229Chapter 7 | Normative Leadership Theories
Theories are key to the study of any discipline, including leadership. They organize
knowledge in a field, explain the relationships between important concepts and variables,
and help scholars and practitioners make predictions about what strategies will be effective.
Theoretical approaches to leadership generally fall into one of two categories: descriptive
or normative. Descriptive theories, as the name implies, describe how leaders act. Early
researchers at the University of Michigan and Ohio State University, for instance, identified
two underlying dimensions to leadership styles: task and relationship.1
They found
that some leaders are more focused on tasks while others are more focused on building
relationships with followers. Normative leadership theories, in contrast, tell leaders how
they ought to act. These theories (1) are explicitly built on moral principles or norms and
The whole point of studying leadership is to answer the question “What is good
leadership?”
—Philosopher and ethicist Joanne Ciulla
There is nothing more practical than a good theory.
—Social psychologist Kurt Lewin
CHAPTER
7 Normative Leadership
Theories
What’s Ahead
In this chapter, we will look at leadership theories specifically designed to
improve the ethical behavior of leaders and followers. These include transformational
leadership, servant leadership, authentic leadership, aesthetic leadership,
responsible leadership, and Taoism. As I did in discussing ethical perspectives
in Chapter 5, I’ll describe each theory and then make some suggestions for
applying it as a leader. I’ll also offer some cautions about the limitations of
each approach.
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(2) provide guidelines for promoting ethical leader behavior. Proponents of each normative
approach argue that adopting their perspective will enable leaders to function as both moral
persons and moral managers. In this chapter I’ll introduce several normative leadership
theories that can help you cast more light than shadow.
Transformational Leadership:
Raise the Ethical Bar
Interest in transformational leadership began in 1978 with the publication of the
book Leadership by James MacGregor Burns, a political scientist, historian, and former
presidential adviser.2
Burns contrasts traditional forms of leadership, which he calls
“transactional,” with a more powerful form of leadership that he calls “transforming.”
Transactional leaders appeal to lower-level needs of followers—that is, the needs for
food, shelter, and acceptance. They exchange money, benefits, recognition, and other
rewards in return for the obedience and labor of followers; the underlying system remains
unchanged. In contrast, transformational leaders speak to higher-level needs, such as
esteem, competence, self-fulfillment, and self-actualization. In so doing, they change the
very nature of the groups, organizations, or societies they guide. Burns points to Franklin
Roosevelt and Mahatma Gandhi as examples of leaders who transformed the lives of
followers and their cultures as a whole. In a more recent work, Transforming Leadership,
Burns argues that the greatest task facing transformational leaders is defeating global
poverty, which keeps the world’s poorest people from meeting their basic needs for food,
medicine, education, and shelter.3
Moral commitments are at the heart of Burns’s definition of transforming leadership.
“Such leadership,” states Burns, “occurs when one or more persons engage with others in
such a way that leaders and followers raise one another to higher levels of motivation and
morality.”4
Transformational leaders focus on terminal values such as liberty, equality, and
justice. These values mobilize and energize followers, create an agenda for action, and appeal
to larger audiences.5
Transforming leaders are driven by duty, the deontological ethical
approach described in Chapter 5.6
They are guided by universal ethical principles, feel a
sense of obligation to the group, and treat followers with respect. They are also altruistic,
making sacrifices for followers, empowering others, and focusing on shared goals and
objectives. Transformational leaders engage in higher-level moral reasoning, demonstrate
greater integrity, are more successful at leading organizational ethical turnarounds, encourage
the development of positive ethical climates, institutionalize ethical practices, and foster
corporate social responsibility.7
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In contrast to transformational leaders, transactional leaders emphasize instrumental values
such as responsibility, fairness, and honesty, which make routine interactions go smoothly.
They take a utilitarian approach, judging the morality of actions based on their outcomes.
They use their power and position to convince followers to comply so that both they and
their subordinates will benefit. More focused on the self, transactional leaders are concerned
with protecting their interests rather than with promoting the interests of the group. They
are more likely to be controlling than empowering.
In a series of studies, leadership expert Bernard Bass and his colleagues identified
the factors that characterize transactional and transformational forms of leadership
and demonstrated that transformational leaders can be found in organizations.8
They
discovered that transactional leadership has both active and passive elements. Active
transactional leaders engage in contingent reward and management-by-exception. They
provide rewards and recognition contingent on followers’ carrying out their roles and
reaching their objectives. After specifying standards and the elements of acceptable
performance, active transactional leaders then discipline followers when they fall short.
Passive–avoidant or laissez-faire leaders wait for problems to arise before they take action,
or they avoid taking any action at all. These leaders fail to provide goals and standards or
to clarify expectations.
According to Bass and Avolio, transformational leadership is characterized by the following:
•	 Idealized influence: Transformational leaders become role models for followers who admire,
respect, and trust them. They put followers’ needs above their own, and their behavior is
consistent with the values and principles of the group.
•	 Inspirational motivation: Transformational leaders motivate by providing meaning
and challenge to the tasks of followers. They arouse team spirit, are enthusiastic and
optimistic, and help followers develop desirable visions for the future.
•	 Intellectual stimulation: Transformational leaders stimulate innovation and creativity.
They do so by encouraging followers to question assumptions, reframe situations, and
approach old problems from new perspectives. Transforming leaders don’t criticize
mistakes but instead solicit solutions from followers.
•	 Individualized consideration: Transformational leaders act as coaches or mentors who foster
personal development. They provide learning opportunities and a supportive climate for
growth. Their coaching and mentoring are tailored to the individual needs and desires of
each follower.
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Burns believed that leaders display either transactional or transformational characteristics,
but Bass found otherwise. Transforming leadership uses both transactional and
transformational elements. Explains Bass: “Many of the great transformational leaders,
including Abraham Lincoln, Franklin Delano Roosevelt, and John F. Kennedy, did not
shy away from being transactional. They were able to move the nation as well as play
petty politics.”9
The transformational leader uses the active elements of the transactional
approach (contingent reward and management-by-exception) along with idealized influence,
inspirational motivation, intellectual stimulation, and individualized consideration.10
The popularity of the transformational approach probably has more to do with practical
considerations than with ethical ones. Evidence from more than 100 empirical studies
establishes that transforming leaders are more successful than their transactional
counterparts.11
Their followers are more committed, form stronger bonds with colleagues,
work harder, and persist in the face of obstacles. As a result, organizations led by
transforming figures often achieve extraordinary results: higher quality, greater profits,
improved service, military victories, and better win–loss records. James Kouzes, Barry
Posner, Tom Peters, Warren Bennis, and Burt Nanus are just some of the popular scholars,
consultants, and authors who promote the benefits of transformational leadership.12
Burns originally believed that the transforming leader is a moral leader because the ultimate
products of transformational leadership are higher ethical standards and more ethical
performance. However, his definition didn’t account for the fact that some leaders can use
transformational strategies to reach immoral ends. A leader can act as a role model, provide
intellectual stimulation, and be passionate about a cause. Yet the end product of her or his
efforts can be evil. Hitler had a clear vision for Germany but left a trail of unprecedented
death and destruction.
Acknowledging the difference between ethical and unethical transformational leaders,
Bass adopted the terms authentic and pseudo-transformational to distinguish between the
two categories.13
Authentic transformational leaders are motivated by altruism and marked
by integrity. They don’t impose ethical norms but allow followers free choice, hoping that
constituents will voluntarily commit themselves to moral principles. Followers are viewed as
ends in themselves, not as a means to some other end. Pseudo-transformational leaders are
self-centered. They manipulate followers in order to reach their personal goals. Envy, greed,
anger, and deception mark the groups they lead. Mahatma Gandhi and Martin Luther King,
Jr., deserve to be classified as transformational because they promoted universal brotherhood.
