Copyright 2011 by SAGE Publications. Not for sale, reproduction, or distribution.

Copyright 2011 by SAGE Publications. Not for sale, reproduction, or distribution.

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The nature of leadership / editors, David V. Day,

John Antonakis. 2nd ed.

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1. Leadership. I. Day, David V., 1956
II. Antonakis, John.
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Copyright 2011 by SAGE Publications. Not for sale, reproduction, or distribution.

Contents______________
PREFACE

vii

ACKNOWLEDGMENTS

ix

PART I. INTRODUCTION
Chapter 1. Leadership: Past, Present, and Future
David V. Day and John Antonakis

PART II. LEADERSHIP: SCIENCE, NATURE, AND NURTURE

Chapter 2. Aggregation Processes and Levels of Analysis as
Organizing Structures for Leadership Theory
Robert G. Lord and Jessica E. Dinh
Chapter 3. Advances in Leadership Research Methods
Michael J. Zyphur, Adam P. Barsky, and Zhen Zhang
Chapter 4. The Nature of Leadership Development
David V. Day
Chapter 5. The Nature in Leadership: Evolutionary, Biological,
and Social Neuroscience Perspectives
Mark Van Vugt

29
66
108

141

PART III. THE MAJOR SCHOOLS OF LEADERSHIP

Chapter 6. Individual Differences in Leadership
Timothy A. Judge and David M. Long

179

Chapter 7. Contingencies, Context, Situation, and Leadership

Roya Ayman and Susan Adams

218

Chapter 8. Transformational and Charismatic Leadership

John Antonakis

256

Chapter 9. The Nature of Relational Leadership:

A Multitheoretical Lens on Leadership
Relationships and Processes
Mary Uhl-Bien, John Maslyn, and Sonia Ospina

289

Chapter 10. In the Minds of Followers:

Follower-Centric Approaches to Leadership
Douglas J. Brown
Chapter 11. The Nature of Shared Leadership
Christina L. Wassenaar and Craig L. Pearce

331
363

Copyright 2011 by SAGE Publications. Not for sale, reproduction, or distribution.

PART IV. LEADERSHIP AND SPECIAL DOMAINS

Chapter 12. Leadership and Culture
Deanne N. Den Hartog and Marcus W. Dickson

393

Chapter 13. Leadership and Gender

Linda L. Carli and Alice H. Eagly

437

Chapter 14. Leadership and Identity

Daan van Knippenberg

477

Chapter 15. Ethics and Effectiveness:

The Nature of Good Leadership
Joanne B. Ciulla

508

PART V. CONCLUSION
Chapter 16. The Crucibles of Authentic Leadership
Warren Bennis

543

Author Index 557

Subject Index 579
About the Editors

589

About the Contributors

590

Leadership: Past,
Present, and Future
David V. Day
John Antonakis

In industrial, educational, and military settings, and in social

movements, leadership plays a critical, if not the most critical,
role, and is therefore an important subject for study and research.
(Bass, 2008, p. 25)

eadership matters, according to prominent leadership scholars (see also

Bennis, 2007). But what is leadership? That turns out to be a challenging
question to answer. Leadership is a complex and diverse topic, and trying to
make sense of leadership research can be an intimidating endeavor. One comprehensive handbook of leadership (Bass, 2008), covering more than a century of scientific study, comprises more than 1,200 pages of text and more
than 200 additional pages of references! There is clearly a substantial scholarly body of leadership theory and research that continues to grow each year.
Given the sheer volume of leadership scholarship that is available, our
purpose is not to try to review it all. That is why our focus is on the nature
or essence of leadership as we and our chapter authors see it. But to fully
understand and appreciate the nature of leadership, it is essential that readers
have some background knowledge of the history of leadership research, the
various theoretical streams that have evolved over the years, and emerging
issues that are pushing the boundaries of the leadership frontier.
Further complicating our task is that more than one hundred years of
leadership research have led to several paradigm shifts and a voluminous
body of knowledge. On several occasions, scholars of leadership became
quite frustrated by the large amount of false starts, incremental theoretical
advances, and contradictory findings. As stated more than five decades ago
by Warren Bennis (1959, pp. 259260), Of all the hazy and confounding
areas in social psychology, leadership theory undoubtedly contends for
3

