UOP Scope, Justification & Stakeholders Presentation

individual Project Plan Presentation—Scope, Justification, and Stakeholders

Prior to beginning work on this assignment, read Chapters 4, 6, 8 in your

textbook (Links to an external site.)

. For additional information review the chapters in the

A Guide to the Project Management Body of Knowledge (PMBOK® Guide) (Links to an external site.)

thatalign to the challenges of managing project scope and projectstakeholders. Conduct research using least six scholarly, peer-reviewed,or credible sources to support your assignment.For thisassignment, you will create a PowerPointpresentation, which you will use for Section 1 of your Week 5Informatics Implementation Project Proposal interactive assignment,covering the scope, justification, and stakeholders involved in yourindividual project plan. As evident in real world executive settings,your presentation should be formulated to be concise. The executivelevel PowerPoint presentation should be appropriate to be reviewed onthe agenda of a Board of Directors meeting at the selected IntegratedDelivery Network (IDN). The presentation must be between six and eight content slides, not including thetitle slide and references slides.

Add speaker’s notes (Links to an external site.)

to the bottom of each slide for ease of narration and to provideaccessible content to students with accessibility needs, if requested byyour instructor.

In your presentation, address the following:

Outlinethe strategic stakeholders who will be the focus of your communicationplans and decision-making needs related to your individual informaticsproject,Examine the clinical and business justifications fortechnology costs involved in the implementation identified in yourindividual project planDetermine the appropriate scope of workfor your individual informatics project including a clear statement ofwhat work is not within the scope of the implementation project. 3GC04
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CHAPTER 4
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
LEADING TO ACCOMPLISH DESIRED RESULTS
As we discussed in Chapter 1, managers engage in three
highly interrelated core activities as they perform management work: developing/strategizing, designing, and leading
(see Figure 1.3). Developing/strategizing and designing are
discussed in Chapters 2 and 3, respectively. This chapter
discusses the third core activity of management work:
leading.
It has been ﬁrmly established through extensive
research that there are positive associations between, on
the one hand, how well managers perform their leading
activities and, on the other hand, “follower attitudes, such
as trust, job satisfaction, and organizational commitment,
and behaviors, such as job performance at the individual,
group, and organizational levels” (Bono and Judge 2003,
554). This quote embodies a key point about leadership—
its relationship to followership.
Followers, in the context of a program, are those
participants who share with the leader a common view
of the desired results established for the program, believe in
what the program is trying to accomplish, and want both
the leader and the program to succeed (Banaszak-Holl et al.
2012; Riggio, Chaleff, and Lipman-Blumen 2008). Leadership and followership are interdependent. Neither can exist
without the other.
What managers do when leading is complex and
multidimensional, although its essence is one person inﬂuencing other people. In his seminal study of leadership, for
which he won a Pulitzer Prize, political scientist James M.
Burns (1978) identiﬁed the central function of leadership:
to achieve a collective purpose. This chapter focuses on
ways in which managers can inﬂuence other participants’
contributions to the accomplishment of the mission and
objectives (the collective purpose) of a program. Thus, in
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LEARNING OBJECTIVES
After reading this chapter, you should be
able to:
• Deﬁne leading, and understand the
relationships between inﬂuence and
leading and between interpersonal
power and inﬂuence
• Deﬁne motivation, and model the
motivation process
• Distinguish between the content and
process perspectives on motivation,
and understand the implications of
both perspectives for leading
• Understand the main approaches to
studies of leading, including the
traits, behaviors, and situational or
contingency approaches
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CHAPTER 4 – LEADING TO ACCOMPLISH DESIRED RESULTS
this chapter we will consider some basic concepts having to do with
inﬂuence, as background for our discussion of leading.
A key aspect of managers’ ability to inﬂuence participants’ contributions
is their ability to affect participants’ motivation to contribute. Attention is
therefore also given to motivation in this chapter, because skill at motivation
is required for managers to be effective at leading.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Leading Deﬁned
Adapting well-known deﬁnitions (Robbins and Judge 2012; Yukl 2012b), I
deﬁne leading by a manager in a program as inﬂuencing others to understand and agree about what needs to be done to achieve the desired results
established for the program, and facilitating the individual and collective
contributions of others to the achievement of the desired results. Inﬂuencing is the most critical element of leading. Inﬂuence is the means by which
leaders successfully persuade others to follow them.
In his classic study of leadership noted previously, Burns (1978)
established that leading in organizations is of two distinct types: transactional and transformational. Transactional leading occurs as leaders—
managers engaging in leading activities—enter into transactions with followers through which each receives something of value. In essence, if the
followers perform their work in ways that contribute to accomplishing the
mission and objectives of the program, the manager rewards them in some
way. These transactions are ubiquitous in management work throughout all
organizations. Effective transactional leading permits managers to facilitate
better performance from participants, helping participants plan and coordinate their work and learn new skills.
In the second type of leading identiﬁed by Burns (1978), transformational leading, the leader’s purpose is to effect signiﬁcant change in the
status quo. Transformational leadership means causing or helping bring
about major changes in organizations. In practicing transformational leadership, managers focus on changes that involve an entire program and relate
to such things as mission and objectives and modifying the level of support
for the program from internal and external stakeholders. Unlike with the
transactional leading process that occurs between managers and other
participants, a transformational leader must have a vision for the entire
program and must inﬂuence followers both inside and outside that program
if the vision is to be realized.
The deﬁnition of leading given previously applies equally well to both
transactional and transformational leading. Both are processes through
which managers inﬂuence other internal and external stakeholders to
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INFLUENCE AND LEADING; INTERPERSONAL POWER AND INFLUENCE
contribute to a program’s success. Important aspects of inﬂuencing are
discussed in the next section.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Inﬂuence and Leading; Interpersonal Power
and Inﬂuence
Because the essence of leading is the ability to inﬂuence others, one must
fully understand inﬂuencing to understand leading. To understand the
inﬂuence a manager can have over other participants in a program, however,
one must ﬁrst understand interpersonal power, which refers to the potential
to exert inﬂuence over others.
Managers are able to exert inﬂuence in the workplace because they have
interpersonal power. To a great extent, managers have interpersonal power
in work settings because they are managers. It may be useful to review the
discussion of authority in Chapter 3, where it is noted that the most
important source of a manager’s interpersonal power is the formal position
he or she holds in a program’s organization design. Formal power or
authority is assigned to a manager in an organization design to support
his or her ability to manage effectively.
All program managers have some degree of interpersonal power or
authority based on their position, although managers at different hierarchical
levels within organization designs have different amounts of positional
interpersonal power. Positional interpersonal power permits managers to
exert inﬂuence via control over a number of variables. They have, for example:
•
The ability to reward or coerce participants’ behaviors.
•
Control over certain aspects of the physical environment in which work
occurs.
•
The ability to shape elements of a program’s logic model, including
determination of mission and objectives, work processes used, and
resources available (see Figure 2.1).
•
A key role in establishing the organization design for a program. When
managers design work ﬂow arrangements, for example, they can
determine which participants interact with others, or who initiates a
linked series of actions. Similarly, their ability to cluster certain individual positions into units, to assign reporting relationships, or to design
an information system is a positional source of interpersonal power.
Control over information is a source of interpersonal power in any
organizational setting. Managers have access to certain information because
of their position in an organization design. To have interpersonal power
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CHAPTER 4 – LEADING TO ACCOMPLISH DESIRED RESULTS
derived from control over information, a manager must actively cultivate a
network of information sources.
Another aspect of a manager’s interpersonal power is that he or she can
acquire such power through possession and use of political skills. Interpersonal power can derive from control over key decisions, the ability to
form coalitions, the ability to co-opt or diffuse and weaken the inﬂuence of
rivals, and the ability to interpret events in a manner that one deems
favorable (Yukl 2012b). Position can help a manager use political skills, but
those skills are inherent in the manager who possesses them. This serves as
an example of another important source of interpersonal power, the
characteristics and attributes of the person who possesses it.
Scholars have recognized for many years the existence of interpersonal
power in work settings that is based on what an individual knows or is able
to do. In their classic work on the subject, French and Raven (1959) called
this type of interpersonal power “expert power,” which is power held by a
person who possesses knowledge that is valued by a program, or by the
larger organization in which the program is embedded. Thus, expert power
is different from positional interpersonal power, which, as noted previously,
is primarily determined by a manager’s position in the organization design.
Any participant in a program can possess expert power. For example,
physicians or nurses whose expertise is vital to the success of a program
possess such power.
Another source of interpersonal power, sometimes called charismatic
power or referent power, results when one individual engenders admiration,
loyalty, and emulation to the extent that it permits him or her to inﬂuence
others. As with power based on expertise, referent power cannot be assigned
to a person based on his or her position in an organization design. Referent
power is typically developed only over a long period of close interaction in
which a person, who may or may not be a manager, demonstrates friendliness, concern for the needs and feelings of others, and fairness toward them.