Iranian president Mahmoud Ahmadinejad appeared to be pseudo-transformational because
he encouraged followers to reject those who hold different beliefs. A list of the products
of transformational and pseudo-transformational leadership is found in Box 7.1. You
can use this list to determine whether or not the leader described in Case Study 7.1 is
transformational.
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Transformational Leaders
Raise awareness of moral standards
Highlight important priorities
Increase followers’ need for achievement
Foster higher moral maturity in followers
Create an ethical climate (shared values, high ethical standards)
Encourage followers to look beyond self-interests to the common good
Promote cooperation and harmony
Use authentic, consistent means
Use persuasive appeals based on reason
Provide individual coaching and mentoring
Appeal to the ideals of followers
Allow followers freedom of choice
Pseudo-transformational Leaders
Promote special interests at the expense of the common good
Encourage the dependence of followers and may privately despise them
Foster competitiveness
Pursue personal goals
Foment greed, envy, hate, and deception
Engage in conflict rather than cooperation
Use inconsistent, irresponsible means
Use persuasive appeals based on emotion and false logic
Keep their distance from followers and expect blind obedience
Seek to become idols for followers
Manipulate followers
SOURCES: Bass, B. M. (1998). The ethics of transformational leadership. In J. B. Ciulla (Ed.), Ethics, the
heart of leadership (pp. 169–192). Westport, CT: Praeger; Bass, B. M., & Steidlmeier, P. (1999). Ethics,
character, and authentic transformational leadership behavior. Leadership Quarterly, 10, 181–217.
BOX 7.1 PRODUCTS OF TRANSFORMATIONAL AND
PSEUDO-TRANSFORMATIONAL LEADERSHIP
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Applications and Cautions
Applications
•	 Start small.
•	 Employ the full range of leadership behaviors.
•	 Recognize the universal appeal of transformational leadership.
Transformational leadership can seem intimidating at first. Its proponents set a lofty
standard—raising the level of morality in an organization or society while transforming
its performance. However, you can act as a transformational leader no matter how modest
your leadership role. Chances are you have benefited from the influence of lower-level
transformational leaders. You can probably think of a coach, teacher, shift manager,
counselor, pastor, or other figure who had a lasting impact on you and your team.
You can exert similar positive influence by engaging in the behaviors that demonstrate
idealized influence, inspirational motivation, intellectual stimulation, and individualized
consideration. (Complete Self-Assessment 7.1 to determine how likely you are to use
transformational strategies.) Keep in mind that transformational leaders also master active
transactional tactics. Be prepared to penalize those who fall short of performance standards
or break the rules, reward those who reach their objectives, and so on.
The good news is that you can use transformational behaviors in many contexts, ranging
from small informal groups and military units to large complex organizations. Furthermore,
transforming leadership appears to be effective in a variety of cultures. Researchers at the
Global Leadership and Organizational Behavior Effectiveness (GLOBE) Research Project
asked managers in 62 cultures to identify the characteristics of successful leaders. Nine
transformational attributes were universally associated with outstanding leadership: motive
arouser, foresight, encouraging, communicative, trustworthy, dynamic, positive, confidence
builder, and motivational.14
Cautions
•	 Don’t equate success with transformation.
•	 Transformational leadership has been criticized as leader-centric.
•	 This approach may foster dependence in followers.
Unfortunately, many writers and researchers appear more interested in what works than
in what is right. To them, transformational leadership equates with successful or effective
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leadership; leaders are transforming because they achieve extraordinary, tangible results,
such as rescuing failing corporations or winning battles. These theorists are less concerned
with whether leaders foster higher moral standards or whether transforming tactics serve
ethical ends.
It should be noted that transformational theorists have been labeled as “leader-centric” for
paying too much attention to leaders while downplaying the contributions of followers. One
critic describes the image presented by transformational theorists this way: “The picture
is one in which extraordinary leaders exercise a unidirectional influence on more-or-less
willing followers, who are presumably little more than empty vessels awaiting a transfusion
of insight from their betters.”15
These skeptics have reason for concern. Burns, Bass, and
other proponents of transformative leadership argue that leaders play the most important
role in determining group morality and performance. Leaders craft the vision, challenge the
status quo, and inspire. At times, they may decide to transform the organization in spite of,
not because of, followers, as in the case of the CEO who overrules the recommendations
of his staff in order to bring about change. Critics of transformational leadership argue that
followers are just as important to the success of a group as leaders, if not more so. After
all, followers do most of the work. Worse yet, transforming leaders can silence dissent and
encourage subordinates to sacrifice their legitimate self-interests in order to meet the needs
of the group.16
So much focus on the leader can create dependence and undermine such values as shared
decision making and consensus. Followers won’t act independently if they continually
look to you for guidance. You may also get an inflated sense of your own importance,
which can tempt you to cast shadows. Bass believes that the distinction between pseudotransformational
and authentic transformational leadership addresses these concerns.
Authentic transforming leaders are much less prone to ethical abuses, he asserts, because
they put the needs of others first, treat followers with respect, and seek worthy objectives.
You’ll need to decide for yourself whether transformational theorists have adequately
responded to the dangers posed by their perspective.
Servant Leadership:
Put the Needs of Followers First
Servant leadership has roots in both Western and Eastern thought. Jesus told his disciples
that “whoever wants to become great among you must be your servant, and whoever wants
to be first must be slave of all” (Mark 1:43–44, New International Version). As we’ll see in
the final section of this chapter, Chinese philosophers encouraged leaders to be humble
valleys. Robert Greenleaf sparked contemporary interest in leaders as servants. Greenleaf,
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who spent 40 years in research, development, and education at AT&T and 25 years as
an organizational consultant, coined the term servant leader in the 1970s to describe a
leadership model that puts the concerns of followers first.17
Later he founded a center to
promote servant leadership. A number of businesses (e.g., the Container Store, Aflac),
nonprofit organizations, and community leadership programs have adopted his model.18
Margaret Wheatley, Peter Block, Max DePree, and James Autry have joined Greenleaf in
urging leaders to act like servants.
The basic premise of servant leadership is simple yet profound: Leaders should put the needs
of followers before their own needs. In fact, what happens in the lives of followers should be
the standard by which leaders are judged. According to Greenleaf, when evaluating a leader
we ought to ask, “Do those served grow as persons? Do they, while being served, become
healthier, wiser, freer, more autonomous, more likely themselves to become servants?”19
By continually reflecting on what would be best for their constituents, servant leaders are
less likely to cast shadows by taking advantage of the trust of followers, acting inconsistently,
or accumulating money and power. Theorists have identified a number of attributes that
characterize servant leaders (see Box 7.2). While the lists of attributes vary, five related
concepts appear central to servant leadership:
1. Stewardship. Being a servant leader means acting on behalf of others.20
Leaders function
as the agents of followers, who entrust them with special duties and opportunities for a
limited time. Servant leaders are charged with protecting and nurturing their groups and
organizations while making sure that these collectives serve the common good. Stewardship
implies accountability for results. However, stewards reach their objectives through
collaboration and persuasion rather than through coercion and control.
2. Obligation. Servant leaders take their obligations or responsibilities seriously. (Turn to
Case Study 7.2 for a description of one group of leaders and followers who lost sight of
their obligations.) Max DePree, former CEO of Herman Miller, a major office furniture
manufacturer, offers one list of what leaders owe their followers and institutions.21
•	 Assets: Leaders need to ensure financial stability as well as the relationships and reputation
that will ensure future prosperity. Leaders must also provide followers with adequate
tools, equipment, and facilities.
