions, and mindsets for innovation. In so doing, they aim to co-construct a shared vision to provide heterogeneous groups of actors with a direction.

Pause and reflect

Leadership for regional innovation is about stimulating interaction between key players, the ‘movers and shakers’ in a city or region. Thinking of your own city or region where you live or study, who are the ‘key players’? What interaction patterns exist and how might they be improved?

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Place-based Leadership By definition, a RIS is a multi-actor context, where no leader alone has the power or resources to change the system to better boost innovation processes. Place-based leadership is not the concern of public agencies or elected local/regional government alone (OECD, 2015). Indeed, the diversity of leaders and the multi-voice nature of any innovation hub may add significantly to the resources, innovation capacity and resource powers of local economies. But, to secure these advantages, place-based leaders must pool the distributed system of leadership and make it more coherent to make a difference. Consequently, as we discussed in Chapter 8 and above, leadership is concerned with marshalling, coordinating and facilitating inter-organizational development strategies and practices outside the leader’s boundary of authority across numerous institutional and organizational boundaries. This kind of leadership is labelled as place-based leadership (or regional leadership), as leaders need to have a good sense of place and its social interconnected fabric to make a difference (Trickett and Lee, 2010). A growing body of research attests to the significance of values that extend beyond self-interest in predicting individual pro-regional growth behaviours, partly explained by the evidence that place-based leaders are strongly motivated by their emotional attachment to their sense of ‘place’ and the issues they address.

Critical Insight: Embedding leadership and innovation in the fabric of place?

Place leadership is a new kid on the block both in the regional innovation and leadership scholarship. For a long time, its development was based on individual case studies and under theorized assumptions. Over the last 15 years or so, theoretical and empirical rigour as well as sophistication of the scholarship have grown. In spite of the encouraging developments, we still do not know much how place leadership is exercised in different regional

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and/or industrial cultures. Drawing upon a limited number of empirical studies, we may only assume what the similarities and differences across the globe are. In many ways, the place leadership agenda is still in an embryonic stage. Undoubtedly it has a huge potential, as first, it broadens the standard leadership approaches to cover issues related to inter-organizational regional development efforts in all sorts of locations, and second, it provides structurally oriented regional development studies with more agentic theories and methodologies. By ‘agentic’ we mean a state of mind in which an individual allows other people to direct their behaviours and pass responsibility for the consequences of the behaviours to the individual telling them what to do. To realize the potential, we need studies that approach urban and regional innovation as contested arenas for the search for many futures instead of a single pre-defined one. In other words, to understand urban and regional innovation, we need place leadership that is embedded in a deep socio-cultural understanding of power and influence systems in a specific place. All this would root regional innovation strategies in the socio-cultural– political–economic fabric of a place, instead of its administrative machinery, and a few selected stakeholders only.

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Activity Read: A. Beer, S. Ayres, T. Clower, F. Faller, A. Sancino and M. Sotarauta (2019) ‘Place leadership and regional economic development: a framework for cross-regional analysis’, Regional Studies, 53 (2): 171–182, and answer the following question: what are the similarities and differences in place leadership in the six countries compared in the article?

Pause and reflect

Why may place-based leadership be constrained in a highly centralized country? And a decentralized one? Read Mabey, C. and Freeman, T. (2010) ‘Reflections on leadership and place’, Policy Studies, 31 (4): 505–22.

Place-based leadership is not the same as local or regional government’s intervention in local economies. It is about shaping and influencing activities over which leaders have limited formal authority, but which affect regional development broadly. Place- based leaders therefore aim to attract private investment for innovation; establish innovation agendas influencing a wider set of organizations beyond short-term political cycles; construct a vision and joint narrative for the future of a regional economy; find common ground, negotiate and coordinate with higher tiers of government for investment; and stimulate demand and create markets and opportunities for a regional economy (OECD, 2015).

Place-based leaders work for a region’s or post-industrial town’s future with, by and through its inhabitants and organizations, and hence they, by definition, work to engage other actors in regional and urban development efforts. Many actors indeed contribute to efforts to upgrade RISs, but usually they are not able to move beyond self-interests, operational logics and paymasters. Therefore, place leaders are facing a notoriously difficult task in shepherding all sorts of key people towards a shared common goal. Place-based leadership can therefore be conceptualized as

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‘a process of reconciling conflicting and competing interests aimed at generating collaborative advantage and an understanding of the challenges associated with transforming places as well as organisations and capabilities’ (Trickett and Lee, 2010: 434).

Place-based leaders need to understand the opportunities and restrictions provided by the geographical location as well as the many social networks shaping its character. They need to be aware of, and continuously observe, the dominant networks internal and external to a region, and the nature of relationships between their core members. To do so means that place leaders need to identify key leaders in private and/or public sector organizations (see Chapter 15), their backgrounds, and then assess the potential for alliances. At their best, place leaders are masters in identifying what motivates other core leaders and in what ways they might be able to contribute to regional development efforts. Importantly, place leaders are supposed to be better aware of the desirable, imaginable and predictable futures of their region than anybody else.

As development of RISs is fundamentally concerned with long- term processes, place-based leadership is better conceptualized as a force in time rather than a leader–follower relationship in the here and now, and hence the leadership relationship is ambiguous (Sotarauta, 2016). In line with the contemporary leadership literature, place-based leadership is more useful when seen as a process than as an individual in possession of a formal position. Consequently, the primary emphasis is to be moved from issues related to how leaders deliberately coordinate their followers in the pursuit of a consciously absorbed objective (assigned leadership) to the in-depth scrutiny of emergent process of leading and the process of following (see Chapter 13 on the process of following). In doing so, the first step would be to see beyond assigned leadership to identify the many manifestations of place-based leadership.

In essence, assigned leaders are granted the authority to exercise power – have a formal position – to boost regional innovation. Some assigned leaders aspire to reach beyond their authorization to influence individuals and individuals in groups beyond their

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normal sphere of influence. Assigned leaders may comprise city mayors and the CEOs of local/regional economic development agencies, university research centres, and other institutional leaders whose mission it is to develop, one way or another, the city and regional economy. Assigned leaders have an organization, resources and/or a mandate to work for a RIS or some elements of it, while non-assigned leaders do not, which may impede their direct influence on others. Non-assigned leaders earn their leadership position in spite of not having a formal authority or assigned position because of the way knowledgeable others perceive their potential contribution and leadership and thus adjust their response to non-assigned leaders (Sotarauta, 2016).

In place-based leadership, however, the boundary between assigned and non-assigned leadership is ambiguous. An assigned leader may become non-assigned when they aim to reach other leaders and followers beyond those institutional arrangements from which the assignment is derived. Conversely, a non-assigned leader (e.g. a senior civil servant assigned to the hub) may gain authority if she or he can earn the respect of knowledgeable others, and/or if the institutional conditions change, thus enabling the leader to become an assigned leader. All in all, in the world of regional development and innovation, the tendency is to conflate leadership with authority and formal positions, and by doing so, overshadow some important aspects of it. It is fairly common to focus only influential individuals with authority and formal positions in the limelight. In addition to assigned leaders, it is also common to analyse the structures and processes of a city or regional government instead of processes of influence. The assigned leaders and related structures are visible, while non-assigned leaders and emergent forms of leading and following are less tangible and more difficult to identify.

In sum, a place-based leader is assumed to be more capable than other key actors in understanding the overall requirements of a RIS: a key actor’s interests; their motives and resources as well as anticipating their responses to various initiatives; the ways they might be induced to contribute to the collaborative efforts; and

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estimating the power bases of crucial actors and the capacity to influence their behaviour.

Pause and reflect

Why are some leaders willing to work beyond self-interest to spend time and energy in the effort to influence beyond their normal operational field?

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Place-based Leaders, Knowledge Producers and Decision Makers In order to better differentiate between place-based leadership and other forms of agency, three generic categories are added to that of place-based leadership: resource holders, decision makers and knowledge producers. As you have hopefully seen through this chapter, a place-based leader is an actor who works to influence other actors for regional innovation. A resource holder refers broadly to an individual or group of individuals or an organization having some kinds of resources that are, or might be, important from a regional development perspective, but who are not assigned to work for regional development. In other words, it is not their mission to shape a selected RIS or some aspects of it. Similarly, decision maker refers to all those actors having power to make decisions to influence regional development but without having a mission to do so.

Decision makers and resource holders may include: (1) influential individuals (wealthy philanthropists; entrepreneurs; business owners); (2) representatives of industry (leaders from interest organizations; cluster project organizations; larger firms with regional anchorage; local small and medium-sized companies); (3) representatives of public administration (leading civil servants at city, regional and national level; publicly owned firms; university presidents and leading academics); (4) representatives of the financial world (leaders from both private and public funding bodies; banks); and (5) elected representatives (politicians; city, regional, pan-European (e.g. EU) level representatives, etc.).

On their part, knowledge producers are those actors whose primary work it is to produce new knowledge and its applications as well as interpretations of current events and future trends. They are not working to develop a region or make significant decisions, but they may influence either directly or indirectly the thinking of others. The most obvious knowledge producers are different types of investigators and media workers, and may include (6)

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representatives of R&D institutions (universities; renowned professors; research institutions; knowledge parks; technology transfer institutions; consultancies; larger R&D projects); (7) representatives of the media (local, regional and national media organizations as well as social media); and (8) community groups (civil society activists).