It is rare for a leader to gain sufﬁcient power to heavily inﬂuence followers
simply from referent or charismatic power, although this source of power
can play a role.
Managers in all programs have multiple sources of interpersonal power,
although they will have different levels of power because they will have
different mixes of sources of power available to them. For example, one
manager may have interpersonal power because of formal positional authority over a program and its participants. This manager may have some degree
of control over resources, rewards, punishments, and information, and may
have more relevant expertise in the work of the program than others. Yet this
manager may possess little power based on political skill.
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MOTIVATION AS A BASIS FOR LEADING EFFECTIVELY
Another manager may derive interpersonal power from the same menu
of sources, but in a different mix. For example, this manager may possess an
exceptional level of political power by virtue of having the authority to
control decision-making processes, the ability to form coalitions of key
internal and external stakeholders, or the ability to co-opt opponents. Still
another manager may have considerable charisma, extremely loyal followers
in a program, and personal friendships with key leaders of the organization
in which the program is embedded, all of which provide him or her with
considerable interpersonal power.
Certainly, possessing interpersonal power derived from some mix of the
sources noted previously is an important precursor to exerting inﬂuence
over others or leading them effectively. But interpersonal power alone does
not fully explain inﬂuence or leading. Another key aspect of leading is
motivation, which is discussed in the next section to provide further
background on leading.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Motivation as a Basis for Leading Effectively
To be effective at leading the participants involved in a program, managers
must help create and maintain conditions under which the participants can
and do contribute to accomplishing the program’s established mission and
objectives. Participants must be induced or motivated to contribute. Possessing knowledge of how motivation occurs is a means of understanding
why people behave in particular ways—an understanding that is necessary
for success in leading.
Managers need participants to exhibit a diverse set of contributory
behaviors for a program to be successful. At the most basic level, they
want participants they have selected for employment to attend work
regularly, punctually, and predictably. These behaviors do not happen
by chance; they are motivated behaviors. Managers also want participants to perform the direct or support work assigned to them, and
they want this work to be performed at acceptable levels of quantity
and quality. Finally, managers want participants to exhibit good
citizenship behaviors, including such speciﬁc behaviors as cooperating,
demonstrating altruism, protecting fellow workers and property, and
generally going above and beyond the call of duty. High levels of good
citizenship behaviors among the participants in a program invariably
contribute directly to attaining the program’s mission and objectives.
How can managers create and maintain the conditions that evoke such
desirable behaviors? Part of the answer lies in motivating participants
to practice them.
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Motivation is at once simple and complex. Motivation is simple because
human behavior is goal directed, and because it is induced by increasingly
well-understood factors, some of which are internal to the individual, and
some of which are external. Motivation is complex because mechanisms
that induce behavior rely on very complicated and individualized needs,
wants, and desires that are satisﬁed in different ways for different people.
Before exploring the key theories and models that have been developed to
explain human motivation in the workplace, it is ﬁrst necessary to deﬁne
motivation and model the basic motivation process.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Motivation Deﬁned and Modeled
Why does one participant in a program work harder than another? Why is
one more cooperative than another? A partial answer lies in the fact that
people have various needs and behave differently in attempting to fulﬁll
them. Needs are, in effect, deﬁciencies that cause people to undertake
patterns of behavior intended to remedy them. For example, at a very simple
level, human needs are physiological. A hungry person needs food; is driven
by hunger; and is motivated to satisfy the need for food (in other words, to
overcome the deﬁciency). Other needs are more complex. Some needs are
psychological (for example, the need for self-esteem); others are sociological
(for example, the need for social interaction). In short, needs in human beings
trigger and energize behaviors intended to satisfy those needs. This fact is the
basis for a needs-based model of how motivation occurs. The needs-based
perspective on motivation is very important to managers. If managers can
identify the needs of a program’s participants and design their work in ways
that allow participants to satisfy or fulﬁll some of their needs, then motivation
can occur, which in turn stimulates behaviors among participants that
contribute to achieving the program’s mission and objectives.
As shown in Figure 4.1, the motivation process is cyclical. It begins with
unmet needs and cycles through the individual’s assessment of the results of
efforts to satisfy those needs. This assessment may conﬁrm the continuation
of unmet needs and permit the identiﬁcation of new needs. Throughout this
process, the person searches for ways to satisfy each need, chooses a course
of action, and exhibits behaviors intended to satisfy the unmet need. The
model is oversimpliﬁed, but contains the essential elements of the process
by which human motivation occurs:
•
Motivation is driven by unsatisﬁed or unmet needs.
•
Motivation results in behaviors intended to satisfy the unmet needs.
•
Motivation can be inﬂuenced by factors that are internal or external to
the individual.
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MOTIVATION AS A BASIS FOR LEADING EFFECTIVELY
Start
Unmet needs
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Figure 4.1
Identification of new
needs and confirmation
of ongoing unmet needs
Search for ways to
satisfy unmet needs
Assessment of the
level of need satisfaction
Selection of ways to
satisfy unmet needs
The Motivation Process for an Individual
This model also suggests a deﬁnition of motivation as an internal drive
that stimulates behavior intended to satisfy an unmet need. It is “a state of
feeling or thinking in which one is energized or aroused to perform a task or
engage in a particular behavior” (D’Aunno and Gilmartin 2012, 93). It is
important to note that the direction, intensity, and duration of this state can
be inﬂuenced by outside factors, including the ability of a manager to
contribute to or impede the satisfaction of an individual’s needs.
Motivation is a key determinant of individual participant performance
in work situations and is of obvious importance in accomplishing the
missions and objectives established for health programs. Motivation alone,
however, does not fully explain individuals’ performance. Physical and
mental ability and the nature of the work environment also affect performance. Knowing how to perform work and having the physical ability to
perform it, good equipment, and pleasant surroundings facilitate performance. The variables affecting performance can be conceptualized as follows:
Performance Physical and mental ability Environment Motivation
This equation shows that performance is a function of an interaction of
several variables (Colquitt, LePine, and Wesson 2012). Without motivation,
no amount of ability and no environmental conditions can produce acceptable performance. Although motivation alone will not result in a satisfactory
level of performance, it is central to performance.
How Motivation Occurs
Because understanding motivation and applying knowledge of how it occurs
are so critical to effectively leading others, a great deal of attention has been
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CHAPTER 4 – LEADING TO ACCOMPLISH DESIRED RESULTS
given to determining the mechanisms of human motivation. To motivate
participants, managers need to know the answers to such questions as: What
energizes or arouses participants to behave in contributory ways? What
variables help direct their energy into particular behaviors? Can the state of
arousal be intensiﬁed or made to last longer?
It is important to note at the outset that in seeking answers to questions
about motivation, researchers have not established an undisputed and
comprehensive theory about motivation, or about how managers affect
motivation in the workplace. Instead, many competing theories have been
posited to explain motivation. These varied approaches to motivation can be
divided into two broad categories: the content perspective and the process
perspective (see Figure 4.2). Each of the perspectives contributes something
to an understanding of motivation and has implications for the core
management activity of leading.
The content perspective on motivation focuses on identifying the
internal needs and desires of individuals that cause them to initiate and
sustain behaviors intended to satisfy the needs and desires, and that
eventually cause individuals to terminate behaviors when the needs and
desires are satisﬁed. The focus is on what motivates. In contrast, the process
perspective seeks to explain how behavior is initiated, sustained, and
terminated. Combined, these perspectives on motivation deﬁne variables
that explain much about motivated behavior and show how the variables
interact and inﬂuence each other to produce certain behavior patterns. Key
theories and models that underpin contemporary thought about human
motivation in the workplace are noted in Figure 4.2 and are brieﬂy described
in the following subsections, beginning with four theories that fall within the
content perspective. Much of the literature on motivation is decades old.
But as with our discussion of the designing activity in Chapter 3, do not be
concerned that this information is out of date. It is as relevant today as it was
when the theories and models were ﬁrst developed.
Maslow’s Hierarchy of Needs
Perhaps the most widely recognized model of what motivates human
behavior—certainly the one with the most enduring impact—was advanced
by Abraham Maslow in the 1940s. A psychologist, Maslow (1943) formulated a theory of motivation that stressed two fundamental premises. First,
he argued that human beings have a variety of needs, and that unmet needs
inﬂuence behavior; an adequately fulﬁlled need is not a motivator. His
second premise was that people’s needs are arranged in a hierarchy, with
“higher” needs becoming dominant only after “lower” needs are satisﬁed.