•	 A legacy: When they depart, leaders ought to leave behind people who find more
meaning, challenge, and joy in their work.
•	 Clear institutional values: Servant leaders articulate principles that shape both individual
and organizational behavior.
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•	 Future leadership: Current leaders are obligated to identify and then develop their
successors.
•	 Healthy institutional culture: Servant leaders are responsible for fostering such
organizational characteristics as quality, openness to change, and tolerance of diverse
opinions.
•	 Covenants: Covenants are voluntary agreements that serve as reference points for
organization members, providing them with direction. Leaders and followers who enter
into a covenant are bound together in pursuit of a common goal.
•	 Maturity: Followers expect a certain level of maturity from their leaders. Mature leaders
have a clear sense of self-worth, belonging, responsibility, accountability, and equality.
•	 Rationality: Leaders supply the reason and understanding that help followers make
sense of organizational programs and relationships. A rational environment builds
trust, allows followers to reach their full potential, and encourages ongoing
organizational learning.
•	 Space: Space is a sense of freedom that allows followers and leaders to be and express
themselves. Leaders who create adequate space allow for the giving and receiving of such
gifts as new ideas, healing, dignity, and inclusion.
•	 Momentum: Servant leaders help create the feeling that the group is moving forward and
achieving its goals. Momentum arises out of a clear vision and strategy supported by
productive research, operations, financial, and marketing departments.
•	 Effectiveness: Effectiveness comes from enabling followers to reach their personal and
institutional potential. Servant leaders allow followers to assume leadership roles when
conditions warrant.
•	 Civility and values: A civilized institution is marked by good manners, respect for others,
and service. Wise leaders can distinguish between what is healthy for the organization
(dignity of work, hope, simplicity) and what is superficial and unhealthy (consumption,
instant gratification, affluence).
3. Partnership. Servant leaders view followers as partners, not as subordinates. As a
consequence, they strive for equity or justice in the distribution of power. Strategies for
empowering followers include sharing information, delegating authority to carry out
important tasks, and encouraging constituents to develop and exercise their talents. Concern
for equity extends to the distribution of rewards as well. For example, both employees and
executives receive bonuses when the company does well.
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4.  Emotional healing. Servant leaders help followers and organizations recover from
disappointment, trauma, hardship, and broken relationships.22
They are both empathetic
and highly skilled as listeners. They create climates that facilitate the sharing of personal and
work-related feelings and issues. Emotional healing restores a “sense of wholeness” to both
individuals and organizations.
5.  Elevating purpose. In addition to serving followers, servant leaders serve worthy missions,
ideas, and causes. Seeking to fulfill a high moral purpose and understanding the role one
plays in the process make work more meaningful to leaders and followers alike. Consider
the example of three bricklayers at work in the English countryside. When asked by a
traveler to describe what they were doing, the first replied, “I am laying bricks.” The second
said, “I am feeding my family by laying bricks.” The third bricklayer, who had a clearer sense
of the purpose for his labor, declared, “Through my work of laying bricks, I am constructing
a cathedral, and thereby giving honor and praise to God.”
BOX 7.2 SERVANT LEADER ATTRIBUTES
empathy	 competence	integrity/honesty
agreeableness
(Washington, Sutton, & Field, 2006)
___________________________________________________________________________________________
altruistic calling	 emotional healing	 organizational stewardship
persuasive mapping	 wisdom
(Babuton & Wheeler, 2006)
___________________________________________________________________________________________
listening	 empathy	healing
awareness	 persuasion	conceptualization
foresight	 stewardship	 building community
commitment
to the growth of people
(Spears, 2004)
___________________________________________________________________________________________
vision	 honesty	integrity
trust	 service	modeling
pioneering	 empowerment	 appreciation of others
communication	 credibility	competence
visibility	 influence	persuasion
listening	 encouragement	teaching
delegation
(Russell & Stone)
___________________________________________________________________________________________
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For much of the theory’s history, support for servant leadership was anecdotal, consisting
largely of lists of servant characteristics and examples of servant leaders. More recently, scholars
have begun to subject servant leadership to empirical testing. Servant leadership questionnaires
like the one in Self-Assessment 7.2 have been developed, and researchers are exploring the
impacts of servant leadership on followers and organizational performance. So far they have
discovered that:
•	 Servant leaders help satisfy follower needs and boost followers’ job satisfaction and job
performance.
•	 Followers give servant leaders higher character ratings.
•	 Top-level servant leaders encourage lower-level leaders to act as servants.
•	 Servant leadership prompts employees to go beyond their job descriptions to help others.
•	 Employees led by servant leaders are less likely to quit their jobs.
•	 Servant leadership creates an ethical, trusting organizational climate.
•	 Servant leadership can increase profits.
•	 Servant leaders help team members believe in their group’s ability to accomplish its tasks.
•	 Servant leadership is accepted across a variety of cultures, although the importance of the
dimensions of servant leadership varies between societies.23
Sources
Babuto, J. E., & Wheeler, D. W. (2006). Scale development and construct clarification of servant leadership.
Group & Organization Management, 31, 300–326.
Reed, L. L., Vidaver-Cohen, D., & Colwell, S. R. (2011). A new scale to measure executive servant
leadership: Development, analysis, and implications for research. Journal of Business Ethics, 101,
415–434.
Russell, R. F., & Stone, A. G. (2002). A review of servant leadership attributes: Developing a practical
model. Leadership & Organization Development Journal, 23, 145–157.
Spears, L. C. (2004). The understanding and practice of servant leadership. In L. C. Spears & M. Lawrence
(Eds.), Practicing servant leadership: Succeeding through trust, bravery, and forgiveness (pp. 9–24).
San Francisco: Jossey-Bass.
Washington, R. R., Sutton, C. D., & Feild, H. S. (2006). Individual differences in servant leadership:
The roles of values and personality. Leadership & Organization Development Journal, 27, 700–716.
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Applications and Cautions
Applications
•	 Focus on followers.
•	 Act as a steward.
•	 Cultivate self-awareness.
•	 Pursue elevating purposes.
Servant leadership is founded on altruism, which, as we saw in Chapter 5, is
essential to ethical leadership. You can serve only if you commit yourself to the
principle that others should come first. You are far less likely to cast shadows if you
approach your leadership role with one goal in mind: the desire to serve. A great
number of ethical abuses stem from leaders acting selfishly. Instead, act out of a sense
of stewardship and obligation, promoting the growth of followers and the interests of
the larger community. Remember what you “owe” followers. Share, rather than hoard,
power, privilege, and information.
To function as a servant leader you need to cultivate self-awareness. Servant leaders listen
to themselves as well as to others, take time for reflection, and recognize the importance
of spiritual resources. They are also acutely aware of the importance of pursuing ethical
purposes that bring meaning and fulfillment to work. Serving a transcendent goal means that
every act of leadership has a moral dimension.
Cautions
•	 Servant leadership seems unrealistic.
•	 It may not work in every context.
•	 It poses the danger of serving the wrong cause or offering unwise service.
•	 The term servant carries a negative connotation.
Servant leadership has not met with universal approval. Cynicism is often the first
response when this model is presented. “Sounds good in principle,” listeners
respond, “but it would never work at my company [in my family, at my condominium
association meeting—fill in the blank].” Like other skeptics, you may have been “walked
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on” whenever you tried to be nice to poor performers at work, rebellious teenagers,
or nasty neighbors. You may agree with others who equate a servant attitude with
passivity.
Skepticism about servant leadership may stem in part from a misunderstanding
that equates service with weakness. Servant leaders need to be tough. Sometimes the
best way to serve someone is to reprimand or fire that person. Nevertheless,
there may be situations in which servant leadership is extremely difficult, if not
impossible, to implement, such as in prisons or military boot camps, or during
emergencies.