PART IINTRODUCTION

top nomination....Probably more has been written and less is known

about leadership than about any other topic in the behavioral sciences. In a
similar vein, Richard Hackman and Ruth Wageman (2007) more recently
concluded that the leadership field is curiously unformed (p. 43).
For those who are not aware of the various crises leadership researchers
have faced, imagine taking pieces of several sets of jigsaw puzzles, mixing
them, and then asking someone to put the pieces together into one cohesive
picture. Analogously, leadership researchers have struggled for most of the last
century to put together an integrated, theoretically cohesive view of the nature
of leadership, invariably leading to disappointment in those who attempted it.
Also, the puzzle itself is changing. As noted recently, leadership is an evolving
construct that reflects ongoing changes in the challenges that require leadership (Day, in press). For all these reasons, there has been much dissatisfaction
and pessimism in the leadership field (e.g., Greene, 1977; Schriesheim & Kerr,
1977)and even calls for a moratorium on leadership research (Miner, 1975).
Fortunately, a clearer picture is beginning to emerge. Leadership scholars
have been re-energized by new directions in the field, and research efforts
have revitalized areas previously abandoned for apparent lack of consistency
in findings (e.g., leadership trait theory). Our accumulated knowledge now
allows us to explain the nature (including the biological bases) of leadership,
its antecedents, and consequences with some degree of confidence. This accumulated knowledge is reflected in our volume, which will provide readers
with a thorough overview of leadership and its complexities, advanced methods used to study it, how it is assessed and developed, and evolutionary
perspectives on the topic (see Part II). We include six major theoretical perspectives for studying leadership: individual differences, contingency, transformational and charismatic, relational, follower-centric, and shared (see Part III).
We also focus on leadership and special domains such as culture, gender,
identity, and ethics (see Part IV).
To provide the necessary background to understand the chapters that follow, we first acquaint readers with the concept of leadership and why leadership is necessary. Then we briefly trace the history of leadership research and
examine its major schools, most of which are reviewed in our book. Our
historical overview is also necessary as an organizing framework because
chapter authors frequently refer to elements of the history of leadership
research. We also discuss emerging issues in leadership research and how
findings are being consolidated. Finally, we provide an overview of the book
and a summary of each of the respective chapters.

What Is Leadership?__________________________________
Leadership is one of social sciences most examined phenomena. The scrutiny afforded to leadership is not surprising, given that it is a universal activity evident in humankind and in animal species (Bass, 2008). Reference to
leadership is apparent throughout classical Western and Eastern writings

Chapter 1 Leadership: Past, Present, and Future

with a widespread belief that leadership is vital for effective organizational

and societal functioning. Nonetheless, leadership is often easy to identify in
practice but it is difficult to define precisely. Given the complex nature of
leadership, a specific and widely accepted definition of leadership does not
exist and might never be found. Fred Fiedler (1971), for example, noted:
There are almost as many definitions of leadership as there are leadership
theoriesand there are almost as many theories of leadership as there are
psychologists working in the field (p. 1). Even in this absence of universal
agreement, a broad definition of leadership is required before introducing
the construct as a domain of scholarly inquiry.
Most leadership scholars would likely agree, at least in principle, that
leadership can be defined in terms of (a) an influencing processand its
resultant outcomesthat occurs between a leader and followers and (b) how
this influencing process is explained by the leaders dispositional characteristics and behaviors, follower perceptions and attributions of the leader, and
the context in which the influencing process occurs. We recognize that this is
a multifaceted definition that is heavily leader centric in describing mainly
one-way effects associated with the personal characteristics of a leader; however, it also includes aspects of the interaction between leader and follower
(in terms of perceptions and attributions) as well as a definition of leadership
as an effect with regard to the resulting outcomes (e.g., goal achievement). We
also acknowledge that leadership is rooted in a context, which may affect the
type of leadership that emerges and whether it will be effective (Liden &
Antonakis, 2009). Our broad definition of leadership thus incorporates the
most commonly used definitional features: the leader as person (dispositional
characteristics), leader behavior, the effects of a leader, the interaction process
between a leader and follower(s), and the importance of context (Bass, 2008).
In setting forth any definition of leadership, it is also important that we
differentiate it conceptually from power and management, respectively,
because these concepts are often confused with leadership. Power refers to the
means leaders have to potentially influence others. Examples include referent
power (i.e., followers identification with the leader), expertise, the ability to
reward or punish performance, and the formal power that is accorded legitimately based on ones role (Etzioni, 1964; French & Raven, 1968). Thus, the
ability to lead others requires that one has power.
Regarding its distinction from management, leadership as seen from the
New perspective (Bryman, 1992) is purpose-driven action that brings
about change or transformation based on values, ideals, vision, symbols,
and emotional exchanges. Management is objectives driven, resulting in
stability grounded in rationality, bureaucratic means, and the fulfillment of
contractual obligations (i.e., transactions). Although some view leaders and
managers as different sorts of individuals (Zaleznik, 1992), others argue
that successful leadership also requires successful management, that leadership and management are complementary, but that leadership goes beyond
management, and that leadership is necessary for outcomes that exceed
expectations (Bass, 1985, 1998; Bass & Riggio, 2006).

PART IINTRODUCTION

At its essence, leadership is functional and necessary for a variety of reasons. On a supervisory level, leadership is required to complement organizational systems (Katz & Kahn, 1978), establish and recognize group goals and
values, recognize and integrate various individual styles and personalities in
a group, maximize the use of group members abilities, and help resolve
problems and conflicts in a group (Schutz, 1961, as cited in Bass, 2008).
Thus, from a functional perspective, a leader is a completer who does or
gets done whatever is not being adequately handled by a group (McGrath,
1962). At the strategic level, leadership is necessary to ensure the coordinated
functioning of the organization as it interacts with a dynamic external environment (Katz & Kahn, 1978). That is, the organization must adapt to its
context; for this to occur, its leaders must monitor the external and internal
environments, formulate a strategy based on the strengths and weakness of
the organizations and the opportunities presented by the environment, and
monitor outcomes so that its strategic goals are met (Antonakis, House,
Rowold, & Borgmann, 2010). Thus, leadership is required to direct and
guide organizational and human resources toward the strategic objectives of
the organization and ensure that organizational functions are aligned with
the external environment (see Zaccaro, 2001).