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MOTIVATION AS A BASIS FOR LEADING EFFECTIVELY
Content Perspective
Focus:
Identifying factors within individuals that initiate, sustain, and
terminate behaviors
Key studies:
Maslow’s ﬁve levels of human needs in hierarchy
Alderfer’s three levels of human needs in hierarchy
Herzberg’s two sets of factors
McClelland’s three learned needs
Implication for managers in leading:
Managers must pay attention to the unique and varied needs, desires,
and goals of participants.
Process Perspective
Focus:
Explaining how behaviors are initiated, sustained, and terminated
Key studies:
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Vroom’s expectancy theory of choices
Adams’s equity theory
Locke’s goal-setting theory
Implication for managers in leading:
Managers must understand how the unique and varied needs, desires,
and goals of participants interact with their preferences and with
rewards and accomplishments to affect their behavioral choices.
Figure 4.2
Comparison of the Content and Process Perspectives on Motivation
Figure 4.3 illustrates Maslow’s hierarchy of needs, with examples showing
how needs in each category can be fulﬁlled in the context of working in a
health program.
From lowest to highest order, the ﬁve categories of needs in Maslow’s
hierarchy begin with basic physiological needs, such as air, water, food,
shelter, and sex, which are necessary for survival. Participants can satisfy
many of these needs through the resources that their paychecks provide.
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CHAPTER 4 – LEADING TO ACCOMPLISH DESIRED RESULTS
Selfactualization
Ego
Social activity
Safety and security
Physiological
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Figure 4.3
Challenging work
Title
Friends at work
Health plan
Salary
Maslow’s Hierarchy of Needs
After basic physiological needs, safety and security needs come next. Once
basic survival needs are met, participants can turn their attention to
ensuring continued survival by protecting themselves against physical
harm and deprivation. Participants seek to meet their safety and security
needs through ensuring job security, having adequate health insurance, and
other beneﬁts. The third level of needs pertains to social activity, which
relates to people’s social and gregarious nature and includes their need for
belonging, friendship, affection, and love. The ability to have friendships
with other participants and to engage in social activity in the workplace
helps satisfy these needs.
It is important to note that the third-level needs are something of a
breaking point in the hierarchy, moving away from the physical or quasiphysical needs of the ﬁrst two levels. This level reﬂects people’s need for
association or companionship, belonging to groups, and giving and receiving friendship and affection.
The fourth level, ego needs, includes two different types of needs, the
need for a positive self-image and for self-respect and the need for
recognition and respect from others. Examples of ego needs are the need
for independence, achievement, recognition from others, self-esteem, and
status. Opportunities for advancement within a program, or within the
larger host organization, can help participants fulﬁll these needs.
The top level of Maslow’s hierarchy includes self-actualization needs.
These ﬁfth-level needs have to do with realizing one’s potential for continued growth and development. In effect, this level represents a person’s need
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MOTIVATION AS A BASIS FOR LEADING EFFECTIVELY
to become everything he or she is capable of being. Self-actualization needs
are evidenced in people by their need to be creative and to have opportunities for self-expression and self-fulﬁllment. A challenging and satisfying job
is a primary pathway to satisfying such needs in contemporary society.
In part because of its great intuitive appeal, Maslow’s conceptualization
of what motivates human behavior has been widely adopted. In a remarkable
bit of candor, however, he once wrote of his concern that the theory was
“being swallowed whole by all sorts of enthusiastic people, who really should
be a little more tentative” (Maslow 1965, 56). Although Maslow’s view of
what motivates human behavior has limitations, it contains the valid point
that people have numerous needs, which they seek to fulﬁll, and his theory
accounts for how unmet needs inﬂuence need-fulﬁlling behaviors. Finally,
Maslow’s views on motivation provided a conceptual framework that was
used to build and test more sophisticated theories about needs and how they
affect human behavior, which are described in the following subsections.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Alderfer’s ERG Theory
In another classic theory of what motivates human behavior, Clayton
Alderfer (1969, 1972) advanced the idea that the hierarchy of needs is
more accurately conceptualized as having only three distinct categories, not
ﬁve as in Maslow’s formulation described earlier. This theory is known as
ERG theory because of the three categories of needs: existence, relatedness,
and growth. Existence needs include material and physical needs that can be
satisﬁed by such things as air, water, money, and working conditions.
Relatedness needs include all needs that involve other people. Relatedness
needs are satisﬁed by meaningful social and interpersonal relationships.
Growth needs, in Alderfer’s scheme, include all needs involving creative
efforts. Individuals satisfy these needs through making creative and productive contributions to achieving the mission and objectives in their
workplace.
Alderfer’s ERG theory is obviously similar to Maslow’s theory. His
existence needs are similar to Maslow’s physiological and safety needs;
his relatedness needs are similar to Maslow’s social activity needs; and
his growth needs are similar to Maslow’s ego and self-actualization needs.
The theories differ, however, in regard to how needs predominate in
inﬂuencing behavior.
Maslow (1943) theorized that unfulﬁlled lower-level needs are predominant, and that needs at the next-higher level are not activated until the
predominant (unmet lower-level) needs are satisﬁed. He called this the
“satisfaction-progression” process. In contrast, Alderfer (1969, 1972) argued
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that three categories of needs form a hierarchy only in the sense of
increasing abstractness, or decreasing concreteness: as an individual moves
from existence to relatedness to growth needs, the means to satisfy the needs
become less and less concrete.
In Alderfer’s theory, people focus ﬁrst on needs that are satisﬁed in
relatively concrete ways; then they focus on needs that are satisﬁed more
abstractly. This is similar to Maslow’s idea of satisfaction-progression.
Alderfer proposed, however, that what he called a “frustration-regression”
process is also present in determining which category of needs predominates at any given time. By this he meant that someone frustrated in
efforts to satisfy growth needs may regress and focus on satisfying more
concrete relatedness needs or even more concrete existence needs. In
Alderfer’s view, the coexistence of the satisfaction-progression and frustration-regression processes leads to a cycling between categories of
needs. A case example from a health program will help clarify Alderfer’s
concept of cycling:
Consider the case of Jennifer Smith, a thirty-two-year-old registered
nurse who is a participant in a women’s health program sponsored by a
major hospital. Ms. Smith, a single parent of two children, is appropriately
concerned about the security of her position and her pay and beneﬁts,
although she ﬁnds the social interactions with coworkers rewarding. Professionally, she is an excellent nurse who enjoys her work.
When a vacancy occurs in a nurse manager position in the program, Ms.
Smith considers the opportunities this presents for professional growth and
development, as well as for a higher salary. She applies for the position and
looks forward to the challenges she will face if selected.
But a more experienced and equally qualiﬁed nurse is promoted. Ms.
Smith’s disappointment shows, and she also becomes quite concerned about
her future in the program. Several other participants in the program notice
her reaction and make special efforts to ease her disappointment. They tell
her that other opportunities will arise, and that with more experience, she
will be promoted.
The newly promoted nurse manager is sensitive to this situation and
makes a point of telling Ms. Smith what valuable contributions she is
making to the success of the program. After a few weeks, Ms. Smith returns
to the same level of work enjoyment she felt before this episode.
In terms of needs, Ms. Smith cycled from having existence and
relatedness needs predominate to focusing on growth needs represented
by the promotion, and then returned to relatedness needs—all in a few
weeks. In other words, Ms. Smith experienced both a satisfaction-progression process and a frustration-regression process.
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Another important part of Alderfer’s ERG theory, and another way
in which it differs from Maslow’s formulation, is Alderfer’s view that
when individuals satisfy their existence and relatedness needs, these
needs become less important. The opposite is true for growth needs,
however. In Alderfer’s view, as growth needs are satisﬁed, they become
increasingly important. As people become more creative and productive, they raise their growth goals and are dissatisﬁed until the new
goals are reached. In the case of Ms. Smith, this means that when she
becomes a nurse manager, she will probably raise her goals to include
increased levels of responsibility and perhaps promotions to higher
management positions, anticipating further growth and development in
her career.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Herzberg’s Two-Factor Theory
Frederich Herzberg took another approach to the study of what motivates
human behavior in the workplace. His work advanced Maslow’s needs theory
by asking questions about what leads people to feel satisﬁed or dissatisﬁed
at work, assuming that the answers would contribute to an understanding of
what motivates people (Herzberg 1987; Herzberg, Mausner, and Snyderman
1959).
Herzberg and his associates (1959) found that one set of factors was
associated with satisfaction and high levels of motivation, whereas another
different set of factors was associated with dissatisfaction and low motivation. Herzberg’s two-factor theory of motivation argues that one set of
factors, called satisﬁers or motivators, results in satisfaction and high
motivation when the factors are present at adequate levels. These factors
are achievement, recognition, advancement, satisfying aspects of the work
itself, the possibility of growth, and the possibility of increased responsibility. The other set of factors, called dissatisﬁers or hygiene factors,
causes dissatisfaction and low motivation when the factors are not present
at adequate levels. These factors include appropriate organizational
policies, quality supervision, pleasant interpersonal relations, and positive
working conditions.