Misplaced goals are problems for servant leaders and followers alike. The butler in
the novel The Remains of the Day, by Kazuo Ishiguro, illustrates the danger of misspent
service. He devotes his entire life to being the perfect servant who meets the needs of his
English employer. Sadly, his sacrifice is wasted because the lord of the manor turns out
to be a Nazi sympathizer. The desire to serve must be combined with careful reasoning
and values clarification. You need to carefully examine who and what you serve, asking
yourself questions such as the following: Is this group, individual, or organization worthy
of my service? What values am I promoting? What is the product of my service: light or
darkness?
You are also charged with giving wise service. Lots of well-intentioned efforts to help others
are wasted when leaders fail to do their homework. After the earthquake in Central Asia in
2005, for example, outdoor equipment manufacturers donated high-tech mountaineering
tents to victims. Unfortunately, such tents are highly flammable, and some caught fire from
candles, kerosene lanterns, and cooking fires, burning and killing adults and children. After
the Haiti earthquake, members of an Idaho church group who traveled to Haiti to provide
aid were jailed when they tried to take orphans out of the country. It turned out that the
children weren’t orphans after all. Some critics go so far as to argue that not only are some
humanitarian efforts wasted, but they can also make problems worse and foster dependence
in recipients.24
Finally, members of some minority groups, particularly African Americans,
associate the word servant with a history of slavery, oppression, and discrimination.
If the negative connotations surrounding the word are keeping you from embracing
the idea of servant leadership, you may want to abandon this term and focus
instead on related concepts such as altruism and the virtues of concern and
compassion.
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Authentic Leadership: Know Yourself
and to Your Own Self Be True
Ancient Greek and Roman philosophers prized authenticity. “Know thyself” was inscribed
on the frieze above the oracle of Delphi and appears in the writings of Cicero and Ovid.25
Greek thinkers also exhorted listeners “to thine own self be true.” Modern scholars have
rediscovered the importance of this quality. Proponents of authentic leadership theory
(ALT) identify authenticity as the “root construct” or principle underlying all forms of
positive leadership. The practice of authentic leadership leads to sustainable (long-term) and
veritable (ethically sound) organizational performance.26
Authenticity has four components: self-awareness, balanced processing, internalized moral
perspective, and relational transparency.27
Self-awareness means being conscious of, and
trusting in, our motives, desires, feelings, and self-concept. Self-aware people know their
strengths and weaknesses, personal traits, and emotional patterns, and they are able to use
this knowledge when interacting with others and their environments. Balanced processing
describes remaining objective when receiving information. Inauthentic responses involve
denying, distorting, or ignoring feedback we don’t want to acknowledge. We may have to
accept the fact that we aren’t very good at certain activities—accounting, writing, playing
basketball—or that we have problems managing our anger. Internalized moral perspective
describes regulating our behavior according to our internal standards and values, not
according to what others say. We act in harmony with what we believe and do not change
our behavior to please others or to earn rewards or avoid punishment. Relational transparency
refers to presenting the authentic self to others, openly expressing true thoughts and feelings
appropriate for the situation.
According to Bruce Avolio, Fred Luthans, and their colleagues at the University of
Washington, the Gallup Leadership Institute at the University of Nebraska at Lincoln,
and elsewhere, authentic leadership has a strong moral component. These scholars make
ethics a starting point for their theory, just as Burns does for transformational leadership.
This moral element is reflected in their definition of authentic leaders as “those who are
deeply aware of how they think and behave and are perceived by others as being aware
of their own and others’ values/moral perspectives, knowledge, and strengths; aware of
the context in which they operate; and who are confident, hopeful, optimistic, resilient,
and of high moral character.”28
Such leaders acknowledge the ethical responsibilities
of their roles, can recognize and evaluate ethical issues, and take moral actions that
are thoroughly grounded in their beliefs and values. In order to carry out these tasks,
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they draw on their courage and resilience—the ability to adapt when confronted with
significant risk or adversity.29
Because authenticity is so critical to positive leadership performance, Avolio, Luthans, and
others are interested in how leaders develop this quality. They report that critical incidents
called trigger events play an important role in the development of the moral component of
authentic leadership.30
These events, like the crucible moments described in Chapter 3,
can be positive or negative and promote introspection and reflection. Trigger experiences
are often dramatic—facing racial hatred, visiting a village in a poor developing country—
but can also be more mundane, such as reading a significant book. Sometimes a series
of small events, like several minor successes or failures, can have a cumulative effect,
triggering significant thought. Leaders develop a clearer sense of who they are, including
their standards of right and wrong, through these experiences. They build a store of
moral knowledge that they can draw on to make better choices when facing future ethical
dilemmas.
Authenticity can also be fostered through training and education. For example, trainers
and educators can help leaders develop their moral capacity by (1) encouraging them to
think about the possible consequences of their leadership decisions, (2) enhancing their
perspective taking through discussion and training, (3) exposing them to common moral
dilemmas to help them recognize the ethical issues they will face in their jobs, (4) building
their belief in their ability to follow through on choices, (5) helping them develop strategies
for adapting and coping with new ethical challenges, and (6) pairing them with moral
leaders so they can observe authentic behavior firsthand.31
Authentic leadership produces a number of positive ethical effects in followers.32
Followers
are likely to emulate the example of authentic leaders who set a high ethical standard. They
feel empowered to make ethical choices on their own without the input of the leader and are
more likely to act courageously. They align themselves with the values of the organization
and become authentic moral agents themselves. Leader authenticity also fosters feelings of
self-efficacy (competence), hope, optimism, and resilience in followers. Authentic followers,
for their part, provide feedback that reinforces the authentic behavior of leaders and increases
the leaders’ self-knowledge. (See “Focus on Follower Ethics: Authentic Followership” for
more information on the characteristics of authentic followers.) They also reward their leaders
by giving them more latitude to make difficult, unpopular choices. Authentic leadership
and followership are more likely to develop in organizational climates that provide the
information and other resources that employees need to get their work done, encourage
learning, treat members fairly, and set clear goals and performance standards.
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Authentic Followership
Authenticity is the mark of ethical followership just as it is for ethical leadership.
Authentic leaders and followers encourage transparency, self-awareness, and moral
behavior in each other. Together they build open, healthy relationships and collaborate
to achieve worthwhile objectives. Followers have the greatest impact on leaders
when they develop psychological ownership, foster trust, and practice transparency.
Psychological ownership. Authentic followers feel as if they “own” the organizations
where they work and volunteer. This sense of ownership is based on a sense
of belonging (“This is my home”), a sense of identity (“I am a student at ______
University”), a sense of accountability (“I am responsible for this project”), and a
sense of efficacy (“I can do this task”). Ownership encourages a variety of ethical
behaviors, including (1) meeting the needs of customers when they first come in
contact with the firm, (2) taking responsibility for making decisions at lower organizational
levels, (3) going beyond what the job requires, and (4) doing whatever
it takes to solve problems.
Trust. Authentic followers are vulnerable. They admit their mistakes and encourage
their leaders to do the same. For example, when pharmacists admit to “near
misses” (nearly filling prescriptions with the wrong medications), they prompt
their supervisors to take further steps to reduce potential errors. Authentic followers
don’t take advantage of their leaders who admit their mistakes. They also
build trust with their leaders by taking on challenges without being asked.
Transparency. Authentic followers say what they mean. By sharing their thoughts,
values, and feelings, they help create transparent relationships with their leaders.
These relationships are marked by honesty, feedback, and effective communication.