Of course, the above categorization is a crude simplification, and the borders between various groups are malleable indeed; an actor may take on many roles and the roles may change in time. At all events, almost endless arrays of actors may either directly or indirectly influence and affect the process of urban and regional development. Some of the actors listed above may be assigned place-based leaders and consciously work to boost regional development or target their action at a selected local/regional aspect. It is important to keep in mind that actors aiming to influence are not some external third parties who aim to bear influence on events from above and outside, but rather they seek to influence and effect the behaviour of other actors and themselves through a process of leading and following (see Figure 17.1).

As indicated above, to improve a RIS, place-based leaders aim to influence other actors’ choices, decisions and actions by shaping institutional arrangements, collective perceptions and interaction patterns where actors assemble and engage. Place-based leaders aim to pool and direct all sorts of activities and actors to change institutions (regulations, normative expectations, collective mindsets) so that core actors behave and act differently than they would otherwise do. Ideally, place-based leaders are not aiming to break the resistance of other actors; they are not in a position to make them do something against their will, but rather to induce them to willingly do things they would not otherwise do (Sotarauta, 2016).

Figure 17.1 The relationship between place leaders, other actors and regional development and innovation

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In sum, place-based leaders often influence key actors indirectly. They:

aim at creating a novel context for collective action instead of trying directly to change the course of actions and events; induce, or rather ‘seduce’, other actors to do something differently; do not aim to challenge the preferences of the other actors but rather to combine individual aims to form collective regional objectives; aim to multiply the opportunities and alternatives for other actors.

Leadership in Action: Leadership relay in peripheral Finland

South Ostrobothnia in Finland is an example of how a small rural region may pursue a regional innovation strategy. In the 1990s, Finland was recovering from an economic recession and South Ostrobothnia was facing a huge challenge: the entire region and its centre, Seinäjoki seemed to be unsuitable for the rapidly evolving Finnish knowledge economy. The collective anxiety was palpable.

The assigned leaders from the Regional Council of South Ostrobothnia (the region), the Centre for Employment and Economic Development (the state) and the Town of Seinäjoki (the local government) met in collectively mobilized networks to discuss the future options. However, the formal regional development system was inadequately equipped for a collective strategy to emerge. The first mobilization phase exposed the fragility of the local innovation capacity and the introverted nature of it. Step by step, sometimes

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through heated debates, the key actors started to acknowledge that their assumptions and ideas reflected the past rather than the future needs of South Ostrobothnia. Gradually, over time, a collective consensus emerged that future development strategies could no longer focus on the traditional strengths of the region (agriculture, manufacturing machinery, and the metal industry) and that new strategies were needed to strengthen the innovation capacity of the region.

The leadership in South Ostrobothnia was like a relay race; it shifted from assigned leaders to non-assigned leaders and back to assigned leaders, but these were different individuals from the initial ones. In the formal planning process, it was agreed to strengthen the institutional capacity for innovation by establishing ‘a network university’ in a region, even though there were no research-intensive universities. However, the assigned leaders were not able to realize the idea of a network university. The assigned leaders were not able to persuade the small university filials in the region or other actors to develop the idea. Moreover, they lacked a view on how the process ought to be organized and enacted beyond the formal planning process.

In this context, a handful of young scholars from local university filials took the lead in framing the thinking and constructing alternative visions for a network university. Academics and their research groups tapped into sources of information that were previously unreachable by local actors. They were able to transfer new ideas and knowledge into the region in a way that was comprehensible and aligned to the regional situation. What followed was a collective agreement on what to focus on and how to do it. The university network comprised six leading Finnish universities with more than 20 senior academics and their research groups, and included all the relevant regional organizations (firms, municipalities etc.). The final mobilization of key actors, formal contracts and relationships of trust were, and is, coordinated by the South Ostrobothnia University Association and the University Consortium of Seinäjoki, with support from local and regional development agencies. By 2010, South Ostrobothnia was one of the few regions in Finland capable of upgrading its innovation system to a new level.

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Reflective questions 1. What is the main leadership lesson from this case that other

regions should learn? 2. Imagine all the obstacles that needed to be crossed to reach a

collective place-based leadership relay.

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Sources Sotarauta, M. and Kosonen, K.-J. (2004) ‘Strategic adaptation to the knowledge economy in less favoured regions: a South-Ostrobothnian university network as a case in point’, in P. Cooke and A. Piccaluga (eds), Regional Economies as Knowledge Laboratories. Cheltenham: Edward Elgar.

Sotarauta, M., Lakso, T. and Kurki, S. (1999) Alueellisen osaamisympäristön vahvistaminen: Etelä-Pohjanmaan korkeakouluverkoston toimintamalli (Strengthening the regional expertise environment). Sente-publications 4/1999. Tampere: Tampere University.

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To explore this topic further see: Sotarauta, M. (2016) Leadership and the City: Power, strategy and networks in the making of knowledge cities. London: Routledge.

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Generative Leadership – a Missing Link in Transformative Efforts The definition of place-based leadership assumes, at least implicitly, that it works for transformative changes. However, place-based leadership literature, while acknowledging the complexity of leaders influencing others in a multi-actor context, does not assume that place-based leaders are able to lead a transformational process in a similar way as leaders based in individual organizations. The well-known categories of transactional and transformational leadership we discussed in Chapter 7 are useful in the effort to understand the gap between the idealized version of place-based leadership and everyday practices of it. It also helps us to locate the generative nature of place-based leadership in wider debates on leadership.

Transactional leadership refers to actors taking the initiative in making contact with others for the purpose of an exchange of valued things. It does not connect leaders and followers in a mutual and continuing pursuit of a higher purpose. It may not be an exaggeration to argue that, in most countries and regions, regional innovation strategies and related leadership often follow the transactional mode. All too often, action is taken and new strategies formulated only when development efforts turn into transactional exchanges using public funds. Interestingly, in regional innovation literature, transformational leadership is not usually connected conceptually, even though transformational leadership could easily be seen as an ideal for both assigned and non-assigned place-based leaders to enhance change. Bass and Riggio (2006) relate transformational leadership to: (1) leaders’ charisma (idealized influence); (2) the ways leaders use symbols and images to direct their efforts (inspirational motivation); (3) the ways leaders direct others to see and think about old problems in new ways (intellectual stimulation); and (4) the ways leaders coach others to find their way to contribute to higher purposes (individualized consideration). These features might prove useful in regional contexts.

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The EU’s 2010 regional innovation strategy (smart specialization) emphasizes identification of the unique characteristics and assets of each region, underlining their competitive advantages, and the importance of ‘mobilizing regional stakeholders and resources around an excellence-driven vision of their future’ (Heimeriks and Balland, 2016: 562). A pan-European effort to reach beyond standard domains of the public sector has been launched. It would seem that smart specialization is calling for place-based leadership as a catalyst to produce major changes in structures, interaction patterns and mindsets in order to frame the process of regional innovation.

Public leadership for innovation is seldom transformational, however. In spite of the many aspirations to take steps towards more transformational regional innovation strategies by smart specialization, it may well be that it does not readily provide entrepreneurs and regional development practitioners with renewed transformational capacity (Sotarauta, 2018). Place- based leadership should not be transactional either, and research suggests that place-based leadership is more often than not generative by nature. Often, place-based leadership simply is not powerful enough to bring about transformative change. Therefore, in practice, place-based leaders generate such processes that presumably, in the course of time, lead to transformational outcomes. Generative leadership, in addition to well-developed place literacy, calls for sophisticated process literacy. The word ‘generate’ refers to a process of bringing into existence, originating by a process, or defining or originating by the application of one or more rules or operations. So, generative leadership is about setting things to move from giving birth to something new in a region. In this context, generation is geared to constructing the context for creativity and innovation, but not to product- or service-related innovation in itself. Generative leadership therefore refers to such processes that guide other actors to construct new development paths and transformation of a RIS. Drawing on the concept of followership (see Chapter 13), it seems that generative leadership needs a well-developed understanding of both the process of leading and the process of following in order to co-construct the leadership relationship at urban/regional levels. The core idea is that to achieve truly

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transformational regional innovation strategies, we need to investigate how generative leadership may lead to transformative action and bridge transactional and transformational leadership to form a coherent whole in the context of RISs.

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Criticism and Exemplary Research for Place-based Leadership Place-based leadership is a specific form of agency referring to actions or interventions to influence a wide spectrum of actors to produce a particular effect. Place-based leadership therefore is best studied in its full complexity by situating it in the flow of time. As such, it is approached as a temporally embedded process of social engagement that is informed by the past but always oriented towards open futures (Emirbayer and Mische, 1998). The main purpose is to identify: (1) what structural conditions affect transformation processes for regional innovation; (2) what the main transformational strategies adopted by place-based leaders are, independently or in collaboration with other actors, in their efforts to boost regional innovation; and (3) what place-based leaders do to generate such processes that attract core actors to contribute to the collective effort.