The Study of Leadership______________________________

In this section, we discuss how the study of leadership has evolved. Our
description is cursory because many of the details relating to the different
theoretical perspectives of leadership are discussed in various chapters that
follow. Our intention is to provide readers with a general understanding of
how leadership theory evolved into the major paradigms presented in this
book. We then discuss leadership in special domains and emerging issues
relating leadership to culture, gender, ethics, and identity, among others.
Finally, we discuss how leadership findings are being integrated into cohesive
frameworks (i.e., hybrid approaches).

A Brief History of Leadership Research_________________

We have divided leadership research into nine major schools (see Figure 1.1)
and classified the schools on two dimensions: temporal (i.e., the time period
in which the school emerged) and productivity (i.e., the indicative degree to
which the school attracted research interest in a specific period of time). The
derivation of the schools and the research productivity of the schools are
based on our professional judgment; however, we have also been guided by a
recent review of the literature that has appeared in the last decade in The
Leadership Quarterly (Gardner, Lowe, Moss, Mahoney, & Cogliser, 2010).
We have also relied on several historical reviews (e.g., Bass, 2008; Day, in

Chapter 1 Leadership: Past, Present, and Future

Figure 1.1 A Brief History and Look Into the Future of Leadership Research
Biological/Evolutionary
Information-processing
New leadership
Relational
Skeptics
Contextual
Contingency
Behavioral
Trait
1900s 1910s 1920s 1930s 1940s 1950s 1960s 1970s 1980s 1990s 2000s 2010s
Legend
Very Active

Moderately Active

Generally Inactive

press; House & Aditya, 1997; Lowe & Gardner, 2000; Van Seters & Field,
1990), to which readers can refer for more complete accounts of the history
and development of leadership research.

Trait School of Leadership

The scientific study of leadership began at the turn of the 20th century
with the great man [sic] or trait-based perspective, which saw the shaping
of history through the lens of exceptional individuals. This school of thought
suggested that certain dispositional characteristics (i.e., stable personality
attributes or traits) differentiated leaders from nonleaders. Thus, leadership
researchers focused on identifying robust individual differences in personality
traits that were thought to be associated with effective leadership. In two
influential reviews (Mann, 1959; Stogdill, 1948), traits such as intelligence
and dominance were identified as being associated with leadership. However,
trait research, for most intents and purposes, was shut down following the
rather pessimistic interpretations of these findings by many leadership scholars (see Day & Zaccaro, 2007, for a more comprehensive discussion of the
history of leadership trait theory).
This was the first major crisis reorientation of leadership research, and it
took almost 30 years for this line of research to reemerge. The impetus for
the re-emergence of leadership trait theory came from a reanalysis of Manns
data using a relatively new and innovative analytic procedure at the time
meta-analysis (Lord, De Vader, & Alliger, 1986). This analytic procedure
proposed new ways of aggregating effects across studies to more accurately

PART IINTRODUCTION

estimate effect sizes (Hunter & Schmidt, 1990). The meta-analytic results
offered by Lord et al. suggested that the trait of intelligence was strongly correlated (r = .50) with perceptions of leadership (i.e., emergence rather than
effectiveness) and that this effect was robust across studies included in
Manns data as well as studies published subsequent to Mann. More recent
meta-analyses confirmed that objectively measured intelligence correlates
(r = .33) with leadership effectiveness as well (Judge, Colbert, & Ilies, 2004).
Studies by Kenny and Zaccaro (1983) and Zaccaro, Foti, and Kenny (1991)
were also instrumental in demonstrating stable leader characteristics, such as
traits related to leader emergence. David McClelland (1985), in the meantime, led another independent line of inquiry linking leader implicit motives
(i.e., subconscious drives or wishes) to leader effectiveness (see also House,
Spangler, & Woycke, 1991).
There have been a few high-profile reviews of the trait perspective on
leadership and particularly the moderately strong relationship of the big-five
personality factors with leader emergence and effectiveness (e.g., Judge,
Bono, Ilies, & Gerhardt, 2002; Zaccaro, 2007); however, there has been a
decline in the proportion of articles published in The Leadership Quarterly
(LQ)a prominent specialty journal devoted to leadership theory and
research (Gardner et al., 2010). Research efforts in this area, however, shall
probably continue as advances are made in psychometric testing and interest
in other individual-differences areas (e.g., gender, diversity) increases.

Behavioral School of Leadership

Given the early pessimistic reviews of the trait literature, leadership
researchers began, in the 1950s, focusing on the behavioral styles of leaders. Similar to the Lewin and Lippitt (1938) exposition of democratic
versus autocratic leaders, this line of research focused on the behaviors
that leaders enacted and how they treated followers. The influential Ohio
State (Stogdill & Coons, 1957) and University of Michigan (Katz, Maccoby,
Gurin, & Floor, 1951) studies identified two overarching leadership factors generally referred to as consideration (i.e., supportive, personoriented leadership) and initiating structure (i.e., directive, task-oriented
leadership). Others extended this research to organization-level effects
(e.g., Blake & Mouton, 1964).
Nonetheless, leadership research found itself again in crisis because of
contradictory findings relating behavioral styles of leadership to relevant outcomes. That is, there was no consistent evidence of a universally
preferred leadership style across tasks or situations. From these inconsistent findings, it was proposed that success of the leaders behavioral style
must be contingent on the situation. As a result, leadership theory in the
1960s began to focus on leadership contingencies. Interest in behavioral
theories per se is currently very low (Gardner et al., 2010); however, many
of the ideas of the behavioral movement have been incorporated into other

Chapter 1 Leadership: Past, Present, and Future

perspectives of leadership (e.g., contingency theories, transformational

leadership). In addition, recent meta-analytic results suggest that there is
perhaps more consistent support for consideration and initiating structure
in predicting leadership outcomes than has been generally acknowledged
(Judge, Piccolo, & Ilies, 2004).