Authentic followers also contribute to the creation of transparent organizational
climates. In transparent climates, policies and procedures are visible to
everyone. Members share important goals and values and put the needs of the
group above their own concerns. Because they feel safe, employees reveal problems
rather than creating the impression that everything is fine.
SOURCE: Avolio, B. J., & Reichard, R. J. (2008). The rise of authentic followership. In R. E.
Riggio, I. Chaleff, & J. Lipman-Blumen (Eds.), The art of followership: How great followers create
great leaders and organizations (pp. 325–337). San Francisco: Jossey-Bass.
FOCUS ON FOLLOWER ETHICS
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Proponents of ALT argue that authenticity pays practical as well as ethical dividends. They
cite evidence that authentic leadership is linked to higher follower performance, commitment,
satisfaction, and effort.33
Authentic leaders, particularly because they act with integrity,
engender more trust, and trust, in turn, has been linked to higher organizational productivity
and performance (see Chapter 9). The positive emotions fostered by leaders also enhance
performance. Followers who believe in their abilities are more likely to take initiative and to
achieve more, even in the face of difficult circumstances. Feelings of hope and optimism foster
willpower. Resilience enables followers to recover more quickly from setbacks.34
ALT has moved into the next stage of development. Most of the initial articles and chapters
on authentic leadership offered propositions about ALT that were not supported by empirical
research, but now an ALT scale has been developed and tested.35
Validation of the scale
demonstrates that authentic leadership, while sharing features with transformational and
servant leadership, is a distinct construct.
Applications and Cautions
Applications
•	 Recognize the significance of authenticity.
•	 Develop the four components of authenticity.
•	 Foster authenticity in others.
Advocates of ALT argue persuasively for the importance of authenticity—incorporating
values, moral perspectives, virtues, and character in their definition of authentic leadership.
Authentic leadership is effective as well as ethical. Authenticity multiplies the impact of
leaders and lays the foundation for long-term organizational success. With this in mind,
seek to be an authentic leader. Cultivate the four components of authenticity: Develop selfawareness,
maintain objectivity when receiving information, rely on internal standards and
values, and openly present yourself to others. Consider the trigger events in your life and
what they reveal about who you are. Foster authenticity in others through your example and
the training strategies described earlier.
Cautions
•	 ALT overstates the significance of authenticity.
•	 Theorists tend to equate authenticity with morality.
•	 Authenticity can be defined as a personal characteristic or as a perception.
•	 The theory needs to be tested in other cultures.
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While authenticity is a critical component of ethical leadership, the underlying premise of
ALT, that authenticity is the source of all positive forms of leadership, is subject to debate.
There may be some other as yet undiscovered source instead. Or there may be multiple
sources of ethical leadership. Proponents of ALT also seem to equate self-awareness with
morality. The clearer you are about your self-concept, they claim, the more likely you are to
act ethically. Yet the core values of some leaders promote self-seeking, destructive behavior.
Then, too, expressing your “true” self can produce undesirable consequences. Take the case
of the boss who fails to temper his criticism of a subordinate. By accurately reflecting what
he feels at that moment, he may do lasting damage to the self-concept of his employee. The
critical boss believes he is acting authentically; the unfortunate employee and observers
probably will conclude that he is callous instead.
Investigations into the effects of authentic leadership have also identified a fundamental
tension in the theory. On one hand, authenticity has been tied to the personal traits
described earlier. On the other hand, for authenticity to have a positive influence on
organizational behavior, observers must perceive that the leader’s behavior is authentic.36
Authenticity then becomes a product of perception, not of personal beliefs and behaviors.
Leaders who hope to be successful must project an authentic image. In other words, being
authentic is no longer enough—you must also appear authentic. This could tempt you
to be untrue to yourself. You might fail to act on your values and self-understanding for
fear that such behavior could be seen as inauthentic. In addition, an inauthentic (pseudoauthentic)
leader could mislead followers by projecting an authentic image.37
Further
research and analysis are needed to resolve this apparent contradiction between the personal
and perceptual dimensions of ALT. To date, ALT research has largely been conducted in the
United States. Authenticity may not be an important element of ethical leadership in other
cultures.
Aesthetic (Beautiful) Leadership
Aesthetic leadership, like authentic leadership, has its roots in classic Greek thought.
The word aesthetic or aisth in ancient Greek means “feeling through physical
perceptions.”38
Our sensory encounters with people, events, objects, and settings
generate emotions. We then construct meanings based on those feelings. Take the
case of an unsuccessful job interview, for example. Both individuals see, hear, listen
to, smell, and touch one another during the meeting. Each then comes away from the
encounter with feelings about the interview and the other party. The interviewer may be
disappointed with the applicant and conclude that she or he was not prepared for the
session. The frustrated interviewee may go home and complain about how the company
representative was cold and distant.
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The aesthetic perspective emphasizes the sensory and emotional dimension of organizational
life.39
From this vantage point, organizations serve as stages, and leadership is more of an art
than a science. Leaders, like artists, make skillful use of dramatic elements (ritual, ceremony,
gestures, oratory), design (they transform visions and programs into reality), and orchestration
(they bring diverse individuals together to achieve worthy goals).40
Followers serve as audiences
who make aesthetic judgments about leaders and their performances. Successful leaders
generate strong positive emotions and attributions. For example, President John F. Kennedy
was youthful, energetic, and glamorous. In his speeches, such as the one in which he called
upon the United States to put a man on the moon, he appealed to the aspirations of Americans
and engaged their imaginations.41
He is remembered as a highly effective leader even though he
accomplished much less than other, less attractive presidents, like Lyndon Johnson and Richard
Nixon. (Read the description in “Leadership Ethics at the Movies: A Ripple of Hope” to see how
President Kennedy’s brother Robert also functioned as an aesthetic, transformational leader.)
A Ripple of Hope
Key Cast Members: Frank Mankiewicz, John Lewis, Adam Walinsky, Thurston Clarke
Synopsis: On April 4, 1968, civil rights leader Martin Luther King, Jr., was assassinated
in Memphis, Tennessee, and riots broke out in cities across the nation.
That evening, Senator Robert Kennedy, a presidential candidate, was scheduled
to deliver a campaign speech to a largely African American audience in
Indianapolis. Senator Kennedy ignored the warnings of police and addressed the
angry crowd, some of whom were armed and ready to do violence. Standing on
the back of a flatbed truck, the candidate spoke for the first time in public about
the assassination of his brother John and quoted a Greek poet on the wisdom that
can come through suffering. He appealed to both Blacks and Whites to put aside
their hatred to work together to create a country that would meet the needs of all
of its citizens. When the crowd dispersed, members of both races were hugging
one another; the city remained calm. Tragically, Robert Kennedy was himself
assassinated just a few months later in California.
Rating: Not rated
Themes: transformational leadership, authentic leadership, aesthetic leadership,
leadership performance, compassion, courage
LEADERSHIP ETHICS AT THE MOVIES  
(Continued)
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Ethics is integral to aesthetic leadership. For the ancients, aesthetics meant pursuing goals
that serve humankind. Aristotle (384–322 b.c.e.) believed that leaders should pursue
“human flourishing” and the “good life.” Plato (428–348 b.c.e.) argued that beauty must
serve a good (moral) purpose. Aesthetic and moral judgments overlap. The most ethical
course of action is also the most aesthetically pleasing or beautiful.
University of Exeter leadership professor Donna Ladkin identifies three components that
contribute to a beautiful leadership performance.42
The first is mastery. An ethical/beautiful
leader is competent and possesses the necessary skills and abilities to perform in a given
moment. He or she can improvise, applying the correct skills to a particular situation. The
second component is coherence. The ethical/beautiful leader is authentic, acting in a way that is
consistent with his or her message and purpose. The third component is purpose. The ethical/
beautiful leader serves the best interests of the community and improves the human condition.