However, we need to be careful not to stress too much the importance of place-based leadership and finding causality between leadership and regional economic development. This might reinforce the tendency to do reminiscent single-case studies, introducing more or less imaginary causal links between improved regional innovation performance and skilful place-based leadership practices. This again might lead to one-eyed ‘happy family stories’ embedded in an assumption that local leadership practices alone might produce better regional economic development (Benneworth et al., 2017). Indeed, the need to avoid mystification of place-based leadership and the need to broaden the methodological toolkit beyond single-case studies are recognized (Beer et al., 2019). Moreover, it is crucial to keep in mind that scale of national governance system matters in place- based leadership, and the capabilities and local/regional resources required to lead across organizational divides differ greatly (Bentley et al., 2017). Ayres (2014) also warns us that place-based leadership scholars should guard against becoming self-serving, as have several scholars in other disciplines.

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Quite naturally, most of the actors comply with existing systems, but the proposition advanced here is that there are actors who lead generative processes with an ambition to transform the RISs. The proposition emerging from earlier studies on place-based leadership shows that it is not a heroic act of top-down influence but a multi-scalar (both direction and magnitude) and multi-actor process in time. It is often a collective and at best shared approach to leadership, but it may also include highly personal and intuitive, and as such unplanned, forms of agency, which is more a patchwork of single measures leading in the same direction than an implementation of a pre-designed coherent vision. At all events, the earlier observations call for a systemic approach to the study of leadership that is relational, contextual and processual by nature. It should allow for locating leadership in the actions and relationships linking leaders and followers in transformation processes and, as already said, not in the formal positions and attributes of individuals only.

Generally speaking, place-based leadership may take three forms: transformational, generative and transactional. These three forms of leadership may take specific forms in specific situations and range from futures-oriented strategic efforts to reactive adaptation. It is proposed here that there is much variety in the strategies and related actions that both assigned and non- assigned leaders may embrace in their efforts to combine and re- combine, as well as deploy and re-deploy, different competences, resources and sources of power/influence for regional innovation. Some basic research questions to explore include the following:

1. What are the main phases and critical junctures of a regional innovation process under scrutiny? How does the change process unfold in time (i.e. how the identified critical junctures are linked to each other in time)?

2. How do institutions facilitate and/or impede development efforts, and what institutions in particular are influencing efforts to boost innovation in a specific region? Do they enable, constrain and/or prevent actors aiming to do something creative?

3. Who are the key actors influencing the course of events? What roles do they possess? With whom do they work, and

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why? What role do followers play in generative leadership? How do their social positions, educational backgrounds, and/or work experiences influence the ways they adopt their roles, operate and learn what to do?

4. What kind of leadership do actors exercise in wider networks of power and influence? How do they aim to influence other actors and who are their followers? How do they interact with other key actors to influence regional development?

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Conclusion This chapter has explained that RISs are based on a conviction that dispersed and disparate knowledge across all sorts of actors needs to be connected and pooled. The many leadership efforts to achieve this vary not only between governance systems but also to some degree within them. Place-based leaders are expected to generate such a process that pools dispersed powers, capabilities and knowledge to achieve transformational changes. The belief is that by marshalling distributed assets to serve both individual and joint aspirations and goals, it is possible, through collaborative effort, to advance further than an individual leader can demonstrate alone.

As place-based leaders are expected to lead heterogenous groups of individuals and find ways to work beyond their self- interest, the concept of place-based leadership can be seen as an ideal. In reality, it may be a scarce resource in many regions. One of the main paradoxes is that although there is a demonstrable need for place-based leadership, it is evident that neither individuals nor organizational actors like to be led by external leaders (Sydow et al., 2011). Additionally, due to its nature, place- based leadership is not easy to study because it is often hardly visible, being shadowed by governance structures, formal development strategies, and legislations – an opaque form of leadership.

Place-based leadership is the generative force that causes goals to be met and identified, and missions to be accomplished in a place, rather than being a direct influence embedded in a formal organizational position. Further, a theme we have covered in several chapters is that we need to understand place-based leadership in a way that acknowledges the tensions and contradictions surrounding it in complex social entities. Thus, critical studies of place-based leadership might serve in the effort to unravel the secrets of place-specific social relations related to regional innovation. This might prove important not only in supporting mobilization or the construction of a shared vision, but

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also in identifying the covert forms of power and influence in regional development assemblies.

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Chapter Review Questions

1. Why is placed-based leadership important to urban and regional development?

2. What are the main characteristics of place-based leadership and how do they differ from those of organizational leadership?

3. How does assigned leadership differ from non-assigned leadership?

Assignment Task: Cross-culture studies of place-based leadership

Read the following two articles:

Benneworth, P., Pinheiro, R. and Karlsen, J. (2017) ‘Strategic agency and institutional change: investigating the role of universities in regional innovation systems (RISs)’, Regional Studies, 51 (2): 235– 48.

Hu, X. and Hassink, R. (2017) ‘Place leadership with Chinese characteristics? A case study of the Zaozhuang coal-mining region in transition’, Regional Studies, 51 (2): 224–34.

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Question 1. What are the similarities and differences between Chinese and

North European place-based leadership?

Go Online

Further your knowledge and build your bibliography for assignments by reading the recommended journal articles for this chapter.

Visit https://study.sagepub.com/bratton

video

Learn more about leadership in practice by watching the video conversation for this chapter.

Paul Stanley, CEO of Global Navigation Solutions, shares his experience of using the historial regional expertise of a community fostering a shared organizational culture across a multinational enterprise.

The video can be found at https://study.sagepub.com/bratton

See the inside front cover for the access code and instructions.

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Further Reading Beer, A. and Clower, T. (2014) ‘Mobilizing leadership in cities and regions’, Regional Studies, Regional Science, 1 (1): 5–20.

Gibney, J. (2011) ‘Knowledge in a “shared and interdependent world”: implications for a progressive leadership of cities and regions’, European Planning Studies, 19 (4): 613–27.

Hambleton, R. (2014) Leading the Inclusive City: Place-based innovation for a bounded planet. Bristol: Policy Press.

Sotarauta, M., Beer, A. and Gibney, J. (eds) (2017) ‘Special Issue: Leadership in city and regional development’, Regional Studies, 51 (2).

Sotarauta, M., Beer, A., Ayres, S. Clower, T., Faller, F. and Sancino, A. (2019) ‘Place leadership and regional economic development: a framework for cross-regional analysis’, Regional Studies, 53 (2): 171–82.

Sydow, J., Lerch, F., Huxham, C. and Hibbert, P. (2011) ‘A silent cry for leadership: organizing for leading (in) clusters’, Leadership Quarterly, 22: 328–43.

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Case Study: Leading innovation in Liverpool city region

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Background In the 2010s, there were 53 firms in the life-science sector alongside several R&D organizations in Liverpool City Region (LCR). On its part, the video games industry consisted of 30 firms, with fewer public organizations supporting its development. It had not been a target of local policy measures (as the life sciences were) before 2008. LCR, however, has been seen as a good place for video game firms, and reputable firms have established themselves in LCR, further drawing major cultural events and skilled individuals to work in LCR.

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The problem Local policymakers had endeavoured to diversify the entire life science concentration to become more knowledge-intensive with stronger high value-added activities. In spite of these efforts, LCR has not enjoyed a reputation as a place to do high-level life science, and consequently, life science firms have had difficulties in attracting new investment and talent with the specialist knowledge to relocate to the city.

Recent developments have seen changes in public leadership and in the two main industries. The most noticeable of the changes was the closure in 2012 of the North West Regional Development Agency (NWDA), which directly influenced the actors receiving funding from the agency. With the closure of the NWDA, the region lost the leading brokerage player. Changes in the local/regional institutional arrangements meant that new lead organizations did not have well-networked individuals and social relationships and mechanisms, which previously acted as ‘brokers’ for firms to access investment and knowledge flows from outside the LCR, notably the EU. As one researcher observed, ‘personal contacts were lost and the new governance structure brought about new ways of engaging with industry.’

Importantly, the life sciences and video games sectors were affected differently. In life sciences, the changes in public leadership led to low levels of connectivity between firms on a product-or-project basis. This was because government support became more centralized as public funds were cut. Life sciences previously had benefited from extensive investments from the public sector. In contrast, the video games industry did not suffer from the changes in public leadership as life sciences did. The industry had previously enjoyed limited public leadership and material support from the public sector, and it had also witnessed post-2010 closures of multinational studios. To complement the local knowledge ecosystem, leaders from two firms took the lead to develop new ‘tailor- made’ soft infrastructure platforms. The video games industry was less dependent on the public leadership than life sciences and was able to self-organize through business leadership. It was able too to strengthen well-established local networks and trust among the core organizations, and also to improve the earlier limited institutional arrangements supporting video game business.

In sum, place-based leadership is less about one individual leader leading a development process than a collective process emerging over a long period of time. Whereas the video game industry demonstrates how non- assigned business leaders can work collectively to improve local conditions for innovation, the life sciences, on its part, illustrates how an

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over-developed reliance on assigned leadership may lead to under- developed networks among local actors, and thus weaken non-assigned leadership. Therefore, it is crucial that leaders working to develop and improve local conditions for knowledge production and its utilization purposefully create and institutionalize soft infrastructures alongside the hard ones.