The most important contribution of Hertzberg’s formulation is that it
has caused managers to think more carefully about the factors that contribute to motivation, and about what they can do to enhance opportunities
for people to achieve intrinsic satisfaction from their work. If managers are
to help participants be motivated, they must be concerned with one set of
factors to minimize dissatisfaction and another to help them achieve
satisfaction and be motivated in their work.
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McClelland’s Learned Needs Theory
Another important contributor to the content perspective on motivation
was David McClelland (1961, 1983), who developed McClelland’s learned
needs theory. Extending Maslow’s needs theory discussed earlier, he posited
that people learn some of their needs through life experiences; they are not
born with the needs. For example, children learn the need to achieve
through encouragement and reinforcement of autonomy and self-reliance
by adults who inﬂuence their early years. The learned needs theory builds on
Maslow’s (1943) theory and the even earlier work of Murray (1938), who
theorized that people acquire an individual proﬁle of needs by interacting
with their environment. McClelland was also inﬂuenced by the work of
Atkinson (1961) and Atkinson and Raynor (1974).
Both McClelland and Atkinson argued that people have three distinct
sets of needs: (1) achievement needs, including the need to excel, achieve in
relation to standards, accomplish complex tasks, and resolve problems; (2)
power needs, including the need to control or inﬂuence how others behave
and to exercise authority over others; and (3) afﬁliation needs, including the
need to associate with others, form and sustain friendly and close interpersonal relationships, and avoid conﬂict.
McClelland posited not only that everyone has these three sets of needs
but also that one predominates and most strongly affects each individual’s
behaviors. This point is important because it relates to how well people ﬁt with
particular work situations. In fact, the most useful aspect of McClelland’s
formulation is the idea of the importance of matching a person’s dominant
needs with his or her work situation. If this matching is done carefully in the
context of a program, participants will be more motivated, which will be
reﬂected in their performance.
The content perspective on motivation, as reﬂected in the four theories or
models discussed previously, has signiﬁcant implications for managers.
These theories emphasize that human motivation originates from the needs
of people and their search to satisfy those needs. The common thread
running through the theories or models of motivation in the content
perspective is their focus on needs that motivate human behavior. Each
theory deﬁnes human needs differently, but all support the concept that
managers can help motivate participants in a program by helping them
identify their speciﬁc needs and assisting them in at least partially meeting
those needs in the workplace.
These are extraordinarily complex tasks, considering the fact that each
person has a unique and constantly changing set of needs. Managers can
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help participants identify and meet their needs by empathizing with them.
Combining empathy with effective two-way communication, as discussed in
Chapter 6, usually results in progress toward identifying and fulﬁlling needs.
The content theories or models of motivation, with their singular focus
on what motivates behavior, provide managers with many useful insights.
Other theories and models are needed, however, to shed light on the process
of motivation—that is, to explain the mechanisms through which motivation occurs. The process perspective focuses on how individuals’ expectations and preferences for outcomes that are associated with or that result
from their performance actually inﬂuence performance. A central element
in the process perspective on motivation is that people are decision makers
who weigh the personal advantages and disadvantages of their behaviors.
Continuing to follow the outline presented in Figure 4.2, three theories that
fall within the process perspective on motivation are brieﬂy presented next:
Vroom’s expectancy theory, Adams’s equity theory, and Locke’s goal-setting
theory.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Vroom’s Expectancy Theory
Victor Vroom’s (1964) formulation of how motivation occurs is based on the
idea that although people are driven by their unmet needs, they make
decisions about how they will and will not behave in attempting to fulﬁll
their needs. Their decisions, according to Vroom, are affected by three
conditions: (1) people must believe that their effort to perform affects their
level of performance; (2) people must believe that achieving the desired level
of performance will lead to concrete outcomes or rewards; and (3) people
must value the possible outcomes. Figure 4.4 models the three central
components and the relationships in the expectancy theory model.
In Vroom’s expectancy theory, expectancy is what individuals perceive
to be the probability that their effort will lead to the desired level of
Individual program
participant’s
effort to perform
Results in
Level of
performance
Expectancy
Subjective probability that
effort will lead to the
desired level of performance
Figure 4.4
Results in
Outcomes
Instrumentality
Probability that the level of
performance will result in
preferred outcomes
Basic Model of Expectancy Theory
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performance. If a person believes that more effort will lead to improved
performance, expectancy will be high. If, in a different situation, the same
person believes that trying harder will not improve performance, expectancy
will be low.
Instrumentality in Figure 4.4 is the probability perceived by individuals
that their performance will lead to desired outcomes or rewards. If a person
believes that better performance will be rewarded, the instrumentality of
performance in relation to rewards will be high. Conversely, if the person
believes that improved performance will not be rewarded, the instrumentality of improved performance will be low.
Outcomes are listed only once in Figure 4.4, but they play two important
roles in expectancy theory. The level of performance (in the center of the
ﬁgure) actually represents an outcome of the “individual program participant’s effort to perform” component of the ﬁgure. Vroom called this a ﬁrstorder outcome. Examples of ﬁrst-order outcomes include productivity,
creativity, absenteeism, and quality work resulting from an individual’s
effort to perform. The outcomes component shown on the right side of
Figure 4.4 represents second-order outcomes that result from attainment of
ﬁrst-order outcomes. That is, these outcomes are the rewards (or punishments) associated with performance. Examples include merit pay increases,
the esteem of coworkers, approval by the program’s manager, promotions,
and ﬂexible work schedules.
Crucial to Vroom’s expectancy theory is the concept that people have
preferences for outcomes. Vroom referred to the value an individual
attaches to a particular outcome as its valence. When an individual has a
strong preference for a particular outcome, it receives a high valence;
conversely, a weaker preference for an outcome yields a lower valence.
People have valences for both ﬁrst- and second-order outcomes. For
example, a participant in a program might prefer (have a high valence
for) a merit pay increase to a ﬂexible work schedule, whereas another
participant might prefer the ﬂexibility (second-order outcomes). Or a
participant might prefer to produce quality work (a ﬁrst-order outcome)
because he or she believes this will lead to a merit pay increase (a secondorder outcome).
Expectancy, instrumentality, and valence for outcomes can be combined into an equation to express the motivation to work as follows:
Motivation Expectancy Instrumentality Valence
or
M EI V
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MOTIVATION AS A BASIS FOR LEADING EFFECTIVELY
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It is important to note that because the equation is multiplicative, a low
value assigned to any variable will yield a low result. For example, if a person
is certain that effort will lead to performance, an expectancy value of 1.0 is
assigned). If a person is certain that performance will lead to reward, an
instrumentality value of 1.0 is assigned. And if a person does not have a very
high valence or preference for the reward involved, a lower valence of 0.5
might be assigned. When multiplied (1.0 1.0 0.5 0.5), the result is low,
indicating that motivation is low. For motivation to be high, expectancy,
instrumentality, and valences all must be high.
Implications for Managers For managers of programs, expectancy
theory explains a great deal about motivated behavior. By applying
expectancy theory, managers focus on leverage points that help them
inﬂuence the motivation of other participants. Managers who know what
participants prefer in terms of second-order outcomes resulting from their
efforts and performance have an advantage in developing effective
approaches to their motivation. It is important to remember that implicit
in Vroom’s model is the fact that individuals have different preferences
when it comes to outcomes. The design of approaches to motivation must
reﬂect this fact; the approaches must be ﬂexible enough to address
differences in individual preferences concerning the rewards of work.
Bateman and Snell (2013) identiﬁed three crucial implications for
management work inherent in expectancy theory. First, they argued that
managers should take steps to increase expectancy. This means providing a
work environment that facilitates work performance and establishing
realistic performance objectives. It also means providing training, support,
and encouragement in ways that permit participants to be conﬁdent that
they can perform their work as they are expected to.
Second, Bateman and Snell (2013) urged managers to identify positive
outcomes for participants they seek to motivate. This means thinking about
what it is that jobs offer those who occupy them, as well as what is not
provided by these jobs, but could be. Managers must think about how and
why different participants assign different valences to outcomes and what
this means for motivating behavior. In considering outcomes with high
valences for participants, managers must think about the needs participants
seek to fulﬁll through work.
Third, Bateman and Snell (2013) emphasized that managers should
make good performance instrumental to positive outcomes for participants.
Managers can do this, for example, by making certain that good performance is followed by such positive results as praise and recognition, favorable
performance reviews, or pay increases. Conversely, managers should make
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certain that poor performance has more negative outcomes compared to
good performance.