Captain Chesley “Sully” Sullenberger provides one example of a beautiful leadership
performance.43
On January 15, 2009, the commercial passenger aircraft that Sullenberger
was piloting hit a flock of birds after taking off from New York’s La Guardia Airport.
Sullenberger immediately realized that he couldn’t reach the nearest landing strip in New
Jersey, so he decided to put the aircraft down on the Hudson River. He avoided bridges and
nearby high-rise buildings while bringing the plane down with its nose up and its wings
level. Once the plane was on the water, he walked through the cabin twice to make sure all
passengers and crew members were safely off before he left. Not a single life was lost in the
incident. Captain Sullenberger’s behavior stands in sharp contrast to the ugly behavior of the
captain of the Costa Concordia cruise ship in 2012. When his ocean liner crashed into the
rocks off the Italian coast, Francesco Schettino abandoned ship and headed for shore, leaving
many passengers still on board (32 died). Later the captain denied that he was in charge of
the ship at the time of the crash—a claim contradicted by the ship’s data recorder.44
Discussion Starters
1.	 Why did Kennedy decide to give the speech despite the warnings of police?
What might have happened had he canceled his scheduled appearance or
given only a brief formal statement acknowledging King’s death?
2.	 Why did Kennedy wait until this incident to talk publicly about the death of
his brother?
3.	 What made his speech so powerful and beautiful?
(Continued)
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Applications and Cautions
Applications
•	 Recognize the physical dimension of leadership.
•	 View leadership as a performing art.
•	 Make aesthetic judgments.
Leadership has a physical or sensory dimension. Followers will make attributions about
your motives and effectiveness based on the interactions they have with you. Your behaviors
will determine whether they think you are honest or dishonest, competent or incompetent,
and so on. With this in mind, you should view leadership as a performing art. Make skillful
use of the dramatic elements described above. Put on performances that reflect mastery,
coherence, and purpose. To function as an artful leader, you will need to serve high moral
purposes and demonstrate practical wisdom, courage, and other virtues.45
Use beauty as a
standard for judging the performances of other artist leaders.
Cautions
•	 Aesthetic leadership theory ignores the rational dimension of leadership.
•	 Definitions of beauty vary.
•	 Performances can be dishonest.
Resist the temptation to treat leadership as only an art. Leadership is best viewed as both an
art and a science. Recognizing the aesthetic dimension of leadership doesn’t mean that you
should reject its rational aspects. To succeed, you will need to understand how organizations
operate, make wise choices, engage in strategic planning, and so on. It is also not clear that
followers share a given standard of beauty. They may not always agree on what is beautiful
(ethical), demonstrating the truth of the old adage “Beauty is in the eye of the beholder.”
Viewing leadership as performance can also tempt you to engage in deceit. Leaders can hide
their true intentions and manipulate audiences (see the discussion of authentic leadership
above). In the early days of what is now Virgin Group, for example, company founder
Richard Branson would use pay phones to call clients. He would start by ringing the
operator and claiming that he’d lost his money in the phone. The operator was then required
to connect his call and would say to the person answering, “I have Mr. Branson for you.”
This created the false impression that Branson was important enough to have someone to
place his calls.46
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Responsible Leadership: Promote
Global Good Through Ethical Relationships
Responsible leadership is an offshoot of global corporate social responsibility (CSR). Socially
responsible corporations operating in a global economy try to improve social conditions and
the environment in addition to making a profit. (Social responsibility is described in more
detail in Chapter 9.) These businesses pay a living wage to workers in developing countries,
for example, and adopt environmentally friendly practices like recycling and reducing energy
use and pollution. Responding to the claims of stakeholders is an important element of CSR.
Stakeholders consist of any group affected by an organization’s operations. For a multinational
corporation, stakeholders include, for example, domestic and foreign governments,
nongovernmental organizations (NGOs), suppliers, customers, and employees in locations
around the world.
European researchers Nicola Pless and Thomas Maak believe that leaders can help their
corporations become forces for global good by exercising responsible leadership.47
Responsible leaders build ethical relationships with stakeholders. These relationships then
create a sense of shared purpose as well as motivation to address social and environmental
problems. Maak and Pless define responsible leadership as
a values-based and principle-driven relationship between leaders and
stakeholders who are connected through a shared sense of meaning and
purpose through which they raise one another to higher ethical levels of
motivation and commitment for achieving sustainable value creation and
responsible change.48
Like transformational leadership, responsible leadership elevates the morality of the parties
involved. However, responsible leadership incorporates all stakeholder groups affected by
the leader and the organization, not just immediate followers. Responsible leaders establish
a “web of inclusion” that connects with diverse constituencies. Relationship building can’t be
done from a position of authority. Instead, responsible leaders must function as equals who
bring people together for a common purpose.
Character plays an important role in responsible leadership. Responsible leaders are
authentic (see the section on authentic leadership above) and demonstrate such virtues as
honesty, respect, service, and humility. They reflect moral maturity, practice reflection and
critical thinking skills, and can generate creative ethical solutions. Drawing from this moral
core, responsible leadership then manifests itself in the following roles:49
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1.	 The leader as steward. Responsible leaders act as guardians of individual and
organizational values, maintaining personal and collective integrity while helping
the organization act responsibly. They are also custodians, protecting (and hopefully
enriching) the values and resources they have been entrusted with. Stewardship
incorporates a global perspective and considers the needs of the environment and future
generations.
2.	 The leader as servant. Responsible leaders are focused on the needs of followers. They care
for them through providing a safe and meaningful work environment, paying fair wages,
listening to their concerns, and supporting their development. Responsible leaders also
serve the needs of stakeholders through dialogue, by integrating the perspectives of many
different groups, and by putting the good of the community above selfish concerns.
3.	 The leader as coach. Responsible leaders develop and support others, motivating diverse
individuals and groups to work together to reach a common vision. This requires open
communication, conflict management, managing cultural differences, and providing
appropriate feedback. Moral development is an important element of coaching. Ethical
leaders help others develop their moral reasoning and reflection skills.
4.	 The leader as architect. Responsible leaders focus on building integrity cultures, which
are work environments that help diverse employees engage in meaningful labor; feel
respected, included, and recognized; and reach their potential. Responsible leaders also
engage in ongoing dialogue with external stakeholders.
5.	 The leader as storyteller. Responsible leaders communicate shared values and meaning
through stories. Stories bring to life the organization’s vision and values, help create
meaning, and assist followers in making sense of the world. By sharing stories, leaders
create a corporate identity, foster cooperation, and communicate their visions about their
organization’s social and environmental responsibilities.
6.	 The leader as change agent. Responsible leaders shape both the process and the product of
change. They create a values-based vision, mobilize followers, keep change momentum
going, and deal with the anxiety that always surrounds change efforts. In addition,
they ensure that change helps create businesses that are founded on core values and
sustainable over the long term.
7.	 The leader as citizen. Responsible leaders are just as concerned about the health of the
community as they are about the health of their businesses. They recognize that private
business and the public sphere are interdependent. Businesses need healthy communities
in order to thrive, and healthy communities need the support of thriving businesses.
Maak and Pless outline an ambitious agenda for responsible leadership. They believe that
corporate leaders have a duty to act as agents of social change and as “agents of world benefit.”50
Multinational corporations exert greater and greater economic power and enjoy more and more
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privileges. Therefore, they have a moral obligation to promote social justice by trying to solve
political and social problems. Responsible leaders join government and nonprofit leaders in
promoting human rights, alleviating poverty and hunger, and fighting HIV/AIDS, malaria, and
other illnesses. Such collaboration creates social capital—a network of structures, resources, and
lasting positive relationships—which can then be used to address other social problems.51
Applications and Cautions
Applications
•	 Encourage corporate social responsibility.