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Case exercise Thinking about the importance of brokerage – network leadership – in any effort to strengthen a RIS, working in a group or alone, write a report explaining:

1. What effect did changes in place-based leadership have in LCR’s development of two high-technology sectors?

2. Why did the changes in the governance system lead to two different trajectories for the two case industries?

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Source This case study is based on Dane Anderton (2016) ‘Science in the city region: establishing Liverpool’s life science ecology’, Regional Studies, Regional Science, 3 (1): 437–44.

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Sources of additional information Liverpool city region (www.liverpoolcityregion-ca.gov.uk) Combined Authority factsheet for Liverpool City Region (www.centreforcities.org/combined-authority/liverpool-city-region) Liverpool city region + a science and innovation audit (www.liverpoollep.org/wp-content/uploads/2017/09/LCR-SIA-full- report-and-appendices-FINAL-September-2017.pdf).

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1074

Zaleznik, A. (1983) ‘The leadership gap’, Washington Quarterly, 6 (1): 32–9.

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1075

1076

Index

A Aagaard, P., 347 Abel, C.F., 64, 68 achievement-oriented style, 140–141, 140 Ackers, P., 90, 96 action learning, 281–282, 281 activities, 18 Adams, J.S., 304 advocacy, 308–309, 309 agreeableness, 127–128, 129, 130, 178, 295 Agri-Tru, 191–193 Agyeman, J., 378 Ahlstrand, B., 39, 43 Aitken, G., 240–241 Alban-Metcalfe, J., 26, 351–352 Alderfer, C.P., 302–303, 303 Alford, C.F., 299 alienated followers, 298, 298 Alimo-Metcalfe, B., 26, 351–352 All India Democratic Women’s Association (AIDWA), 327 Almatrooshi, B., 250 Alvesson, M., 80, 84, 85, 91, 92 Amazon, 186 ambidexterity, 50 Analytica Infoservices, 219–220 Andersen, J.A., 246, 259 Antonacopulou, E.P., 273 Antonakis, J., 23, 130, 156 Apple, 51, 53, 54–55 appreciative inquiry (AI), 310 Ariss, A.A., 226 Aristotle, 106, 151–152 Armstrong, M., 248 artifacts, 85–87, 86, 368–369 artificial intelligence (AI), 40, 46, 117, 328 Ashley, M., 128

1077

assertiveness, 81 Australian Transaction Reports and Analysis Centre (AUSTRAC), 120–122 authentic leadership, 23, 107 authority-compliance style, 136–137, 136 Avedon, M.J., 229 Avolio, B.J., 159

B Bach, S., 231, 347 Baird, K., 48 Bakan, J., 58 Bakhtin, M., 308 Baldamus, W., 72 Balland, P-A., 398 Bandura, A., 297 banking, 120–122 Barling, J., 21, 367 Barney, J.B., 227 Baron, L., 276 Barra, M., 324–325 Barthelemy, C., 363 basic assumptions, 87 Bass, B.M.

on charisma, 156 on leaders vs. managers, 21 on leadership theories, 23 on transformational leadership, 107, 159–165, 161, 214, 214, 253, 257, 398

Bassman, E.S., 68 BBC, 378–379 Beer, A., 388 Beer, M., 209–210, 209, 253 behavioural theories of leadership, 22, 24, 126, 133–138, 136 behaviouralism, 301 Bendick, M., 319 Bendl, R., 334–335 benevolent-authoritative system of management, 135 benevolent paternalism, 133 Benn, S., 379

1078

Bentham, J., 106 Berger, P., 207 Bessant, J., 45, 46 Bezos, J., 186 Bhote, K.R., 254 Big Five personality framework

followership and, 294, 295, 295, 300 leadership and, 127–128, 129, 178

Blake, R.R., 136–137, 136, 160, 298 Blanchard, K.H., 138, 141 Bligh, M.C., 291, 311–312 Bluespire Technologic, 145–147 Blumenthal, D., 109 Boak, G., 347 Boath, R., 127 Bohm, D., 307 Boiral, O., 365 Bolton, S., 68–69 Boon, C., 345 Boston, S., 256 Boudreau, J.W., 364 Boxall, P.F., 199, 207, 210 Boyatzis, R.E., 273 Boyne, G., 352–353 BrainChip, 117 Branson, R., 12, 33 Bratton, A., 371 Bratton, J., 199–200, 204, 207, 247, 371 breakthrough innovations, 45 Brexit, 388 bribery, 112–113 BRICS (Brazil, Russia, India, China and South Africa), 336– 337 Briggs, K. See Myers-Briggs type indicator (MBTI) Broussine, M., 347, 348 Brown, D.J., 260 Brown, M., 262–263 Bruntland Commission, 361 Bryan, M.L., 261 Bryson, A., 261

1079

bullshit jobs, 42 bullying, 18–20, 44, 68–69 Burgoyne, J., 270 Burke, C.S., 183, 185 Burns, J., 127 Burns, J.M., 13, 158, 159 Bush, C., 69 business-level strategy, 42, 43 business partner model, 213 Buttel, F.H., 377

C Callahan, R., 347, 348 Cambridge Analytica, 292–293 capabilities, 273–274. See also competencies Cappelli, P., 225 Carillion, 93–94, 277–278 Carpenter, M.A, 251 Carrie Wong, J., 128 Carsten, M.K., 292 Cattell, R.B., 295 ceremonies, 86, 86 Chakraborty, A., 19 Chambers, E.G., 224 Chandler, D., 321 Chandler, R., 232 change, 369 change behaviours, 257, 258 charismatic authority, 153–155 charismatic, ideological and pragmatic (CIP) model of leadership, 27, 163 charismatic leadership

criticisms of, 165–166 innovation and, 51 neo-theories of, 155–158 overview of, 23, 24, 150–155 See also transformational leadership

Chinander, K.R., 375 Christensen, C.M., 46, 48 Christie Commission (2011), 235–236

1080

Churchill, W., 142, 154 CIPD (Chartered Institute of Personnel and Development)

on diversity and inclusion, 334–335 on employee relations, 205 on HR planning, 201 on human resource management, 213 on performance management, 246–247, 249, 255 on power in the workplace, 28 on PRIMO-F analysis, 41 on talent management, 225

Ciulla, J.B., 110, 116 Civil Service, 264–265 classical relational studies, 173 Clinton, H., 322–323 Clower, T., 388 coaching, 278–279. See also executive coaching coaching style of leadership, 142, 142 Coan, P., 368 coercive power, 61, 68–69. See also bullying cognitive ability, 129, 130, 251. See also intelligence cognitive theories, 301 collaborative talent management, 234–236 Collinson, D., 291, 299 communication, 306–310, 308–309 competencies, 23, 24, 183–184, 213, 248, 250–251, 273–274 concern for people, 136–137, 136, 160 concern for results, 136–137, 136 concertive action, 348 conformist followers, 298, 298 Conger, J.A., 157–158 conjoint agency, 348 connective leadership, 330 conscientiousness, 126, 127–128, 129, 130, 295 consequentialism (utilitarianism), 106 consideration, 24, 134–135 constructionism, 175–176, 176, 180–182, 182 consultative system of management, 135 content theories of motivation, 301–303, 301, 303 contingencies, 18, 138 contingency theories of leadership

1081

case study: Bluespire Technologic, 145–147 criticisms of, 143 overview of, 23, 25–26, 126, 138–142, 140, 142

contingent reward, 161, 214, 214 conversational leadership, 309–310, 310 Cooke, R.A., 84–85 Coons, A.E., 134–135 corporate environmental performance, 361–362 corporate ideology, 51 corporate-level strategy, 42–43 corporate social responsibility (CSR), 114, 362 Corruption Perceptions Index (CPI), 119 cost-effectiveness, 207 countercultures, 82, 83 country club style, 136, 137 Cox, A., 372 Coyne, I., 68 Crane, A., 369 creativity and creative thinking, 48, 49–50 crisis hypothesis, 158 critical human resource management (CHRM), 207–208 critical leadership studies (CLS), 28–30, 59 critical realism, 132 critical theory, 261–262 critical thinking, 272–273 Crowley-Henry, M., 226 cultural congruence, 368 cultural-historical activity theory (CHAT), 180 culture

concept of, 80–81 motivation and, 300–301 trait theories of leadership and, 131 See also national culture; organizational culture