Contingency School of Leadership

The leadership contingency theory movement is credited in large part to
Fiedler (1967, 1971), who stated that leadermember relations, task structure, and the position power of the leader determine the effectiveness of the
type of leadership exercised. Another well-known contingency approach was
that of House (1971), who focused on the leaders role in clarifying paths to
follower goals. Kerr and Jermier (1978) extended this line of research into the
substitutes-for-leadership theory by focusing on the conditions where leadership is unnecessary as a result of factors such as follower capabilities, clear
organizational systems, and routinized procedures. Other lines of research,
presenting theories of leader decision-making style and various contingencies,
include the work of Vroom and associates (e.g., Vroom & Jago, 1988; Vroom
& Yetton, 1973).
Whereas there is some ongoing interest in contingency theories (e.g., Fiedler,
1993; House, 1996), the overall influence of the approach appears to have
tapered off dramatically. Only about 1% of the articles published in the last
decade in LQ focused on contingency theories (Gardner et al., 2010). A contributing factor to this waning interest may be that parts of this literature have
led to the development of broader contextual approaches to leadership, which
are discussed under emerging issues below.

Relational School of Leadership

Soon after the contingency movement became popular, another line of
research focusing on relationships between leaders and followers (i.e., the
relational school) began generating substantial theoretical attention and
became the focus of research. This movement was based on what originally
was termed vertical dyad linkage theory (Dansereau, Graen, & Haga, 1975),
which evolved into leadermember exchange (LMX) theory (Graen &
Uhl-Bien, 1995). LMX theory describes the nature of the relations between
leaders and their followers. High-quality relations between a leader and his or
her followers (i.e., the in group) are based on trust and mutual respect,
whereas low-quality relations between a leader and his or her followers (i.e.,
the out group) are based on the fulfillment of contractual obligations. LMX
theory predicts that high-quality relations generate more positive leader outcomes than do lower quality relations, which has been supported empirically
(Gerstner & Day, 1997; Ilies, Nahrgang, & Morgeson, 2007). This line of

PART IINTRODUCTION

10

research continues to find new directions, and overall interest in relational

approaches to leadership appears to be relatively strong, with approximately
six percent (N = 40) of articles published in LQ between 2000 and 2009
addressing various relational perspectives, including growing interest in the role
of followers (Gardner et al., 2010).

Skeptics-of-Leadership School
Leadership research faced yet other series of challenges in the 1970s and
1980s. The validity of questionnaire ratings of leadership was criticized as
likely biased by the implicit leadership theories of those providing the ratings
(e.g., Eden & Leviathan, 1975; Rush, Thomas, & Lord, 1977). This position
suggests that what leaders do (i.e., leadership) is largely attributed based on
performance outcomes and may reflect the implicit leadership theories that
individuals carry in their heads (Eden & Leviathan, p. 740). That is, people
attribute leadership as a way of explaining observed results, even if those
results were due to factors outside of the leaders control.
In a related field of research, scholars argued that leader evaluations were
based on the attributions followers make in their quest to understand and
assign causes to organizational outcomes (Calder, 1977; Meindl & Ehrlich,
1987; Meindl, Ehrlich, & Dukerich, 1985). These researchers suggested that
what leaders do might be largely irrelevant and that leader outcomes (i.e., the
performance of the leaders group) affect how leaders are rated (see Lord,
Binning, Rush, & Thomas, 1978). Another related line of research questioned whether leadership existed at all or was even needed, thus questioning
whether it made any difference to organizational performance (Meindl &
Ehrlich, 1987; Pfeffer, 1977).
Many of the above arguments have been addressed by leadership scholars
who might be classified as realists rather than skeptics (e.g., Barrick, Day,
Lord, & Alexander, 1991; Day & Lord, 1988; House et al., 1991; J. E. Smith,
Carson, & Alexander, 1984). Interest in the skeptics perspective appears to
have waned, although there is increasing interest in followers roles in leadership processes (Gardner et al., 2010). In addressing many of questions posed
by the skeptics school, the study of leadership has benefited from (a) using
more rigorous methodologies, (b) differentiating top-level leadership from
supervisory leadership and (c) focusing on followers and how they perceive
reality. Furthermore, the study of followership and the resultant informationprocessing perspective of leadership have generated many theoretical
advances that have strengthened the leadership field immensely.

Information-Processing School of Leadership

The major impetus for the information-processing perspective is based
on the work of Lord and colleagues (e.g., Lord, Foti, & De Vader, 1984).
The focus of the work has mostly been on understanding how and why a

Chapter 1 Leadership: Past, Present, and Future

leader is legitimized (i.e., accorded influence) through the process of matching his or her personal characteristics (i.e., personality traits) with the proto
typical expectations that followers have of a leader.
The information-processing perspective has also been extended to better
understand how cognition is related to the enactment of various behaviors
(e.g., Balkundi & Kilduff, 2005; Wofford, Goodwin, & Whittington,
1998). Also notable are the links that have been made to other areas of
leadership, for example, prototypes and their relation to various contextual factors (see Lord, Brown, Harvey, & Hall, 2001; Lord & Emrich,
2000; Lord & Maher, 1991). Information-processing perspectives of leadership have generated much attention, and the interest in leader/follower cog
nitions among contributors to LQ continues to grow (Gardner et al., 2010).
As a result, research in the areas of cognition, information processing
and emotionsshould continue to provide us with novel understandings
of leadership.