•	 Play the roles of the responsible leader.
•	 Broaden your focus to outside the organization.
Few of us are in a position to lead multinational corporations in the fight against global
problems like poverty and substandard housing. Yet you can do your part to ensure that your
organization is socially responsible. You can act as steward, servant, coach, architect, and
storyteller no matter what your organizational status. Weave your own web of relationships
founded on ethical principles and values. Act out of high character and demonstrate sound
moral reasoning, building relationships grounded in trust and integrity. Be concerned about
the needs and development of others, both inside and outside the organization. The creation
of a more just global society is an ambitious goal, but it is one worth pursuing.
Of the theories discussed in this chapter, only responsible leadership incorporates
globalization and stakeholder theory. It encourages leaders to work with others to solve
difficult problems on every continent. This approach to leadership ethics highlights the
fact that you must be concerned about all those who are affected by your actions, not just
immediate followers.
Cautions
•	 Responsible leadership theory is in the early stages of development.
•	 Its principles overlap with those of other theories.
•	 Corporations are resistant to an expanded social role.
•	 Proponents reflect a liberal bias.
•	 The theorists focus exclusively on business leadership.
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Responsible leadership theory is in the early stages of development, which accounts for
many of its shortcomings.52
To this point, only a small group of scholars have joined Maak
and Pless in exploring the implications of responsible leadership, although the number
is rapidly growing. Limited empirical evidence has been offered to support the theory’s
tenets. In fact, conducting research on the theory is a daunting task since investigators
must examine values, decisions, and behaviors at many different levels—individual,
organizational, societal, and global. The theorists incorporate elements of authentic
leadership, transformational leadership, and servant leadership into their model. They are
just beginning to clarify how their theory relates to these other approaches.
You may take issue with Pless and Maak’s bold assertion that corporations and their leaders
need to be agents of social justice and world benefit. They advocate that businesses take on
responsibilities usually associated with governments to address global problems, such as
world hunger. Like a great number of observers, you may be uneasy about multinational
corporations acting as “quasi-states.” Or you might take issue with liberal bias of the theory’s
advocates. Further, the traditional conception of social responsibility is much more limited
than that advocated in responsible leadership. Corporate leaders typically tie their social
efforts to their business goals, as in the case of a building supply company supporting a
Habitat for Humanity construction project. Then, too, multinational businesses generally
target problems related to their operations and locations. For instance, a socially conscious
manufacturer will focus on improving living conditions in the communities surrounding its
plants. Few corporate leaders appear ready to tackle global issues like the shortage of clean
water and widespread poverty, as proponents of responsible leadership urge them to do. (See
Case Study 7.3 for one example of a business leader taking on a major global concern.)
Additional theoretical development may address what is perhaps the greatest concern
about responsible leadership, which is whether this perspective can serve as a general
theory of leadership ethics. Maak and Pless developed their theory to foster greater social
responsibility in multinational corporations. They specifically address business leaders.
However, you may conclude that the components of responsible leadership would seem to
apply to every type of organizational leader. Educators, agency heads, mayors, governors,
and others also have to build values-based, principle-driven relationships with diverse
stakeholder groups to achieve ethical objectives.
Taoism: Lead Nature’s Way
Taoism (pronounced “Dowism”) is one of the world’s oldest philosophies, dating back to
ancient China (600–300 b.c.e.). The nation had enjoyed peace and prosperity under a
series of imperial dynasties but had become a patchwork of warring city-states. Groups
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of philosophers traveled from one fiefdom to another offering leaders advice for restoring
harmony. The Taoists were one of these “100 Schools of Thought.”53
The Tao Te Ching (usually translated as The Classic of the Way and Its Power and Virtue)
is Taoism’s major text. According to popular tradition, a royal librarian named Lao-tzu
authored this book as he departed China for self-imposed exile. However, most scholars
believe that this short volume (5,000 words) is actually a collection of the teachings of
several wise men or sages.
Taoism divided into religious and philosophical branches by 200 c.e. Religious Taoists
sought to extend their lives through diet and exercise and developed a priesthood that
presided over elaborate temple rituals. Today Taoist religious practices are popular in
both the East and the West, but those interested in Taoist leadership principles generally
draw from the movement’s philosophical roots. These principles are described for Western
audiences in such books as The Tao of Leadership, The Tao of Personal Leadership, and Real
Power: Business Lessons From the Tao Te Ching.
Understanding the “Way,” or Tao, is the key to understanding Taoist ethical principles.
The Tao is the shapeless, nameless force or “nonbeing” that brings all things into existence,
or being, and then sustains them. The Tao takes form in nature and reveals itself through
natural principles. These principles then become the standards for ethical behavior. Ethical
leaders and followers develop te, or character, by acting in harmony with the Tao, not by
following rules and commandments. Laws reflect a distrust of human nature and create a
new class of citizens—lawbreakers—instead of encouraging right behavior. Efforts to reduce
crime, for example, seem to increase it instead:
Throw away holiness and wisdom,
And people will be a hundred times happier.
Throw away morality and justice,
And people will do the right thing.
Throw away industry and profit, and there won’t be any thieves.54
“Leave well enough alone” seems to capture the essence of Taoist ethics. Consistent with
their hands-off approach, Taoist sages argue that he or she governs best who governs least.
Leading is like cooking a small fish: Don’t overdo it. The ideal Taoist leader maintains a low
profile, leading mostly by example and letting followers take ownership.
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When the Master governs, the people
Are hardly aware that he exists.
Next best is a leader who is loved.
Next, one who is feared.
The worst is one who is despised.
If you don’t trust the people,
You make them untrustworthy.
The Master doesn’t talk, he acts.
When his work is done,
The people say, “Amazing:
We did it, all by ourselves!”55
Taoists rely on images or metaphors drawn from nature and daily life to illustrate the
characteristics of model leaders. The first image is that of an uncarved block. An uncarved
block of stone or wood is nameless and shapeless, like the Tao itself. Leaders should also be
blocklike, avoiding wealth, status, and glory while they leave followers alone.
The second image is the child. Children serve as another reminder that wise leaders don’t
get caught up in the pursuit of power and privilege but remain humble. Mahatma Gandhi
demonstrated childlike character. He dressed simply in clothes he made himself, owned
almost nothing, and did not seek political office. Yet he emerged as one of history’s most
influential leaders.
The third image is water. Water provides an important insight into how leaders ought to
influence others by illustrating that there is great strength in weakness. Water cuts through
the hardest rock, given enough time. In the same way, the weak often overcome the
powerful.56
Authoritarian governments in Soviet Russia, Argentina, and the Philippines were
overthrown not by military means but through the efforts of ordinary citizens. Leaders who
use “soft” tactics (listening, empowering, and collaborating) rather than “hard” ones (threats
and force) are more likely to overcome resistance to change. Flexibility or pliability is an
important attribute of water as well. Water seeks new paths when it meets resistance; leaders
should do the same.
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The fourth image is the valley. To the Taoists, the universe is made up of two forces: the yin
(negative, dark, cool, female, shadows) and the yang (positive, bright, warm, male, sun).
Creation operates as it should when these forces are in balance. Although both the yin and
the yang are important, Taoists highlight the importance of the yin, or feminine side, of
leadership, which is represented by the valley metaphor. Leaders should seek to be valleys
(which reflect the yin) rather than prominent peaks (which reflect the yang).
The fifth image is the clay pot, which celebrates emptiness by elevating nothing to higher
status than something. The most useful part of a pot is the emptiness within. Similarly,
the most useful part of a room is the empty space between the walls. Leaders ought to
empty themselves, putting aside meaningless words, superficial thinking, technology, and
selfishness. By being empty, leaders can use silence, contemplation, and observation to better
understand the workings of the Tao and its ethical principles.