Adams’s Equity Theory
An important extension of expectancy theory arose from the realization that,
in addition to having preferences as to the outcomes or rewards associated
with performance, individuals also assess the degree to which potential
rewards will be equitably distributed. J. Stacy Adams (1963, 1965) recognized
this phenomenon, which is reﬂected in Adams’s equity theory. This theory
posits that people calculate the ratio of their efforts to the rewards they
receive and compare it to the ratios they believe exist for others in similar
situations. They do this because they have a strong desire to be treated fairly.
Adams argued that a person judges equity with the following equation:
Op Oo

Ip
Io
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where
Op
is the person’s perception of the outcomes received
Ip
is the person’s perception of personal inputs
Oo
is the person’s perception of the outcomes that a comparison
person (or comparison other) received
Io
is the person’s perception of the inputs of the comparison
person (or comparison other)
This formula suggests that participants believe equity exists when they
perceive the ratio of inputs (such as experience, time, effort, dedication,
intelligence, and the like) to outcomes (such as pay, promotions, status,
esteem, monotony, fatigue, danger, and the like) received is equivalent to
that of some comparison other or referent. Conversely, inequity exists when
the ratios are not equivalent.
It is noteworthy that perception, not reality, is considered in this
equation. Furthermore, the comparison other or referent in the equation
could be any of the following (among other possibilities):
•
A person in similar circumstances (a coworker or someone whose
circumstances are thought to be similar)
•
A group of people in similar circumstances (for example, all registered
nurses working in a particular health program)
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MOTIVATION AS A BASIS FOR LEADING EFFECTIVELY
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•
The perceiving person under different circumstances (for example,
earlier in the person’s present position or when he or she previously
occupied another position)
The choice of referent is a function of available information about the
options for comparison as well as perceived relevance of the options to a
particular situation. It is also important to note that in the equation there
may be many different inputs and outcomes. Inputs are what people believe
they contribute to their job; outcomes are what they believe they get from
their job.
Equity theory recognizes that people are concerned both with the
absolute rewards they receive for their efforts and with the relationship
between these rewards and what others receive. In effect, equity theory
recognizes that people are interested in distributive fairness—that is, in
getting what they believe they deserve for their work. Extensive research
(Gill 2011) supports the fact that people consider equity regularly in regard
to how they are treated at work.
When faced with situations they perceive to be inequitable, people seek
to restore equity in a number of different ways. Using pay as an example,
people who feel an inequity (such as that their pay is too low or that they
work harder than others with the same pay) can decrease their input by
reducing effort to compensate for this perceived inequity. Alternatively, they
could seek to change their total compensation package as a way to reduce
the perceived pay inequity. Or they could seek to modify their comparisons
or referents. For example, they might try to persuade low performers who
are receiving equal pay to increase their effort, or they might try to
discourage high performers from exerting so much effort.
Others who feel an inequity in their pay might, perhaps in desperation,
distort reality and rationalize that the perceived inequity is somehow
justiﬁed. As a last resort, people might even choose to leave an inequitable
situation. This action usually occurs only when people conclude that the
inequity will not be resolved. In summary, participants in a program can
attempt to restore equity by changing the reality or their perception of the
inputs and outcomes in the equity equation.
Implications for Managers Equity theory shows that motivation is signiﬁcantly inﬂuenced by both absolute and relative rewards. It also shows that if
people perceive inequity, they act to reduce it. It is therefore important that
managers minimize inequity—real and perceived—in their programs. This
means helping participants understand the differences among jobs and the
associated rewards, and making certain that reward differences actually reﬂect
different performance requirements across jobs.
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The bottom-line implication of equity theory for managers is that
people who feel equitably treated in the workplace are more satisﬁed
than those who feel inequitably treated. Although satisfaction alone does
not ensure a high level of work performance, dissatisfaction, especially when
many participants feel it in a work situation, has very negative consequences,
including the following:
•
Higher absenteeism and turnover rates
•
Fewer good citizenship behaviors
•
More grievances and lawsuits related to the work situation
•
Stealing, sabotage, and vandalism
•
More job stress
•
Other costly, negative consequences for a health program and the
participants in it
Above all, equity theory emphasizes the importance of managers’
treating participants in a program fairly and ensuring that participants
perceive themselves as being treated equitably.
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Locke’s Goal-Setting Theory
A third important model within the process perspective on motivation
derives from the work of Edwin Locke (1987). Building on the idea that
human behavior is largely goal directed, Locke viewed goal setting as a
cognitive process through which conscious goals, as well as intentions about
pursuing them, are developed and become primary determinants of behavior (Latham and Locke 2006; Locke and Latham 2004). In Locke’s goalsetting theory, a goal is deﬁned as something that an individual consciously
attempts to attain (Latham and Locke 1987, 2006). The central premise here
is that people focus their attention on the concrete tasks that are related to
attaining their goals, and persist in the tasks until the goals are achieved.
In general, studies afﬁrm the importance of goals in motivation (Petri
and Govern 2013; Pinder 2012). Locke’s theory includes the facts that goal
speciﬁcity (the degree of quantitative precision of the goal) and goal
difﬁculty (the level of performance required to reach the goal) are important
to motivation; both facts have been afﬁrmed by other studies (Latham 2007).
It is also well established that goals that are speciﬁc lead to improvement in
an individual’s performance, because he or she has a better understanding of
what is to be done. Finally, knowledge about the role of goals in motivation
has been enhanced by research that shows the positive relationship between
goals’ being accepted as appropriate by a person and his or her performance.
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THE ONGOING SEARCH TO UNDERSTAND EFFECTIVE LEADING
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Other studies (Petri and Govern 2013) show that people are more likely to
accept goals, especially difﬁcult goals set for them at work, when they
participate in establishing them.
Implications for Managers Goals that can effectively motivate desirable
behaviors in the workplace have certain characteristics that managers should
keep in mind as they set goals for participants in a program, collaboratively
establish goals with participants, or encourage participants to set goals for
themselves. For goals to have the greatest ability to motivate, they should be
acceptable to participants. Acceptability is greater when work-related goals do
notconﬂictwithpersonalvalues,andwhenpeoplehaveclearreasonstopursue
them. Goals should also be challenging but attainable, and they should be
speciﬁc, quantiﬁable, and measurable (Bateman and Snell 2013). It is also
important for managers to provide participants with timely and speciﬁc
feedback on their progress toward achieving established goals.
Many of the most signiﬁcant challenges of leading and of helping
participants be motivated in the workplace arise because managers do
not clearly deﬁne and specify the desired results (mission and objectives)
toward which they want participants to contribute. When participants know
and understand a program’s mission and objectives, it is easier for them to
formulate or accept speciﬁc goals that contribute to the achievement of the
mission and objectives. Effective leaders clearly state desired results, which
all participants can then link to the work-related goals that they establish for
themselves or that have been established for them or in consultation with
them. Clear statements of a program’s mission and objectives are especially
useful in promoting desired behaviors and in leading in general when those
who will be inﬂuenced by the statements have participated in formulating
them and agree with what they say.
The Ongoing Search to Understand Effective
Leading
From the previous discussion, we now know that greater understanding of
inﬂuence and motivation supports a manager’s core activity of leading,
because leading effectively means inﬂuencing participants to make contributions that help accomplish the mission and objectives established for a
program. That being said, neither inﬂuencing nor motivating a program’s
participants—nor a combination of these two actions—fully explains effective leadership by managers. The search for such an explanation is an
ongoing and evolutionary process from which a better understanding of
leading is emerging. This continuing search is considered in this section.
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Figure 4.5
Leader traits
Effective leading
Leader traits and behaviors
Effective leading
Leader traits and behaviors
in a specific situation
Effective leading
Comparing Three Approaches to Understanding Effective Leading
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
In seeking for many decades to understand how effective leading is
accomplished in work settings, researchers have taken three general
approaches. The traits approach is based on the proposition that
traits—encompassing skills, abilities, or characteristics—inherent in some
people explain why they are more effective at leading than others. The
behaviors approach, which grew directly out of the realization that traits
cannot fully explain effective leading, is based on the assumption that
particular behaviors or sets of behaviors that make up a style of leading
might be associated with success in leading. A third approach, called the
situational approach, integrates the traits and behaviors approaches by
arguing that traits and behaviors must be combined with particular situations to explain effective leading (see Figure 4.5 for the evolutionary
progression of these approaches). Key insights drawn from studies conducted within each approach are described in the following subsections.