The New Leadership (Neo-Charismatic/

Transformational/Visionary) School
At a time when leadership research was beginning to appear especially dull
and lacking in any theoretical advances or insights, the work of Bass and his
associates (Bass, 1985, 1998; Bass & Avolio, 1994; Hater & Bass, 1988) and
others promoting visionary and charismatic leadership theories (e.g., Bennis
& Nanus, 1985; Conger & Kanungo, 1987), reignited interest in leadership
research in general (Bryman, 1992; Hunt, 1999) and in related schools of
leadership (e.g., trait school).
Bass (1985) built on the work of Burns (1978), House (1977), and others
to argue that previous paradigms of leadership were mainly transactional; that
is, they were focused on the mutual satisfaction of transactional (i.e., social
exchange) obligations. Bass believed that a different form of leadership was
required to account for follower outcomes centered on a sense of purpose and
an idealized mission. He referred to this type of leadership as transformational
leadership, in which idealized and inspiring leader behaviors induced followers to transcend their interests for that of the greater good; the Bass model has
federated much of the research in this area (Antonakis & House, 2002).
Transformational and charismatic leadership, and other models categorized
under the heading of Neo-charismatic approaches, make up the single most
dominant leadership paradigm over the past decade; however, the overall
proportion of published LQ articles stemming from this school has dropped
from 34% between 1990 and 1999 to about 13% from 2000 to 2009
(Gardner etal., 2010). It holds the top spot in terms of published LQ articles.
Gardner et al. attributed its proportional drop to the increase of various
approaches classified as New Directions (e.g., contextual approaches, leadership development, authentic leadership) in the same time periodfrom 14%
to more than 44%.

11

12

PART IINTRODUCTION

Biological and Evolutionary Perspectives________________

We are including a new research stream, which is related somewhat to the trait
perspective of leadership in terms of measuring individual differences. This
perspective, however, is more of a hard-science approach in terms of measuring directly observable individual differences (e.g., biological variables or
processes) and also of considering why certain variables might provide an
evolutionary advantage to an organism. This research stream is novel and is
currently producing interesting research from looking at the behavioral genetics of leadership emergence (Ilies, Gerhardt, & Le, 2004) to leadership role
occupancy, both in men and women (Arvey, Rotundo, Johnson, Zhang, &
McGue, 2006; Arvey, Zhang, Avolio, & Krueger, 2007; Ilies et al., 2004).
Other interesting avenues include studying the effect of hormones on correlates of leadership, for example dominance (Grant & France, 2001; Gray &
Campbell, 2009; Sellers, Mehl, & Josephs, 2007; Zyphur, Narayanan, Koh,
& Koh, 2009), neuroscientific perspectives of leadership (Antonakis,
Ashkanasy, & Dasborough, 2009; Chiao, Mathur, Harada, & Lipke, 2009;
Villarejo & Camacho, 2009), evolutionary points of view (Antonakis &
Dalgas, 2009; Kramer, Arend, & Ward, 2010; K. B. Smith, Larimer, Littvay,
& Hibbing, 2007; Van Vugt & Schaller, 2008), as well as integrative biological
perspectives (Caldu & Dreher, 2007). This perspective might be poised to
make major contributions in understanding the sociobiology of leadership.
Interest in the area is spreading, as indicated by a forthcoming special issue of
The Leadership Quarterly that is titled Towards a Biology of Leadership.

Emerging Issues_______________________________________
We currently have a fundamental understanding of leadership, but there are
still many areas that are in need of additional research. We briefly discuss
some of these areas, which include context, ethics, and diversity issues
related to leadership. We also discuss how future leadership research might
be consolidated.
Related to the contingency movement is the Contextual School of leadership (e.g., (Hannah, Uhl-Bien, Avolio, & Cavaretta, 2009; Osborn, Hunt, &
Jauch, 2002; Porter & McLaughlin, 2006; Shamir & Howell, 1999). From
this perspective, contextual factors are seen to give rise to or inhibit certain
leadership behaviors or their dispositional antecedents (Liden & Antonakis,
2009). These contextual factors can include leader hierarchical level, national
culture, leaderfollower gender, and organizational characteristics, among
other factors (Antonakis, Avolio, & Sivasubramaniam, 2003). Understanding
the contextual factors in which leadership is embedded is necessary for
advancing a more general understanding of leadership. Simply put, leadership
does not occur in a vacuum (House & Aditya, 1997), and context and leadership appear to be intertwined.