Currie, G., 346 cycling, 61

D Dahl, R., 60 Dahya, J., 352–353 D’Annunzio-Green, N., 225

1082

Danowitz, M.A., 320 Dark Triad, 294, 296, 300 Darkest Hour (film), 142, 154 Davies, R., 93 Davis, M.C., 368 Day, D.V., 270, 274, 276, 277 decision makers, 394–395 decision-making roles, 18 decision-making skills, 24 delegating style of leadership, 142, 142 Deloitte Millennial Survey, 117 Den Hartog, D.N., 345 Denham, D. Denti, L., 49 Denton, D.K., 374 deontology (Kantianism), 106 descriptive approach to dialogue, 308–309, 309 deviance, 83 Dhiman, S., 258–259 dialogic mode of communication, 307–310, 308–309 dialogue, 180 differentiation strategy, 43 digitization, 117 Dilchert, S., 361, 365 Dion, M., 107 direct engagement, 95–96 direct leadership, 14 directing style of leadership, 142, 142 directive behaviour, 141, 142 directive style of leadership, 140–141, 140 dispersed theories of leadership, 70–71 disruptive innovation, 46 distributed theories of leadership

criticisms of, 188–189 followership and, 291 leadership development and, 283–284 overview of, 23, 26, 172, 183–187, 185 in practice, 187–188, 187 public sector organizations and, 346–352

distributive justice, 304

1083

diversity and inclusion case study: BRICS countries, 336–337 future challenges for, 329–330 glass ceiling and, 29, 322–323 glass cliff and, 29, 322, 323–325, 326–327 glass escalator and, 29 intersectionality and, 131, 321–322 nature of, 318–322 See also women and gender issues

Docherty, P., 361 dominant culture, 82–83 domination, 153 Downey, M., 278 Drucker, P., 253 DuBrin, A.J., 108 Durkheim, É., 82, 89 Dworkin, T.M., 325 dyadic relationships, 176–180, 176–177 Dykes, A., 114 Dyllick, T., 364

E Eaton, J., 279 Eberhardt, D., 257 ecology, 40–41. See also environmental sustainability economic globalization, 40 economic man, 251–253 economic power, 15, 18–20 Edelman Trust Barometer, 108–109, 110 education sector, 87, 346, 351 Edwards, M.R., 231 effective followers, 298, 298, 300 Egri, C.P., 367 elite power, 29 Elkington, J., 362 Elvin, C., 257 Ely, R.J., 331 Emmott, M., 95 emotional intelligence (EI), 126–127, 160, 178, 250–251, 274 emotional stability, 127–128

1084

employee engagement, 95–96, 108 employee orientation, 133, 134, 135 employee relations, 205–206 employee value proposition (EVP), 230 employee voice, 95–96, 164, 205–206, 375–377, 376 employees’ pro-environmental behaviours, 365 employer brand, 230 employment relationship, 14, 15–16, 30–31 empowered leadership, 23, 26 Engelbrecht, A., 108 environmental analysis, 38, 39 environmental management systems (EMS), 365–366 Environmental Protection Agency (EPA), 99–100 environmental sustainability

behavioural theories of leadership and, 24 case study: NHS Scotland, 382–383 critical perspectives on corporate approaches to, 377– 379 drivers of, 380–381 employee voice and, 375–377, 376 environmental management systems and, 365–366 human resource management and, 360, 365, 369–376 leadership and, 366–368 nature of, 360–364 organizational culture and, 366, 368–371, 370 strategic management and, 39, 40–41 workplace pro-environmental behaviour and, 362, 364– 365, 382–383

Epictetus, 67–68 Epitropaki, O., 179, 180, 181, 182 equal opportunity (EO), 319, 332–333 equity theory, 179, 303–304 ERG theory, 302–303, 303 ethical behaviour, 166, 178 Ethical Consumer, 111, 111 ethical leadership

case study: Australian finance sector, 120–122 context, rhetoric and reality in, 113–117 dimensions of, 108–109 failures in, 109–113, 111

1085

nature of, 104–105 philosophical approaches to, 105–108 strategic management and, 41

ethics of responsibility, 106 Euchner, M., 48 European Foundation for Quality Management (EFQM), 31– 32 European Union (EU), 398 evaluation, 276–277 exclusive talent management, 227–228 executive coaching, 275–276 expectancy theory, 304–305, 305 experiential learning, 202–203, 272, 278–279 expert power, 61 exploitative-authoritative system of management, 135 extraversion (extroversion), 126, 127–128, 129, 130, 294, 295 extrinsic motivation, 301 extrinsic rewards, 204, 231 Eyers, J., 121 Eysenck, H.J., 294, 295

F Facebook, 292–293 Farquharson, L., 317 Fayol, H., 17, 17 Featherstone, T., 115 feminism, 29, 90–91 Ferlie, E., 95 Fiedler, F.E., 138–140 Field, R.H.G., 25 finance, 42, 120–122 Fineman, S., 369 Finland, 98, 164, 396–397 Fitzgerald, L., 349 Fleming, P., 71, 97 flexibility, 207 focus strategy, 43 Follett, M.P., 290 followership and follower-centric models

1086

case study: HealthOrg, 313–315, 313 dialogic conversation and, 306–310, 308–309, 310 follower behaviour and motivation and, 300–306, 301, 303, 305 follower behaviour and personality and, 293–300, 295– 296, 298 nature of, 22, 26–28, 50, 172, 290–293, 292

Fombrun, C., 208–209 Fones-Wolf, E., 94 Forbes (magazine), 112 Ford, H., 252–253 Fordism, 252–253 Forsyth, D.R., 110, 116 Fortune (magazine), 109, 112 Foucault, M., 63–64, 65–66, 70, 71–72, 84 four-player model, 309, 310 four systems of management, 135 Francis, H., 289 Frederiksen, M., 328 French, J.R.P., 61–62, 68 Friedman, M., 94, 158 functional-level strategy, 42, 43 functionalism, 28, 82–83, 89–90 future orientation, 81

G Gandhi, M., 154 Garavan, T.N., 231 Gardner, R., 107 gender. See diversity and inclusion; sexual harassment; women and gender issues gender egalitarianism, 81 gender pay gap, 325 generative leadership, 398–399 Gerhart, B., 215 Giddens, A., 61, 80, 156 glass ceiling, 29, 322–323 glass cliff, 29, 322, 323–325, 326–327 glass escalator, 29 goal-setting theory, 305–306

1087

Goffman, E., 299 Gold, J., 199–200, 204, 207, 232, 247, 271 Goodwin, F., 127 Gordon, R., 70 Gottung, L., 256 Graen, G.B., 291 Gramsci, A., 63, 64–65, 65–66, 83 Grant, K., 223 Grant, R.M., 36–37 ‘Great Man’ theories, 23 green human resource management (GHRM), 365, 369–376 Green, P., 12, 68 Grint, K., 15, 21, 66, 254 Gronn, P., 283–284, 291, 348 group-level relationships, 176, 176, 180–182, 182 Gryn, N., 307 Guest, D., 96 Guthey, E., 92–93

H Haines, V.Y., 251 Hakim, D., 363 Hall, D., 346 Hall, S., 80–81 Hambleton, R., 388–389 Hampden-Turner, C., 83, 91–92 Handy, C., 84 harassment, 68. See also bullying; sexual harassment Harris, L.C., 369 Harte, G., 369 Harvard Business Review (journal), 108–109 Harvard model of HRM, 209–210 Hatum, A., 230 Hawthorne Experiments, 253 Hayek, F. von, 94 Hays-Thomas, R., 319 HealthOrg, 313–315, 313 Hearn, J., 60–61, 322 Heckman, R.J., 225 hegemony, 64–65, 83

1088

Heimeriks, G., 398 Heizmann, H., 64 Hemlin, S., 49 Henley, J., 164 Heracleous, L.T., 308 Herman, S., 367 Hern, A., 186 Hersey, P., 138, 141 Herzberg, F., 301–302 Hewlett, S.A., 337 Heyes, J., 379 hierarchy of needs theory, 301, 302–303, 303 hierarchy of strategy, 42–43 high-performance work system (HPWS), 261, 371–372 Hill, C., 36 Hitler, A., 107 Hobbes, T., 106 Hockerts, K., 364 Hoel, H., 69 Hofstede, G., 81, 92 Holder, E., 44 Holton, E.F., 275 Homeboy Industries, 74–75 Hood, C., 344–345 Hook, L., 360 House, R.J., 24, 25, 138, 140–141, 155–156 Howell, J.P., 291 HR planning (HRP), 201 hubris, 115–116 Hughes, O., 344 Hughes, R.L., 163 human orientation, 81 human relations movement, 133, 253 human resource development (HRD), 202–203 human resource management (HRM)

case study: Analytica Infoservices, 219–220 criticisms of, 215–216 distributed theories of leadership and, 184, 187–188 employment relationship and, 30–31 environmental sustainability and, 360, 365, 369–376

1089

ethical leadership and, 115–116 leader–follower relationships and, 198–199 leadership and, 213–215, 214 motivation and, 300 nature of, 199–200 power and, 72–73 relational leadership and, 178 scope and functions of, 200–208, 203, 206 theoretical models of, 208–214, 209, 211–212 See also talent management

Hume, D., 106 Hunt, V., 320 Hutton, W., 216

I iceberg (metaphor), 86–87, 86 idealized influence, 160, 214, 214 ideology, 94–95 idiographic approach, 294, 297 impoverished style, 136, 137 in-group, 179 in-group collectivism, 81 inclusion. See diversity and inclusion inclusive talent management, 228–229, 233 incremental innovations, 45 indirect employee voice, 96 indirect leadership, 14 individual performance appraisals (IPA), 202, 248, 250, 260– 262 individualism, 94–95 individualized consideration, 160, 214, 214 inequality, 29–30 influence, 14–15, 16, 26 informational roles, 18 initiating structure, 24, 134–135 innovation

case study: Steve Jobs, 54–55 external and internal contexts drivers of, 47–48 leaders’ roles in, 49–51, 49 micro-environment and, 41