Leader Traits
The earliest studies of leading were based on the idea that particular physical
or personality traits distinguish effective leaders. In attempting to prove the
so-called trait theory of leadership, researchers sought to ﬁnd traits that all
effective leaders possess. Many different traits were studied, including
physical characteristics, such as height, weight, and appearance, and personality traits, such as alertness, originality, integrity, and self-conﬁdence, as
well as intelligence or cleverness. Although the search for universal leader
traits was not fruitful (Bass and Bass 2008), researchers have identiﬁed traits
and patterns of traits that tend to be associated with effective leaders
(Ledlow and Coppola 2014). For example, Kirkpatrick and Locke (1991,
48) concluded that “although research shows that the possession of certain
traits alone does not guarantee leadership success, there is evidence that
effective leaders are different from other people in certain key respects. Key
leader traits include: drive (a broad term which includes achievement,
motivation, ambition, energy, tenacity, and initiative); leadership motivation
(the desire to lead but not to seek power as an end in itself); honesty and
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THE ONGOING SEARCH TO UNDERSTAND EFFECTIVE LEADING
integrity; self-conﬁdence (which is associated with emotional stability);
cognitive ability; and knowledge. There is less clear evidence for traits
such as charisma, creativity, and ﬂexibility.”
Goleman (2011) found an association between what he termed a
leader’s emotional intelligence and his or her effectiveness at leading.
He identiﬁed ﬁve components of emotional intelligence: self-awareness,
self-regulation, motivation, empathy, and social skill. Self-awareness is the
ability to recognize one’s own moods, emotions, and drives as well as to
determine their effect on others. Self-regulation refers to the ability to
control or redirect negative or disruptive moods or emotions. Motivation, in
Goleman’s view, reﬂects a strong drive to achieve and to pursue desired
results with energy and persistence. Empathy means the ability to understand other people. Social skill refers to being proﬁcient in building
relationships and being persuasive. Goleman (1998, 94) argued that without
emotional intelligence, “a person can have the best training in the world, an
incisive, analytical mind, and an endless supply of smart ideas, but still won’t
make a great leader.”
As research expanded the perspectives on the role of leader traits in
effectiveness at leading, traits began to be seen as predispositions to
behaviors. This viewpoint has been expressed as, “A particular trait, or
set of them, tends to predispose (although does not cause) an individual
to engage in certain behaviors that may or may not result in leadership
effectiveness” (Pointer 2006, 132). This research led to an appreciation
that traits have an impact on effectiveness at leading, but not in the way
imagined in the earlier search for universal traits of leaders: “What
seems to be most important is not traits but rather how they are
expressed in the behavior of the leader” (Van Fleet and Yukl 1989,
67); also important is how they are expressed in a leader’s style, which is
a broader concept.
Leader Behaviors and Styles of Leading
Studies of the relationships between the behaviors and styles of leading
exhibited by leaders and effectiveness were premised on the exciting
possibility that, if especially successful behaviors or styles could be identiﬁed, people could be taught how to be leaders (Pinder 2012; Yukl 2012a).
Leaders would not have to be born with certain traits or attributes. The
studies focused on describing leader behaviors, developing concepts and
models of styles of leading (with styles being thought of as combinations of
behaviors), and examining the relationships between different styles and
effectiveness in leading.
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One of the contributions of the studies of leader behaviors and styles has
been the identiﬁcation and deﬁnition of speciﬁc leader behaviors. Currently
there is widespread agreement about what behaviors exhibited by leaders
are related to success at leading. According to Yukl (2012a, 84–85), these
behaviors are
•
Planning: develops short-term plans for the work; determines how to
schedule and coordinate activities to use people and resources efﬁciently; determines the action steps and resources needed to accomplish
a project or activity.
•
Clarifying: clearly explains task assignments and member responsibilities; sets speciﬁc goals and deadlines for important aspects of the work;
explains priorities for different objectives; explains rules, policies, and
standard procedures.
•
Monitoring: checks on the progress and quality of the work; examines
relevant sources of information to determine how well important tasks
are being performed; evaluates the performance of members in a
systematic way.
•
Problem Solving: identiﬁes work-related problems that can disrupt
operations, makes a systematic but rapid diagnosis, and takes action to
resolve the problems in a decisive and conﬁdent way.
•
Supporting: shows concern for the needs and feelings of individual
members; provides support and encouragement when there is a difﬁcult
or stressful task, and expresses conﬁdence members can successfully
complete it.
•
Recognizing: praises effective performance by members; provides
recognition for member achievements and contributions to the organization; recommends appropriate rewards for members with high
performance.
•
Developing: provides helpful feedback and coaching for members who
need it; provides helpful career advice; encourages members to take
advantage of opportunities for skill development.
•
Empowering: involves members in making important work-related
decisions and considers their suggestions and concerns; delegates
responsibility and authority to members for important tasks and
allows them to resolve work-related problems without prior
approval.
•
Advocating Change: explains an emerging threat or opportunity;
explains why a policy or procedure is no longer appropriate and should
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be changed; proposes desirable changes; takes personal risks to push for
approval of essential but difﬁcult changes.
•
Envisioning Change: communicates a clear, appealing vision of what
could be accomplished; links the vision to member values and ideals;
describes a proposed change or new initiative with enthusiasm and
optimism.
•
Encouraging Innovation: talks about the importance of innovation
and ﬂexibility; encourages innovative thinking and new approaches for
solving problems; encourages and supports efforts to develop innovative new products, services, or processes.
•
Facilitating Collective Learning: uses systematic procedures for
learning how to improve work unit performance; helps members
understand causes of work unit performance; encourages members
to share new knowledge with each other.
•
Networking: attends meetings or events; joins professional associations or social clubs; uses social networks to build and maintain
favorable relationships with peers, superiors, and outsiders who can
provide useful information or assistance.
•
External Monitoring: analyzes information about events, trends, and
changes in the external environment to identify threats, opportunities,
and other implications for the work unit.
•
Representing: lobbies for essential funding or resources; promotes and
defends the reputation of the work unit or organization; negotiates
agreements and coordinates related activities with other parts of the
organization or with outsiders.
Studies of leader behavior have added an important dimension to the
understanding of leading and new insights into effectiveness in leading. It
should be noted, however, that as with the studies of traits, leader behavior
studies have not fully explained successful leadership. As Yukl (2012a, 66)
concluded, “Extensive research on leadership behavior during the past half
century has yielded many different behavior taxonomies and a lack of clear
results about effective behaviors.” Even so, we will review the evolution of
leader behavior studies because they add to our understanding of leading.
Early Studies of Leader Behavior
The most important early studies of leader behavior were conducted in the
late 1940s at the Ohio State University and at the University of Michigan. In
fact, most studies of leader behavior are based, at least in part, on this
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pioneering work. The Ohio State University leader behavior studies
identiﬁed two separate dimensions of leader behavior: consideration and
initiating structure (Ledlow and Coppola 2014; Stogdill and Coons 1957)
Consideration refers to the degree to which a leader acts in a friendly and
supportive manner, shows concern for followers, and looks out for their
welfare. Initiating structure refers to the degree to which a leader deﬁnes and
structures the work to be done by followers and the extent to which
followers focus their attention on achieving desired results established by
the leader.
Other researchers conducting the University of Michigan leader
behavior studies did work that paralleled the studies at the Ohio State
University. Based on extensive interviews of leaders and followers in a
variety of organizations, Likert and his colleagues at the University of
Michigan identiﬁed two distinct styles of leader behavior: job centered
and employee centered (Likert 1961, 1977). Among the leaders these
researchers studied, those who were employee centered emphasized
interpersonal relations, took a personal interest in the needs of their
followers, and readily accepted differences among work group members. These leaders were considerate, supportive, and helpful with
followers. In contrast, job-centered leaders emphasized technical or
task aspects of the job, were more concerned with participants’ accomplishing their tasks than anything else, and regarded participants
primarily as a means of getting work accomplished. These leaders
spent their time planning, scheduling, coordinating, and closely supervising the work of participants.
Studies conducted in a variety of settings have found that effective
leaders are employee centered and focus on the needs of participants. These
studies have also demonstrated that effective leaders establish high performance objectives for participants, but permit them to participate in
establishing the objectives (Katz and Kahn 1978).
Likert (1977), who was especially inﬂuenced by the ﬁndings on
employee-centered behaviors, came to believe that a key element in effective
leadership is the degree to which a leader allows followers to inﬂuence his or
her decisions. He believed that follower participation in decision making
encourages acceptance of decisions and commitment to them, both of
which contribute directly to productivity and to follower satisfaction. His
views on the beneﬁts of participative leadership stimulated substantial
research on its effects. Miller and Monge (1986) provided a good metaanalytic review of studies of the value of participative leadership. The
relevance of these studies to managing health programs can be summarized
as follows:
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THE ONGOING SEARCH TO UNDERSTAND EFFECTIVE LEADING
•
Participation encourages those who work in a program to identify more
closely with it. This enhances motivation, especially in regard to such
contributory behaviors as cooperation, protecting fellow participants
and property, avoiding waste, and generally going beyond the call of
duty. If people have a voice in their work, they tend to be more
enthusiastic in performing that work.
•
Participation can be a means of overcoming resistance to change. Those
who participate in making decisions about change will have a better
understanding of the need for change and be less likely to resist it.