Chapter 1 Leadership: Past, Present, and Future

Ethics is another important emerging topic in leadership research (Brown

& Trevio, 2006). It is surprising that ethics and ethical leadership has not
been a mainstay of leadership researchers. Indeed, Bass (1985)one of the
most prominent figures in the fielddid not make the distinction between
authentic (i.e., ethical) and inauthentic (i.e., unethical) transformational leaders until more than a decade after he published his theory (see Bass, 1998;
Bass & Steidlemeier, 1999). The ethics of leadership and a leaders level of
moral development are increasingly becoming essential elements of leadership
research and theory (Turner, Barling, Epitropaki, Butcher, & Milner, 2002).
Future leadership models should consider the ethics of leader means and
ends, as well as ways in which leader moral orientation can be developed and
otherwise improved (Day, Harrison, & Halpin, 2009).
Issues regarding diversity and leadership have been highlighted as receiving relatively scarce attention in the literature (Eagly & Chin, 2010). In
particular, the diversity of leaders and followers in terms of culture, gender,
race and ethnicity, or sexual orientation has been infrequently addressed.
Advances in theory and research are more notable in the areas of culture
thanks in large part to the Project GLOBE studies (House, Hanges, Javidan,
Dorfman, & Gupta, 2004)and gender through the work of Alice Eagly
and colleagues (see Eagly & Carli, 2007, for a summary and overview of
major findings). The literature with regard to leadership and race, ethnicity,
and sexual orientation (in particular) is presently relatively unformed; however, there are some early attempts to identify and describe the challenges
associated with leading across racial differences in organizations (e.g., Livers
& Caver, 2003). Clearly, there is a need for additional theory building and
empirical research directed at the numerous facets involved with diversity
and leadership.
Given how much is currently known about the nature of leadership, we
believe that researchers are in a position to integrate overlapping and complementary conceptualizations of leadership. Van Seters and Field (1990)
argued that the new era of leadership research will be one of converging
evidence and integration. In a similar veinand almost 20 years later
Avolio (2007) urged the promotion of more integrative strategies for leadership theory building. It appears that our accumulated knowledge is such that
we can begin to construct hybrid theories of leadership, or even hybridintegrative perspectives (i.e., integrating diverse perspectives), including not
only psychological and contextual variables but biological ones as well
(Antonakis, 2011). An example of an integrative perspective includes the
work of House and Shamir (1993), who integrated various new leadership
theories. Zaccaros (2001) hybrid framework of executive leadership links
cognitive, behavioral, strategic, and visionary leadership theory perspectives.
Zaccaros work is also a good example of a hybrid-integrative perspective,
given that he also integrated overlapping perspectives of leadership. Another
recent example of a hybrid-integrative framework is the integrative approach
to leader development proposed by Day et al. (2009) that seeks to connect

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the relatively disparate fields of expertise and expert performance, identity

and self-regulation, and adult development.
There are many other ways in which hybrid approaches could be developed. For example, LMX theoryincluded under the Relational School of
Leadershiphas been criticized for not specifying behavioral antecedents of
high- or low-quality relations (see House & Aditya, 1997). LMX could
potentially be integrated with the transformational-transactional leadership
theory, in that the style of leadership employed is thought to be related to the
type of leaderfollower relations and exchanges (see Deluga, 1990; Gerstner
& Day, 1997; Howell & Hall-Merenda, 1999).
It is only through efforts to consolidate findings that leadership research
will go to the next level where we may finally be able to construct and test
more general theories of leadership. Previous research has laid the foundations for such theories. Now leadership researchers need to begin to conceptualize ways in which many of the diverse findings can be united and
otherwise synthesized and integrated, examples of which are evident throughout the chapters of this book.

Organization and Summary of the Book________________

We have introduced readers to the major paradigms and current issues relating to leadership. In the remainder of this chapter, we provide a summary of
the chapters that compose the second edition of the Nature of Leadership.

Part II: Leadership: Science, Nature, and Nurture

Chapter 2: Lord and Dinh (Aggregation Processes and Levels of Analysis as
Organizing Structures for Leadership Theory) propose that theoretical integration in the leadership field requires a better system for addressing levels
of analyses issues. They argue that it is necessary to distinguish among
global, shared, and configural properties because each reflects a different
form of aggregation from lower-level units. Lord and Dinh then apply this
distinction to consider leadership at the level of events, individuals, groups,
and organizations. Working with this system provides for new insights
regarding the shared functions and antecedents of various leadership theories. It represents a major integrative advancement in leadership theory in
exploring aggregation processes and levels of analysis as fundamental organizing structures for leadership theory.
Chapter 3: Zyphur, Barsky, and Zhang (Advances in Leadership Research
Methods) describe five advanced quantitative techniques that they hope
will prove useful to leadership researchers. The techniques are (a) latent
polynomial regression, which introduces a new and improved congruence