1090

nature of, 45–46 See also urban and regional innovation

inquiry, 308–309, 309 inspirational motivation, 160, 214, 214 institutional collectivism, 81 integrity, 128 intellectual stimulation, 160, 214, 214 intelligence, 128, 129. See also cognitive ability; emotional intelligence (EI) Intergovernmental Panel on Climate Change (IPCC), 360 international human resource management (IHRM), 200 interpersonal roles, 17–18 interpersonal skills, 24 intersectionality, 131, 321–322 intersubjectivity, 180 intrinsic motivation, 301 intrinsic rewards, 204, 231 introversion, 126 introversion–extroversion framework, 294 Ive, J., 54

J Jabbour, C.J.C., 375 Jabri, M., 85–86 Jackson, B., 92–93 Jackson, S.E., 320 Jacobs, C.D., 308 Jaussi, K.S., 50 Jenkins, R., 127 job description, 201 job design, 187 Jobs, S., 12, 54–55 Johnson, B., 150, 156–157 Johnstone, S., 96 Jones, G., 36 Joshi, A., 320 Judge, T.A., 107, 128, 129, 130, 304 Jung, C.G., 295

K

1091

Kahn, R.L., 134 Kalanick, T., 12, 44–45, 128 Kalaris, T., 127 Kant, I., 106 Kanter, R., 90 Kantianism (deontology), 106 Kantor, D., 309, 310 Kanungo, R.A., 157–158 Katz, D., 134 Kelan, E.K., 331 Kelly, R.E., 234, 291, 298, 298, 300, 375 Kenerley, M., 248 Kennedy, S., 362 Kepes, S., 202 Kessler, I., 347 Kim, H., 107 Kim, T., 107 Kimberly-Clark Corporation, 256–257 King, P., 279 Kirkland, R., 238–239 Kirkpatrick, D.L., 277 Kline, P.E., 295 knowledge, 25, 28 knowledge producers, 394–395 Kohles, J.C., 291 Kolb, D.A., 202–203, 203, 272 Kotter, J., 367–368, 369 Kouzes, J., 21, 162, 164 Kramp-Karrenbauer, A., 328

L Lämsä, T., 98 language, 85, 86, 368–369 Larkin, R., 103 Lawrence, P., 66–67 Lazy K, 284–285 Le Pen, M., 157 Leader Behaviour Description Questionnaire (LBDQ), 134– 135 leader-centric models, 22, 23–25, 26–28, 250

1092

leader–follower pay gap, 204–205 leader–follower relationships, 18–20, 30, 67–73, 138–140, 198–199. See also followership and follower-centric models leader–member exchange (LMX) theory

case study: Agri-Tru, 191–193 criticisms of, 188, 189 employee voice and, 206 followership and, 291 overview of, 26, 177–180, 190 performance management and, 261–262

leadership culture and, 91–96 vs. management, 16–21, 20 power and, 67–73 role of leaders and, 20–21

leadership and management development (LMD), 31–32, 137, 146 leadership competencies, 250–251 leadership development

approaches to, 275–282, 281 capabilities and, 273–274 case study: Lazy K, 284–285 dialogic conversation and, 310 organizations and, 269–272, 271 overview of, 268–269 reflection and critical thinking for, 272–273

leadership grid, 136–137, 136 leadership labyrinth, 322–323 leadership theories, 22–28, 22–23. See also specific theories leadership training, courses and programmes, 275 learning. See action learning; experiential learning; work- based learning Least Preferred Co-worker (LPC) Scale, 139–140 legal context, 41 legends, 85–86, 86 legitimate power, 61 Lemieux, T., 261 Lewin, K., 369 Lewis, D., 292 Lewis, R.E., 225

1093

Licuanan, B., 49–50 Liddle, J., 343 Liden, R.C., 178 Likert, R., 135 Lim, V., 262–263 Lindsay, C., 339 Lipman-Blumen, J., 330 Liverpool City Region (LCR), 403–404 Lord, R.G., 260 Louvrier, J., 322 low-carbon work system (LCWS), 371–372 low-cost leadership strategy, 43 Lukes, S., 61–63, 65–66 Lund, H.L., 376, 376

M Machiavelli, N., 13 Machiavellianism, 296 macro environment, 37, 39, 40–41 Majkovic, A., 257 management-by-exception (MBE), 161, 214, 214 management by objectives (MBO), 253 management innovation, 48 managerialism, 89–90 managers and management

vs. leadership, 16–21, 20 organizational culture and, 92 power and, 67–73 role of, 17–21, 17 See also strategy and strategic management

Mandela, N., 154–155 Manpower Group, 332 Marchington, M., 345 marketing, 41 Marques, J., 258–259 Martin, G., 350–351 Martin, J., 84, 90 Marx, K., 29, 46, 59, 62, 90 Maslow, A.H., 301, 302–303, 303 Mason, P., 42, 299

1094

Maude, F., 264 May, T., 150, 323 Mayer, M., 326–327 Mayo, E., 253 Mazzucato, M., 51, 162 McCann, L., 343–344 McClelland, D.C., 302 McCrone, D., 82 McGill, P., 275 McGregor, D.M., 253 McGuire, M., 347 McGurk, P., 345 McKinlay, A., 71–72 McKinsey & Company, 224, 320 Mead, G.H., 172–173, 174, 180 Meindl, J.R., 291 Mendez, M., 291 mentoring, 279 meritocratic extremism, 28, 51 Merkel, A., 328 #MeToo movement, 327 Meyers, M.C., 225–226 Mezirow, J., 272 Michaels, E., 145 Michigan model of HRM, 208–209 micro-environment, 37, 41–42 micro human resource management (MHRM), 200, 206 middle-of-the-road style, 136, 137 Migration Advisory Committee (MAC), 226 Mill, J.S., 106 millennial generation, 329 millennials, 117 Mingers, J., 272–273 Mintzberg, H., 38, 183 mission and goals, 38 Monbiot, G., 62–63 money laundering, 112–113, 120–122 Monks, C.P., 68 monologic mode of communication, 307 Montabon, F., 375

1095

Mor Barak, M.E., 320 Morgeson, F.P., 190 Morin, L., 276 motivation, 300–305, 301, 303 Mouton, J.S., 136–137, 136, 160, 298 Mulligan, D., 238–239 Mullin, R., 113 multifactor leadership questionnaire (MLQ), 162–163 multinational corporations (MNCs), 81, 111, 186, 200, 224 Mumford, M., 49–50 Murphy, J., 57 Myers-Briggs type indicator (MBTI), 294, 295–296, 296 Myers, D., 300 Myers, I. See Myers-Briggs type indicator (MBTI) Mzimela, S., 12

N narcissism, 296 national culture

leadership and, 93–95 nature of, 80–83, 96–97 See also organizational culture

National Health Service (NHS), 87, 348–350, 354–355. See also NHS Scotland Neely, A., 248 neoliberalism

criticisms of, 41, 51, 95 emergence of, 94–95 followership and, 299 interregional inequality and, 388 leadership and, 22 nature of, 40 organizational culture and, 83–84 performance management and, 261 power and, 29, 39

neuroticism, 129, 130, 294, 295 New Labour government (1997–2010), 343–346 ‘new leadership’ model, 24, 150, 162 new public management (NPM), 340, 341, 343–346, 351 Newton, T.J., 369

1096

NHS Scotland, 347, 356–357, 382–383 Nicholds, A., 389 Nietzsche, F., 175 Nkomo, S.M., 319 Noble, R., 257 Nolan, P., 379 nomothetic approach, 294 Norma Rae (film), 144 Northern Ireland, 76 Northouse, P.G., 81 Norton, T.A., 89, 362, 368

O Obama, B., 155, 325 O’Carroll, L., 226 OECD (Organisation for Economic Co-operation and Development), 45–46, 325 Office for National Statistics (ONS), 217 Office of the Deputy Prime Minister (ODPM), 236 Ohio State University studies, 133, 134–135, 136, 141 Olsson, M.R., 64 Ones, D.S., 361, 365 Ongaro, E., 95 ontology, 175–182, 176–177, 182 openness, 127–128, 129, 295 operations, 41–42 Orazi, D.D., 348 Organisation for Economic Co-operation and Development (OECD), 45–46, 325 organizational charisma, 156 organizational climate, 88–89, 88, 188 organizational creativity, 48 organizational culture

case study: Volkswagen, 99–100 concept of, 80, 83–88, 86 distributed theories of leadership and, 188 environmental sustainability and, 366, 368–371, 370 ethical leadership and, 113–114 evaluation and criticism of cultural theory and, 96–97 leadership and, 91–96

1097

organizational climate and, 88–89, 88 perspectives on, 89–91 See also national culture

organizational design (structural design), 187 organizational leadership

case study: Virgin Group, 33 definitions of, 13–16, 14 levels of, 43–44 media coverage of, 12 research on, 13 strategy and, 38, 39–45

organizational performance, 44, 250–252. See also performance management (PM) O’Riordan, T., 377 orthodox theories, 70, 71 out-group, 179 Oxfam, 66–67