•
Participation enhances followers’ personal growth and development. By
participating in decision making, they gain experience and become
more proﬁcient in decision making.
•
Participation enables a wider range of ideas and experiences to be
brought to bear on a problem or opportunity. Often participants who
are closer to a situation and more familiar with it can develop ideas as to
how to solve problems or take advantage of opportunities more readily
than can managers.
•
Participation increases the ﬂexibility and adaptability of those who work
in a program and improves how the program’s organization design (see
Figure 3.4) and logic model (see Figure 2.1) accomplish their purposes
as participants gain a wider range of experience with how a program’s
various components ﬁt together.
Studies of Leader Styles
The behavior studies provided the intellectual foundation for subsequent
efforts to identify effective leader styles by identifying the optimal mix of
leader behaviors for achieving effectiveness. (Remember that styles of
leading mean particular combinations of behaviors.) One such effort that
has been useful in its depiction of variations in leader styles was undertaken
by Blake and Mouton (1985) and subsequently expanded by Blake and
McCanse (1991). Their model of leader styles uses two variables: concern for
people and concern for production.
The concern for people orientation focuses on the leader’s relationships
with followers. The concern for production orientation focuses on tasks and
objectives in relation to performing work. The two orientations can be used
as the axes on a diagram to help visualize the variation in possible styles of
leading. For example, using a scale from 1 (minimum concern) to 10
(maximum concern), a style characterized by minimum concern for both
people and production would be located at the bottom left of the diagram.
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Similarly, a style characterized by maximum concern for people and for
production would be located at the top right of the diagram. Different levels
of concern for these two variables permit plotting of various styles of
leading.
Slevin and Pinto (2007) developed another leader style model as a
means of clarifying how leaders achieve consensus with followers in
decision making. This model of leader styles is based on two dimensions:
information input and decisional authority. Information input is determined by the degree of information inputted by followers into a decisionmaking situation. The decisional authority dimension is determined by
whether leaders either make decisions by themselves or share the
decision making with followers. These two dimensions form a grid,
called the Bonoma-Slevin Leadership Model, with decisional authority
on the x-axis, scaled from 0 to 100, and information input on the y-axis,
also scaled from 0 to 100. The four extreme leader styles formed by this
grid are as follows:
•
Autocrat (100 on x-axis, 0 on y-axis), a style in which leaders seek little
or no input from followers and make the decisions by themselves.
•
Consultative autocrat (100 on x-axis, 100 on y-axis), a style in which
leaders seek extensive input from followers, but keep substantive
decisional authority for themselves.
•
Consensus leader (0 on x-axis, 100 on y-axis), a style in which leaders
seek maximum input from followers and allow for full participation in
the decision-making process.
•
Stakeholder leader (0 on x-axis, 0 on y-axis), a style in which leaders
delegate ultimate authority for decision making to followers, but
without obtaining any input from them. In effect, this style represents
weak or failed leadership.
Turning Point in the Study of Leader Behaviors and Styles
Tannenbaum and Schmidt (1973) developed a model in which several
possible styles of leading are arrayed as a continuum. This model shows
alternative styles based on how much participation leaders afford other
participants in their decision making. The resulting styles of leading, with
the labels used in Tannenbaum and Schmidt’s continuum of leader styles
model, can be described as follows:
•
Autocratic leaders make decisions and announce them to other participants. The role of other participants is to carry out orders without an
opportunity to materially alter decisions already made by a manager.
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THE ONGOING SEARCH TO UNDERSTAND EFFECTIVE LEADING
•
Consultative leaders convince other participants of the correctness of a
decision by carefully explaining the rationale for the decision and its
effect on the other participants and on the program. A second consultative style is practiced when managers permit slightly more involvement by other participants. For example, a manager might present
decisions to other participants and also invite questions to enhance
understanding and acceptance.
•
Participative leaders present tentative decisions that will be changed if
other participants can make a convincing case for different decisions. A
second participative style is practiced when a manager presents a
problem to participants, seeks their advice and suggestions, but then
makes the decision. This style of leading makes greater use of participation and less use of authority than do autocratic and consultative
styles.
•
Democratic leaders deﬁne the limits of the situation and problem to be
solved and permit other participants to make the decision.
•
Laissez-faire leaders permit other participants to have great discretion
in decision making. The manager participates in decision making with
no more inﬂuence than other participants. Leaders’ and other participants’ roles in decision making are indistinguishable in this style.
The importance of Tannenbaum and Schmidt’s (1973) model to understanding leading lies in their conclusion that the best style of leading
depends on the circumstances present in a particular situation. In their
view, the choice of a style should be based on three sets of factors:
•
Factors within managers, such as their value system, conﬁdence in other
participants, and tolerance for ambiguity and uncertainty
•
Factors within the other participants in a situation, such as their
expectations, need for independence, ability, knowledge, and experience
•
Factors in a particular situation, such as the organization design, the
logic model, the nature of the problem to be solved or the work to be
done, and time pressure
Tannenbaum and Schmidt (1973) made a signiﬁcant leap forward in
understanding leading by arguing that no single style of leading is correct all
of the time or in all situations. Leaders must adapt and change styles to ﬁt
different situations. An autocratic style might be appropriate in certain
clinical situations in programs where work frequently involves a high degree
of urgency. But this style could be disastrous in other situations, such as
when a manager must decide how to offer a new service in a program or
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improve communication with participants. Tannenbaum and Schmidt’s
model, which couples a set of relatively discrete styles of leading with the
concept that certain factors dictate choosing one style over the others,
provides a bridge between the early traits and behaviors approaches to
understanding leading and contemporary (and much more sophisticated)
situational or contingency models of leading, which are described next.
Situational or Contingency Models of Leading
When it was found that leading effectiveness could not be fully explained by
traits, behaviors, or styles, and especially when it was found that behaviors
and styles appropriate and effective in one situation produce failure in
others, researchers turned their attention to incorporating situational
inﬂuences, or contingencies, into models of leading. Described brieﬂy
here are three from among the many resulting models that seek to explain
how situational variables help determine the relative effectiveness of leader
styles. The path-goal model developed by House and Mitchell (1974) is
given the most attention because it is the most useful of the situational
models.
Copyright © 2014. John Wiley & Sons, Incorporated. All rights reserved.
Fiedler’s Contingency Model
Fred Fiedler (1967, 1978) sought to identify situations in which certain
leader traits are especially effective. His hypothesis was that effective leading
is contingent on whether the elements in a particular leading situation ﬁt
speciﬁc traits of the leader. Complex theories have ample room for criticism,
and Fiedler’s contingency model is no exception. Considerable research,
however, supports the model (Bass and Bass 2008).
Fiedler’s work is important because it represents the ﬁrst comprehensive attempt to incorporate situational variables, or contingencies, directly
into a model of leading. The contingency model has utility in management
practice, especially in suggesting to managers the importance of systematically assessing whether their relationships with the participants in a program
are supportive. The contingency model also considers how the organization
design and processes being used ﬁt a manager’s leader style and, in turn, how
this affects his or her effectiveness as a leader.
Hershey and Blanchard’s Situational Model
Paul Hershey and Kenneth Blanchard (2012) developed a model of leading
that attempts to explain leading effectiveness in terms of the interplay
among (1) the manager’s relationship behavior, deﬁned as the extent to
which he or she maintains personal relationships with other participants
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through open communication and by exhibiting supportive behaviors and
actions toward them; (2) the manager’s task behavior, which is the extent to
which he or she organizes and deﬁnes the roles of participants and guides
and directs them; and (3) the participants’ readiness levels, by which
Hershey and Blanchard meant their readiness to perform a task or function
or to pursue a particular objective.
Hershey and Blanchard’s situational model identiﬁes the participants
a manager is attempting to lead as the most important situational variable,
speciﬁcally focusing on participants’ readiness to perform. The central
premise is that the appropriate leader style depends on the readiness levels
of the people the manager is seeking to inﬂuence. In this model, readiness is
assessed according to two factors: ability and willingness. Ability refers to
the knowledge, experience, and skills that an individual or group possesses.
Willingness is the extent to which an individual or group has the commitment and motivation needed to accomplish a speciﬁc task.
This model, widely used by managers, suggests that managers engaged
in leading must be concerned about other participants’ readiness to be led,
and must recognize their ability to affect the readiness levels of other
participants. This model also reminds managers that it is important to treat
all participants in a program as individuals, with real differences among
them. Moreover, the model reminds managers to treat the same participant
differently over time, as his or her readiness level changes (Bateman and
Snell 2013).
House and Mitchell’s Path-Goal Model
Like the other situational or contingency models of leading just described,
House and Mitchell’s path-goal model attempts to predict which leader
behaviors will be most effective in particular situations. This model is
perhaps the most generally useful situational model of leading effectiveness.