Chapter 1 Leadership: Past, Present, and Future

model; (b) multilevel member weighted modeling (MWM) that shows how
observed variables may be used to weight the contributions of individual
group members when estimating group averages in multilevel modeling;
(c) intercept-as-mean latent growth modeling (IGM) that shows how resear
chers can set latent intercept factors to estimate each individuals average
score across observations over time; (d) multilevel structural equation modeling that addresses noted limitations in regular structural equation modeling and multilevel models, respectively; and (e) latent class cluster analysis
as a method for examining profiles among multiple observed variables such
as leadership styles or personality traits. Zyphur and colleagues demonstrate
how each model provides a novel mindset for asking new questions and
studying traditional leadership questions in novel ways.
Chapter 4: Day (The Nature of Leadership Development) examines a number
of fundamental questions with regard to the nature of leadership development
and evaluates the available evidence regarding each question. The question of
whether leaders are born or made has been addressed in a series of studies
comparing identical and fraternal twins, suggesting that as much as 70% of
leadership capability could be shaped by nurture (i.e., experience). Recent longi
tudinal evidence informing the question of whether leaders can and do develop
over time is summarized, followed by an analysis of what is it that develops
as a function of leadership development (i.e., what are the competencies or
expertise facets that develop?). The chapter then reviews the available practices on how to best promote leadership development. It concludes with a look
toward how to improve the science and practice of leadership development in
terms of better supporting an evidence-based approach to the field.
Chapter 5: Van Vugt (The Nature in Leadership: Evolutionary, Biological,
and Social Neuroscience Perspectives) proposes Evolutionary Leadership
Theory (ELT) as a new approach to the study of leadership, connecting the
diverse lines of research in the social, biological, economic, and cognitive sciences. It provides an overarching framework that is consistent with Darwins
evolutionary theory, which he refers to as Darwins Toolbox. Van Vugt
argues that it is important to study the evolutionary origins and functions of
leadership so as to better comprehend the veritable nature in leadership. In
particular, ELT connects many older findings, helps generate novel hypotheses, and tests them with a diversity of methodologies from behavioral genetics
to neuroscience and from experimentation to game theory.

Part III: The Major Schools of Leadership

Chapter 6: Judge and Long (Individual Differences in Leadership) urge students and scholars of the leadership field to keep three things in perspective.
First, individual differences matter, and they provide a useful starting point

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PART IINTRODUCTION

for theory building. Second, leaders demonstrate different states and styles
based on their dispositions as well as through the individual differences of
followers. Third, leaders do not operate in a vacuum, and context can play
a significant role in leadership outcomes. From these assumptions, Judge and
Long propose and evaluate an evidence-based model of individual differences in leadership that links leader traits with leader states and styles as
mediators predicting leader emergence and effectiveness. Moderators in the
forms of leader and follower individual differences and contextual factors
are also addressed. The authors also explore paradoxical effects associated
with dark side facets of leader individual differences on emergence and
effectiveness outcomes.
Chapter 7: Ayman and Adams (Contingencies, Context, Situation, and
Leadership) review situational and contingency theories of leadership suggesting that relations between leader characteristics (e.g., traits, behaviors)
and leader outcomes depend on the situation in which the influencing processes occur. They argue that the success of leadership is a function of contingencies, some contextual and some intrapersonal, which moderate the
relations of leader characteristics to leader outcomes. Ayman and Adams
also clarify a common misunderstanding that a leaders style is fixed. They
differentiated style as either trait based, which is fairly consistent, or behavior based, which is malleable. They argue that leaders are capable of monitoring the environment and adjusting their responses to fit a particular
context. A combination of leadership skills and competencies such as sensitivity, responsiveness, and flexibility may help leaders reach mettle
defined as the optimal match between leader characteristics and the
situational context.
Chapter 8: Antonakis (Transformational and Charismatic Leadership) reviews
the available evidence on Neo-charismatic theories of leadership, especially its transformational and charismatic forms. In his comprehensive historical analysis, he explains how these approaches came to fore and currently
dominate the leadership landscape. He concludes that even though research
in the field is mature, there is still much that needs to be done to improve
these models. In particular, Antonakis points to outstanding needs for
(a) more longitudinal and multilevel research, (b) the development of more
inclusive and less biased questionnaire measures including objective measures, and (c) a fuller understanding of process models that also consider
contextual effects and individual-difference antecedents. These are important issues to understand because as history attests, future leaders will continue to emerge who wield charismatic power.
Chapter 9: Uhl-Bien, Maslyn, and Ospina (The Nature of Relational
Leadership: A Multitheoretical Lens on Leadership Relationships and Pro
cesses) adopt a multi-paradigmatic and multiple-theory lens to relational

Chapter 1 Leadership: Past, Present, and Future

leadership. They draw from findings regarding relationships across a variety

of literature and perspectives to provide a review of relational leadership
from the standpoint of leaderfollower relationships (e.g., dyadic relationship
quality) and leadership relationality (e.g., relational processes and collective practices). Uhl-Bien and colleagues outline a broad, cross-disciplinary
and multiple-method research program that focuses not just on LMX measures but on the wider examination of leadership relationships (dyadic and
collective) and relational processes and practices. This agenda calls for
including consideration of constructionist approaches that can help advance
study of the nature of relationships, their development, and relational organizing (e.g., shared patterns of meaning making, conjoint agency, and coordinated behavior through which leadership is enacted). They conclude by
challenging leadership scholars to take seriously the need to consider relationality in leadership research.
Chapter 10: Brown (In the Minds of Followers: Follower-Centric Approaches
to Leadership) considers key assumptions about followers and the role
that followers have played in much of the previous leadership literature.
In furthering a follower-centric perspective on leadership, he argues that
if we are to understand why followers behave as they do, a necessary first
step is in understanding their thought processes, mainly in the form of
information-processing activities. Two core questions are examined in the
chapter. First, why is it that we understand the world through leaders?
Second, what is the nature of our mental leader category and how does it
influence followers perceptions of leaders? Brown addresses these questions through a review of the foundational theory and research that
informs our understanding of the information processing that is behind
our leadership perceptions.
Chapter 11: Wassenaar and Pearce (The Nature of Shared Leadership) offer
a foundational view of shared leadership defined as a dynamic, interactive
influence process among individuals in groups where the objective is to lead
one another to achieve group and organizational goals. The focus of shared
leadership is not on the leader as with dominant leader-centric approaches
but on how individuals in a team or organization can be a leader along with
other members. The authors evaluate recent evidence on the antecedents and
outcomes of shared leadership, review various approaches to the measurement of shared leadership, and explore future directions in theory and
research on shared leadership.