P Padavic, I., 332 paradox of consequence, 30 paradoxical leadership, 189 participative style, 140–141, 140 participative system of management, 135 passive followers, 298, 298 path–goal theory, 138, 140–141, 140 Pearce, C.L., 187–188, 189 people, 41 people-oriented behaviours, 24 perception, 178 performance appraisal system (PAS), 92 performance management (PM)

case study: UK Civil Service, 264–265 criticisms of, 260–262 determinants of, 250–252, 251 environmental sustainability and, 375 history of, 252–254 leadership and, 257–260, 258 nature and purpose of, 246–250, 249 process of, 255–257

1098

public sector organizations and, 352–353 talent management and, 230–231 See also individual performance appraisals (IPA)

performance orientation, 81 performance-related pay, 231 Perron, G.M., 373, 375 personality, 293–300, 295–296, 298. See also Big Five personality framework; trait theories of leadership personnel specifications, 201 philosophical egoism, 106 Pickett, K., 188 Piketty, T., 51, 204 Pinder, C.C., 300 place-based leadership, 342, 386–389, 391–397, 396, 399– 401 Plato, 13, 106 pluralist model, 96 policing, 76 politics, 41 Porter, M., 43 Portugal, E., 342, 367, 386 position power, 139–140 positivism, 175–180, 176–177 Posner, B., 21, 162, 164 power

case study: policing in Northern Ireland, 76 charismatic-transformational leadership theories and, 165–166 concept and theories of, 28–29, 58–67, 65–66 contingency theories of leadership and, 139–140 employment relationship and, 30 empowered leadership and, 26 human resource management and, 207 knowledge and, 25 management and, 67–73 sexual harassment and, 19 strategic management and, 39

power distance, 81 pragmatic followers, 298, 298 prescriptive approach to dialogue, 307–308, 308

1099

pride, 115–116 PRIMO-F analysis, 39, 41–42 pro-environmental behaviours and leadership. See environmental sustainability process innovation, 46 process theories of motivation, 301, 301, 303–306, 305 processes, 18 product innovation, 46 production orientation, 133, 134, 135 psychodynamic approach to leadership, 23 psychological contract, 16, 30, 178, 205, 302 psychological prism, 15 psychopathy, 296 psychoticism, 294 public sector organizations

case study: NHS Scotland, 356–357 challenges of leadership in, 341–342, 350–352 distributed theories of leadership and, 346–352 nature of, 340–341 performance management and, 352–353 strategic management and, 37 talent management and, 235–236 transformational leadership and, 341, 343–346

Purcell, J., 39, 43, 199, 207 PwC, 332

Q Quazi, H.A., 259

R racial minorities, 325. See also diversity and inclusion Ramstad, P.M., 364 Ramus, C.A., 203 ‘rank and yank’ system, 264–265 rational-legal authority, 153 Raven, B.H., 61–62, 68 Reagan, R., 94 reciprocal process, 14, 16, 26 recruitment and selection, 201–202, 372–373 Reeves, R., 242

1100

referent power, 61 reflection, 272–273 reflectiveness, 180 reflexiveness, 174 regional innovation. See urban and regional innovation regional innovation systems (RISs), 389–391. See also place- based leadership regional leadership. See place-based leadership Reichers, A., 88 Reinharz, S., 25 relational leadership

case study: Agri-Tru, 191–193 classical theories of, 172–174 contemporary theories of, 174–182, 176–177, 182 criticisms of, 188 overview of, 23, 172, 173 talented followership and, 233–234

relationship behaviours, 133, 257, 258 relationship-oriented leaders, 138–140 reliability, 202 Renwick, D., 365 Research in Motion (RIM), 53 Resick, C., 108 resource-based view (RBV) of the firm, 227, 231 resource holders, 394–395 resources, 41 reward power, 61 rewards, 203–204, 231, 374 Ricardo, D., 46 Riggio, R.E., 159–165, 161, 214, 214, 253, 257, 398 Ringel, M., 48 rituals, 86, 86 Robbins, S.P., 304 Robertson, J.L., 21, 367 role set, 16 roles, 16–21 Rosener, J., 329–330 Rotter, J.B., 297 Rousseau, D.M., 84–85 Royal Bank of Scotland, 240–242

1101

Royal Ulster Constabulary, 76 Ruh, R.A., 253 Rusua, G., 251–252 Ryan, G., 251 Ryan, P., 121

S Sabbagh, D., 226 Salaman, G., 29 Salin, D., 69 Sanders, W.G., 251 saviour effect, 324 Schein, E., 86–87 Schmidt, O., 100 Schneider, R., 88 Scholes, G., 229 scientific management, 133, 252–253 Scott, B., 245 Scottish Limited Partnerships (SLPs), 112–113 Scouler, J., 69 Seidle, B., 342–343 Selden, S., 255 self-concept, 180, 297 self-confidence, 115–116 self-control, 294 self-efficacy, 297 self-identity, 156, 297 self-leadership, 70–71 self-management work teams (SMWT) movement, 184 Senge, P., 183, 369 Sennett, R., 66 sensemaking, 163, 180–182, 182 servant leadership, 23, 26, 107 sexual harassment, 18–20, 28–29, 44 Shah, O., 68 Shamir, B., 156 shared assumptions, 86, 87 shared leadership, 348–350, 356–357. See also distributed theories of leadership shared values, 86, 87

1102

shareholder value, 51 Shein, E.H., 307, 308 shell companies, 112–113 Shils, E., 165–166 Silicon Valley, 161–162 Silva, C., 347 Simmel, G., 172–174 situational leadership theory

case study: Bluespire Technologic, 145–147 overview of, 23, 25–26, 138, 141–142, 142

Skilling, J., 107 Skyscanner, 232–233 small and medium-sized enterprises (SMEs), 270 smart specialization, 398 Smith, B., 349 social capital, 188 social-cognitive theory, 297–300, 298 social conflict, 90 social exchange theory, 23 social intelligence (SI), 24, 250–251 social justice, 378–379 social legitimacy, 207 social man, 253 social power, 58 social triangle, 66 socio-cultural factors, 40 sociological prism, 15 Solon, O., 128 Sørensen, P., 275 Sotarauta, M., 385 South Ostrobothnia (Finland), 396–397 Sowa, J., 255 Spicer, A., 71 Spicker, P., 343, 353 The Spirit of ‘45 (film), 154 Squires, G., 18 St-Onge, S., 251 stability–instability, 294 Standing, G., 217 Starkey, K., 71–72

1103

Stech, E.L., 299 STEEPLE analysis, 39, 40–41 Steger, U., 203 Steidlmeier, B., 107 Stewart, J., 202 Stewart, M.M., 319 Stiglitz, J.E., 204 Stogdill, R.M., 13, 129, 130, 131, 134–135 Storey, J., 199, 210–212, 211–212 stories, 85–86, 86 strategic formulation, 38 strategic human resource management (SHRM), 200, 206, 320 strategy and strategic management

concept of, 31, 36–39, 37 evaluation and criticism of, 51 leadership and, 38, 39–45

strategy evaluation, 38, 39 strategy implementation, 38, 39 Strauss, A., 175 structural design (organizational design), 187 structure, 42 Strycharczyk, D., 257 Su, S., 48 Subašic´, E., 331 subcultures, 82, 83 Sumner, J., 364, 379 supporting style of leadership, 142, 142 supportive behaviour, 141, 142 supportive style, 140–141, 140 sustainability science, 361. See also environmental sustainability sustainable competitive advantage, 226, 227, 237 Sutton, P.W., 80 Svensson, G., 259–260 Swan, M., 332 Sweden, 98 SWOT analysis, 39, 42, 227 symbolic interactionism, 90 Synder, B., 127

1104

T talent attraction, 230 talent development, 231–232 talent management

case study: Bluespire Technologic, 145–146 case study: Royal Bank of Scotland, 240–242 collaboration and, 234–236 criticisms of, 236–237 leadership and, 229–234 nature of, 224–229

talent mobilization, 232 talent pools, 226 talented followership, 233–234 tall poppy syndrome (TPS), 323 Tapia, A., 321 task behaviours, 133, 257, 258 task-oriented behaviours, 24 task-oriented leaders, 138–140 task structure, 139–140 Taylor, F.W., 17, 133, 252–253 Taylor, P., 254 Taylor, S., 12, 248 Taylorism, 252–253 team-based leadership, 70–71 team-level strategy, 42, 43 teams and team leadership, 184–186, 185. See also distributed theories of leadership technology, 40. See also innovation Tesco, 69 Thatcher, M., 94, 155 Thayer, L., 181 Thomas, R.R., 319 Thornton, A., 276 Thorpe, R., 277 Thunberg, G., 35 Tidd, J., 46 Time (magazine), 112 Townley, B., 72–73, 254, 261 trade unions, 376–377 traditional authority, 153

1105

training and development, 202–203, 203, 373–374. See also leadership development trait activation theory (TAT), 127 trait theories of leadership, 22, 23–24, 126–133, 129 trait theory of personality, 294. See also Big Five personality framework transactional leadership, 50, 158–159, 202, 305, 398–399 transformational leadership

case study: Watson Winery, 168–169 criticisms of, 165–166 diversity and, 321 ethical leadership and, 107 human resource management and, 214, 214 innovation and, 50 overview of, 23, 150, 158–165, 161 performance management and, 253, 257 public sector organizations and, 341, 343–346 urban and regional innovation and, 398 See also charismatic leadership