Its name is derived from its focus on how leaders inﬂuence participants’
perceptions of their work goals and the paths they follow toward attaining
these goals. Robert House (1971), in originally conceiving this model,
posited that a leader’s functions are to increase the personal payoffs to
followers for attaining their work-related goals, and to make the path to
these payoffs smoother. House and Terence Mitchell (1974, 81), who helped
develop the theory further, argued that “leaders are effective because of their
impact on subordinates’ motivation, ability to perform effectively, and
satisfaction.” The path-goal model incorporates the concept that leader
behaviors are motivating or satisfying to the degree that they clarify the
paths to and thereby increase participants’ goal attainment.
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This model of leading draws on the results of the Ohio State University
(Ledlow and Coppola 2014; Stogdill and Coons 1957) and University of
Michigan leadership studies from the 1940s (Likert 1961, 1977), and on the
previously described expectancy theory of motivation (Vroom 1964). As
already noted, expectancy theory describes the relationships between
expectancy, instrumentality, and valence, where expectancy is the perceived
probability that effort will affect performance, instrumentality is the perceived probability that performance will lead to outcomes, and valence is the
value attached to an outcome by a person. The path-goal model of leading
focuses on the factors that affect expectancy, instrumentality, and valence.
Leaders can increase the valences associated with work-goal attainment, the
instrumentality of work-goal attainment, and the expectancy that efforts will
result in work-goal attainment.
The path-goal model is considered to be situational because its basic
premise is that the effect of leader behavior on follower performance and
satisfaction depends on the situation, speciﬁcally on follower characteristics and characteristics of the work to be performed (Polston-Murdoch
2013). According to House and Mitchell (1974), there are four categories
of leader behavior, each of which might be best suited to a particular
situation:
•
Directive leading describes the behavior of the leader who tells
followers what they must do, tells them how to do it, requires that
they follow rules and procedures, and schedules and coordinates the
work.
•
Supportive leading describes the behavior of the leader who is friendly
and approachable and exhibits consideration for the well-being and
needs of followers.
•
Participative leading describes the behavior of the leader who consults
with followers, asks for opinions and suggestions, and considers what he
or she hears.
•
Achievement-oriented leading describes the behavior of the leader who
establishes challenging goals for followers, expects excellent performance, and exhibits conﬁdence that they will meet expectations.
House and Mitchell (1974) argued that all four styles of leader behavior
can and should be used by leaders as the situation dictates, and that effective
leaders match styles to situations. Situations can vary along two dimensions.
One dimension is the nature of the people being led. Followers may or may
not have the ability to do the job. They differ, too, as to the perceived degree
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of control they have over their work. The second dimension is the nature of
the task, which may be routine and one with which followers have prior
experience, or which may be new and ambiguous, meaning that followers
require help if the task is to be performed well.
In using the path-goal model, effective leaders would diagnose the
situation at hand and match behaviors to it. For example, directive leading
could be used when followers are not well trained for their work and the
work they are doing is partly routine and partly ambiguous. Supportive or
participative leading might be most appropriate if followers are doing highly
routine work and have experience with such work. Achievement-oriented
leading would be effective if followers are doing highly innovative and
ambiguous work, and if they have high levels of work-related knowledge and
skill—conditions often found in health programs.
The path-goal model of leading, in essence, suggests that program
managers improve leading effectiveness by (1) making the paths to achieving
work goals smoother by providing participants with coaching and direction
when needed, (2) removing or minimizing frustrating barriers that interfere
with participants’ ability to achieve work goals, and (3) increasing the payoffs
for participants when they achieve work goals.
House and Mitchell’s path-goal model is a useful construct because it
merges concepts and knowledge of motivating and leading. The model also
provides a pragmatic framework that is valuable to managers as they
attempt to match their leader behaviors to characteristics of the participants
they seek to lead, as well as to characteristics of a given work situation.
Toward an Integrative Approach to Effective
Leading in Health Programs
Clearly, managers’ effectiveness at leading contributes to the performance of
individual participants, teams and work groups, and entire programs.
Among the core activities of managers, effective leading is as important
as effective developing/strategizing and designing.
Three approaches to understanding leading—traits, behaviors, and
situational or contingency approaches (again, see Figure 4.5)—have been
presented in this chapter. These different approaches have yielded numerous models over the years, each seeking to explain the phenomenon of
effective leading. Individually, however, none of the models fully explains
how a leader is effective. Levey (1990, 479) suggested, “We will probably
never be able to achieve a truly elegant and rigorous general theory of
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leadership.” This prescient view reﬂects the complexity and variety of
variables involved in the dynamic process of leading. Even with this
limitation, however, it is possible to integrate many of the ﬁndings from
this research and the different models of effective leading described in this
chapter into a useful, if incomplete, overall approach to considering effective
leading in programs.
To reiterate some of the key points made in the chapter, we know that
leading effectiveness results from interactions among such variables as
leader traits and behaviors selected to ﬁt situations, all of which are
mediated or inﬂuenced by intervening variables, such as participants’ efforts
and abilities, organization design features, and the availability of appropriate
resources. In health programs, participative styles of leading work best most
of the time.
We also know that, above all else in regard to effective leading, it is
important for managers to realize that because leading is a matter of
inﬂuencing participants to contribute to achieving the mission and objectives established for a program, they must help participants be motivated to
make their contributions. Motivation is a means to the end of leading
participants to make contributions that help accomplish a program’s desired
results.
In terms of using motivation in the leading activity, the simplest and
perhaps best advice is to select motivated participants to ﬁll the positions
in an organization design. People who have demonstrated appropriate
levels of performance in the past are motivated to perform, and will in all
likelihood continue to perform well under favorable conditions. Leading
such participants to contribute to accomplishment of desired results is
rather straightforward. This aside, however, some of the most signiﬁcant
challenges of leading and helping participants be motivated in the
workplace arise because managers do not clearly deﬁne and specify
the desired results (the mission and objectives) toward which they want
participants to contribute. Being an effective leader, and using motivation to support the leading activity, begins with clear statements of
desired results. These statements are especially useful when those who
will be inﬂuenced by them have participated in their formulation and
agree with them.
The models of how motivation occurs discussed in this chapter show us
the powerful and direct connections among participants’ efforts, performance, and rewards. A critical step in motivating people is choosing appropriate ways to reward desired performance, remembering that rewards can
be intrinsically derived from the work itself, or extrinsically provided by
managers. A contemporary approach to the issue of rewarding performance
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TOWARD AN INTEGRATIVE APPROACH TO EFFECTIVE LEADING IN HEALTH PROGRAMS
is what is termed pay-for-performance, or P4P. This approach to rewarding
the performance of individuals or teams links the payment of bonuses to
outstanding performance. The approach works at the level of health
programs and is now being scaled up to apply to entire hospitals and
physician practices. The reason for increased attention to P4P, especially at
the level of entire organizations, is straightforward: “Payers, consumers, and
other stakeholders believe that health care organizations are not providing
services at a satisfactory level of quality or cost, and that strengthening the
link between performance and ﬁnancial rewards will produce better results”
(D’Aunno and Gilmartin 2012, 109).
Also considering theories and models reviewed in this chapter, it is
important to remember that people have different valences or preferences
concerning rewards, making reward selection difﬁcult at times. Some
participants would rather have more challenging assignments or more
vacation time than more money. For others, the reverse may be true.
The point for managers to remember is that rewards must be important
to the person receiving them if they are to be effective motivators. Preferences often can be determined simply by discussing with participants what
they want from work. Viewed broadly, managers’ responsibility to provide
suitable rewards can lead them into such areas as job redesign and job
enrichment, cause them to change their leader styles, and induce them to
change the degree to which they permit others to participate in decision
making, which takes them well beyond the more traditional view of rewards
as pay levels and beneﬁts.
Selecting rewards that are appropriate is only part of the process of
using rewards to motivate. Managers must link rewards to suitable job
performance; that is, rewards must be made contingent on performance,
and the linkage must be explicit. The more a participant knows about the
relationship between performance (with clearly established expectations for
performance) and rewards, the more likely it is that the rewards will help
motivate the desired level of performance. The performance-reward linkage
is strengthened by having rewards follow as soon as possible after desirable
performance, and by providing participants with extensive feedback on
performance. Finally, it is important to remember that people have a strong
preference for being treated fairly or equitably. Their perceptions about the
connection between performance and rewards at work are fundamental to
their sense of fairness. Managers must pay careful attention to the equity
implications of their use of rewards.
Reﬂecting on another important lesson from the work on motivation
reviewed in this chapter, we know that motivation alone does not fully
account for participants’ performance or for their contributions to
Longest, B. B. J. (2014). Health program management : From development through evaluation. John Wiley & Sons, Incorp…

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