Part IV: Leadership and Special Domains

Chapter 12: Den Hartog and Dickson (Leadership and Culture) take a contextual approach in reviewing research on the relation between leadership

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PART IINTRODUCTION

and national (i.e., societal) culture. They draw on literature from cultural
anthropology and cross-cultural psychology to show that national culture
equips individuals with common ways of perceiving and acting, which
systemically affect what followers expect from leaders and how leaders
enact their behaviors. They show that certain leader traits and behaviors
may be context specific and that others may be universal, but differentially
enacted according to national culture and context. Ultimately, Den Hartog
and Dickson show that we should not take for granted that leadership
models and theories developed in one culture will apply similarly in
another. They describe culture at the societal and organizational level and
show how culture can affect implicit leadership theories and behavior.
Finally, they highlight the developing world in recognizing a new set of
challenges to leadership scholars, given that most of our literature is
steeped in cultural assumptions from the so-called developed countries of
the world.
Chapter 13: Carli and Eagly (Leadership and Gender) focus on the contextual perspective of gender-based expectations of leaders and how they
constrain the type of leadership that is enacted. They discuss the validity
of arguments related to malefemale difference from various perspectives,
including societal, evolutionary, and prejudicial. Literature is reviewed
demonstrating that women may not have the same opportunities to lead
and that women are more constrained in the behaviors they can display
than are men. They explore five explanations offered for womens scarce
occupancy of high-level leadership positions and conclude that the evidence suggests the only plausible explanations reside in prejudice and
discrimination against women leaders. Even though women leaders are
disadvantaged by stereotypes and restricted role expectations, they are as
effective as are men leaders, and women actually display certain prototypically effective leader styles more often than do men. Carli and Eagly
ultimately conclude that economic necessity and fundamental issues of
fairness require facilitating faster entry of women into the leadership ranks
in the future.
Chapter 14: van Knippenberg (Leadership and Identity) provides an overview of the identity approach to leadership. Fundamental to this approach
is the notion that identity shapes perceptions, attitudes, and behavior. In
short, identity can be a powerful motivating force and a focus on leader and
follower identity is instrumental in understanding leadership effectiveness.
The research evidence is consistent that identity matters when it comes to
understanding leadership processes and outcomes. van Knippenberg urges
further development of the identity perspective on leadership as a possible
means of fostering integration in the field and building more broad-ranging
accounts of leadership.

Chapter 1 Leadership: Past, Present, and Future

Chapter 15: Ciulla (Ethics and Effectiveness: The Nature of Good Leadership)
focuses on another emerging issue: ethics and leader effectiveness. She writes
from the unique perspective of a philosopher, making clear the limitations of
traditional leadership theorists attempts to weave ethics into their theories by
simply exhorting that ethical leadership is important. Although inroads have
been made by some leadership scholars, Ciulla shows how philosophy can be
used to highlight ethical dilemmas of leaders, how to judge the ethics of
leader outcomes, and the implications for leaderfollower relations. Ciulla
sees leader ethics and leader outcomes as inextricably intertwined. In addition, she presents a persuasive argument that leaders cannot be considered
effective unless they are ethical.

Part V: Conclusion
Chapter 16: Bennis (The Crucibles of Authentic Leadership) uses an engaging writing style in taking the reader along on an Odyssey of leadership. He
provides practical examples, subtly integrating and applying many of the
books themes, and brings to light the nature of authentic leadership. He
touches on numerous issues and how they relate to leader emergence and
effectiveness, focusing on leader traits, experiential learning, coalition building, contexts and contingencies, national culture, and so forth. He concludes
with how leadership research should be taken to the next level by studying
it using multidisciplinary paradigms. He relates the issues discussed to historical events and to the interplay of factors that make leaders. These are
the crucibles of leadership, conditions in which leaders face great tests and
crises, from which they emerge, molded with a vision and values to inspire
others to do what is morally correct.
We hope to introduce you to what we believe is a fascinating body of
leadership literature. The complexity and mystique surrounding leadership
evolve into understanding as you read the chapters that follow. In the last
century, the often-misunderstood phenomenon of leadership has been
tossed and battered while social scientists tried to make sense of a force they
knew was important, but which seemed beyond the reach of scientific
inquiry. Remarking about the difficulties leadership researchers have faced,
Bennis (1959, p. 260) noted: Always, it seems, the concept of leadership
eludes us or turns up in another form to taunt us again with its slipperiness
and complexity.
The concept is still complexperhaps more so than at any other point in
historybut it is better understood and less elusive. We still have much to
learn about leadership, but we are guided by a spirit of optimism emanating
from the findings of those researchers before us who went through their own
crucibles. Bloodied in a sense but unbowed, they continued to study leadership and to inspire succeeding generations of scientists to continue their

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PART IINTRODUCTION

exploration. All the while, leaders influenced followers and will continue to
do so, regardless of the fads, follies, and folderol that have distracted leadership researchers in the past.

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