Transparency International, 119 Trompenaars, F., 83, 91–92 Trudeau, J., 331 Trump, D., 126, 323, 327, 328, 388 trust, 108–109, 363 Turnbull, S., 257 Tushman, M., 48 two-factor theory of motivation, 301–302

U Uber. See Kalanick, T. Uhl-Bien, M., 175, 182, 291, 292 Ulrich, D., 213 uncertainty avoidance, 81 United Nations (UN), 361, 364 University of Michigan studies, 133–134, 135 urban and regional innovation

case study: Liverpool City Region, 403–404 generative leadership and, 398–399 place-based leadership and, 386–389, 391–397, 396, 399–401

1106

regional innovation systems and, 389–391 utilitarianism (consequentialism), 106

V validity, 202 Van Hauwermeiren, R., 67 Van Wanrooy, B., 260 van Woerkom, M., 225–226 Varley, J., 127 victimization, 68. See also bullying Virgin Group, 33 virtue ethics, 106 Volkswagen, 99–100, 363 Vroom, V., 304–305 Vygotsky, L., 180

W Wackernagel, M., 361 Wajcman, J., 29, 189, 329–330 Walmart, 36 Warren, D.I., 61 Wassenaar, C. L., 189 Watt, P., 267 Watson, S., 207 Watson Winery, 168–169 Weber, M.

charismatic leadership and, 151, 153–155, 156, 157 organizational culture and, 89 on paradox of consequence, 30 on power, 28, 59–60, 65–66, 67, 71–72

WEF (World Economic Forum), 36, 325, 327, 328, 333, 336 Wehrmeyer, W., 371 Weinstein, H., 15, 19 West Yorkshire Police, 279–280 whistleblowing, 116–117, 292–293 White, A.M., 331–332 wicked problems, 347 Wilkinson, M., 345 Wilkinson, R., 188 Williams, J., 108, 114

1107

Williams, R., 65 Williams, R., 80 Winn, G.,, 114 Winstanley, D., 115 Winterkorn, M., 99–100 Winters, M.F., 319, 321 women and gender issues

artificial intelligence and, 328 case study: BRICS countries, 336–337 concept of, 90–91 future challenges for, 329–330 gender pay gap and, 325 glass ceiling and, 29, 322–323 glass cliff and, 29, 322, 323–325, 326–327 glass escalator and, 29 global leadership and, 327–329 leadership theory and research on, 29–30 macro environment and, 40 millennial generation and, 329 performance management and, 261 sexual harassment and, 18–20, 28–29, 44 support for, 331–334 transformational leadership and, 321

Wood, G., 259–260 Woodall, J., 115 work-based learning, 276 work values, 368–369 workforce planning, 201, 230 workplace pro-environmental behaviour (WPEB), 362, 364– 365, 382–383 World Commission on Environment and Development (WCED; Bruntland Commission), 361 World Economic Forum (WEF), 36, 325, 327, 328, 333, 336 Wratil, P., 331 Wylie, C., 292–293

Y Yahoo! 326 Yukl, G., 14, 137, 143, 257, 342, 367, 386

1108

Z Zaccaro, S.J., 130, 131, 185 Zaleznik, A., 20 zero-hour contracts, 217–218 Zilahy, G., 374 Zuckerberg, M., 127

  • Your Guide to Using this Book
    • In the book you’ll find
    • On the website you’ll find
    • For lecturers
  • About the Contributors
  • Acknowledgements
  • List of Figures
  • List of Tables
  • List of Videos
  • Foreword
  • Introduction
    • Objectives of this book
    • A framework for studying leadership
    • The organization of this book
  • Part I Contextualizing Leadership
    • 1 The Nature of Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • Defining leadership
      • Leadership and management
      • Mapping the changing study of leadership
      • Critical leadership studies
      • The employment relationship
      • Conclusion
      • Chapter review questions
      • Further reading
    • 2 Strategic Management, Innovation and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • Strategic management
      • A framework for studying strategy and leadership
      • The nature of innovation
      • The external and internal contexts driving innovation
      • Leaders’ roles in innovation processes
      • Evaluation and criticism
      • Conclusion
      • Chapter review questions
      • Further reading
    • 3 Power and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • Conceptualizing power
      • Different perspectives on power
      • Power and management
      • Conclusion
      • Chapter review questions
      • Further reading
    • 4 Culture and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of national cultures
      • Understanding organizational culture
      • Perspectives on organizational culture
      • Organizational culture, climate and leadership
      • Evaluation and criticism
      • Conclusion
      • Chapter review questions
      • Further reading
    • 5 Ethics and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of ethical leadership
      • Philosophical approaches to ethical leadership
      • Dimensions of ethical leadership
      • Organizations behaving badly: failures in ethical leadership
      • Context, the rhetoric and reality
      • Whistleblowing: is it responsible behaviour?
      • Millennial leadership, digitization and artificial intelligence
      • Conclusion
      • Chapter review questions
      • Further reading
  • Part II Leadership Theories
    • 6 Trait, Behaviour and Contingency Theories of Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • Leader traits and attributes
      • Leader behaviour and styles
      • Contingency theories of leadership
      • Conclusion
      • Chapter review questions
      • Further reading
    • 7 Charismatic and Transformational Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of charismatic leadership
      • Neo-theories of charismatic leadership
      • Transformational leadership
      • Critiquing charismatic and transformational leadership
      • Conclusion
      • Chapter review questions
      • Further reading
    • 8 Relational and Distributed Theories of Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • Classical relational studies
      • Contemporary theories of relational leadership
      • Positivist dyadic relational perspectives
      • Social constructionist group-level relational perspectives
      • The growth of distributed leadership
      • Practising distributed and shared leadership
      • Evaluation and criticism
      • Conclusion
      • Chapter review questions
      • Further reading
  • Part III Managing People and Leadership
    • 9 Human Resource Management and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of human resource management
      • Scope and functions of human resource management
      • Theorizing human resource management
      • Human resource management and leadership
      • Critiquing the human resource management discourse
      • Conclusion
      • Chapter review questions
      • Further reading
    • 10 Talent Management and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of talent and talent management
      • Leading and managing talent
      • The influence of ‘talented followership’ on co-producing leadership
      • Collaborative talent management
      • Critiquing the talent management debate
      • Conclusion
      • Chapter review questions
      • Further reading
    • 11 Performance Management and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature and purpose of performance management
      • Determinants of employee and organizational performance
      • Historical milestones in the development of performance management
      • The performance management appraisal process
      • Modelling leadership and performance
      • Problems of methodology and theory
      • Criticism of individual performance appraisals
      • Conclusion
      • Chapter review questions
      • Further reading
    • 12 Leadership Development
      • Chapter outline
      • Learning outcomes
      • Introduction
      • Leader and leadership development in organizations
      • Reflection and critical thinking for leadership development
      • What capabilities should leaders develop?
      • Approaches to leaders’ development
      • Approaches to the development of leadership in others
      • Conclusion
      • Chapter review questions
      • Further reading
  • Part IV Contemporary Leadership
    • 13 Followers, Communication and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of followership
      • Follower behaviour and personality
      • Follower behaviour and motivation
      • Dialogic conversation and leadership
      • Conclusion
      • Chapter review questions
      • Further reading
    • 14 Gender and Leadership
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of diversity
      • The glass ceiling, the labyrinth and the glass cliff
      • Gender pay gap
      • Women in global leadership
      • Millennial women and leadership
      • Future challenges for practices of gender diversity and inclusion
      • Supporting women to lead
      • Conclusion
      • Chapter review questions
      • Further reading
    • 15 Leadership in Public Sector Organizations
      • Chapter outline
      • Learning outcomes
      • Introduction
      • Problematizing public sector leadership
      • Distinctive challenges associated with public sector leadership
      • The new public management and the rise of transformational leadership
      • Beyond transformational leadership: shared and distributed leadership
      • Challenges of distributed leadership in public sector organizations
      • Leadership and performance in public sector organizations
      • Conclusion
      • Chapter review questions
      • Further reading
    • 16 Leading Pro-Environmental Change
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of environmental sustainability
      • Employees’ pro-environmental behaviours and environmental management systems
      • Environmental leadership, organizational change and culture
      • Creating a sustainable workplace through human resource practices
      • Employee voice in environmental sustainability
      • Critical perspectives on corporate-oriented sustainability
      • Conclusion
      • Chapter review questions
      • Further reading
    • 17 Leadership for Urban and Regional Innovation
      • Chapter outline
      • Learning outcomes
      • Introduction
      • The nature of place-based leadership for urban and regional innovation
      • Regional innovation systems and strategies
      • Placed-based leadership
      • Place-based leaders, knowledge producers and decision makers
      • Generative leadership – a missing link in transformative efforts
      • Criticism and exemplary research for place-based leadership
      • Conclusion
      • Chapter review questions
      • Further reading
  • Bibliography
  • Index