Applications and Cautions
Applications
•	 Use “soft” tactics.
•	 Focus on being, not doing.
•	 Temper your use of power and privilege.
•	 Follow nature’s example.
Taoist thinkers encourage you to be flexible; use “soft” tactics that facilitate teamwork, such
as listening and negotiation. Collaboration is becoming increasingly important in today’s
workplace as organizations become leaner and flatter. Taoists also emphasize being rather
than doing. Act blocklike and childlike to develop your character. Embrace silence and
contemplation, cultivate the inner self, reject ambition, and seek to serve rather than to be
served.
Taoism cautions against the abuse of power and privilege. The authors of the Tao Te Ching
reject the use of force except as a last resort. They criticize the feudal lords of their day
for living in splendor while their people sank into poverty and starvation. It is difficult to
imagine that Taoist sages would approve of the vast difference in pay between American
executives and employees, for example, or give their blessing to politicians who enjoy
extravagant lifestyles at taxpayer expense. In addition, Taoists encourage you to look to
nature for insights about leadership. Contemporary authors have begun to follow their lead,
identifying leadership lessons that can be drawn from the natural world.57
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Cautions
•	 Taoism denies reason.
•	 Taoists reject codes and laws.
•	 The approach is ambiguous about many moral issues.
•	 Taoism does not adequately explain evil.
There are some serious disadvantages to Taoist ethics. In their attempt to follow nature,
Taoists encourage leaders to empty themselves of, among other things, reason. Intuition
has its place, but, as we saw in Chapter 6, we need to draw upon logic as well. Taoists are
rightly skeptical about the effectiveness of moral codes and laws. Nevertheless, laws can
change society for the better. For example, civil rights legislation played a significant role in
reducing racial discrimination and changing cultural norms. In organizations, reasonable
rules, professional guidelines, and codes of conduct can and do play a role in improving
ethical climate (see Chapter 9).
Although Taoism has much to say about the shadow of power and our relationship to the
world around us, you’ll find it is silent on many common ethical dilemmas, such as the case
of the manager asked to keep information about an upcoming merger to herself (see Chapter
1). What does it mean to follow nature’s example when faced with this decision? Perhaps the
manager should keep quiet to keep from intruding into the lives of followers. Nonetheless,
withholding information would put her in the position of a mountain instead of a valley,
giving her an advantage.
Basing moral decision making on conformity to principles manifested in the natural world
promotes ethical relativism. The Taoists believe that the ethical action is the one that blends
with natural rhythms to produce the desired outcome. In other words, what works is what is
right. This approach seems to ignore the fact that what may “work” (generate profits, create
pleasure, ensure job security, earn a raise) may be unethical (result in an unsafe product,
destroy public trust, exploit workers). Like pragmatism, an ethical perspective introduced
Chapter 5, Taoism seems to lack a moral center. Natural conditions are always changing:
Seasons shift; plants and animals grow and die. The flexible leader adapts to shifting
circumstances. However, this makes it impossible for the leader to come to any definite
conclusion about right or wrong. What you determine to be the right moral choice in one
context may be wrong in another.
One final concern should be noted: Taoism’s firm conviction that humans, in their natural
state, will act morally seems to deny the power of evil. My thesis has been that leaders and
followers can and do act destructively, driven by their shadow sides.
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Part 3 | Ethical Standards and Strategies258
IMPLICATIONS AND APPLICATIONS 
•	 Seek to be a transforming leader who
raises the level of morality in a group or
an organization. Transformational leaders
speak to higher-level needs and bring about
profound changes. They are motivated by
duty and altruism and marked by personal
integrity. Dimensions of transformational
leadership include idealized influence,
inspirational motivation, intellectual
stimulation, and individualized consideration.
•	 Putting the needs of followers first reduces
the likelihood that you will cast ethical
shadows. Servant leaders are stewards who
have significant obligations to both their
followers and their institutions, practice
partnership, promote healing, and serve
worthy purposes.
•	 Be careful who and what you serve. Make
sure your efforts support worthy people and
goals and are carefully thought out.
•	 Authentic leaders have an in-depth
knowledge of themselves and act in ways
that reflect their core values and beliefs.
Authenticity multiplies the effectiveness of
leaders and promotes ethical behavior in
followers. To function as an authentic leader,
you will have to demonstrate self-awareness,
balanced processing, internalized moral
perspective, and relational transparency.
•	 Aesthetic leadership emphasizes the sensory
and emotional dimensions of organizational
life. View leadership as an art and put on
beautiful/ethical leadership performances
that demonstrate mastery, coherence, and
moral purpose.
•	 Responsible leaders build ethical
relationships with stakeholders both inside
and outside the organization in order to
address global problems. In order to act as
a responsible leader, you will need to act as
a steward, a servant, a coach, an architect, a
storyteller, a change agent, and a citizen.
•	 Taoists argue that nature and elements of
everyday life serve as sources of ethical
leadership lessons. You can learn from
uncarved blocks, children, water, valleys,
and clay pots.
FOR FURTHER EXPLORATION, CHALLENGE, AND
SELF-ASSESSMENT 
1.	 What additional applications and cautions
can you add for each approach described
in this chapter? Which perspective do you
find most useful? Why?
2.	 Brainstorm a list of pseudo-transformational
and transformational leaders. What
factors distinguish between the two types
of leaders? How do your characteristics
compare with the ones presented in the
chapter?
3.	 Discuss the following propositions in a
group:
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259Chapter 7 | Normative Leadership Theories
•	 Business leaders have an ethical duty to
address global problems like poverty and
hunger.
•	 Ethical leadership is beautiful leadership.
4.	 Make a diligent effort to serve your
followers for a week. At the end of this
period, reflect on your experience.
Did focusing on the needs of followers
change your behavior? What did you do
differently? What would happen if you
made this your leadership philosophy?
Record your thoughts.
5.	 Write a case study. Option 1 is to base
your case on someone you consider to be
an authentic leader. How does this person
demonstrate authenticity? What impact
has this person had on followers and her
or his organization? What can we learn
from this leader’s example? Option 2 is to
base your case on someone you consider
to be a responsible leader. How does this
individual play the roles of responsible
leadership? How has his or her business
been an agent of global good? What can we
learn from this leader’s example?
6.	 Identify the trigger events in your life.
How have they contributed to your moral
development as a leader?
7.	 Analyze an instance in which you believe
that a leader put on a beautiful performance.
How did that individual demonstrate
mastery, coherence, and purpose?
8.	 Which image from nature or daily life from
Taoism do you find most interesting and
helpful? Why? Can you think of additional
natural metaphors that would be useful to
leaders?
9.	 Read a popular book on transformational
leadership or on a transformational leader.
Write a review. Summarize the contents for
those who have not read it. Next, evaluate
the book. What are its strengths and
weaknesses from an ethical point of view?
Would you recommend it to others? Why
or why not?
STUDENT STUDY SITE 
Visit the student study site at www.sagepub.com/johnsonmecl5e to access full SAGE journal
articles for further research and information on key chapter topics.
CASE STUDY 7.1
Transforming Clear Lake College
Clear Lake College was in serious trouble in
2000.1
Enrollment at the midwestern school
had dropped from 650 to 600 undergraduates.
Because it had no emergency endowment
fund, Clear Lake counted on tuition
revenue to pay its bills. The loss of so many
students threatened to close the 90-yearold
institution. The college’s president, who
seemed unable to respond to the crisis,
resigned.
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Part 3 | Ethical Standards and Strategies260
The school’s board of directors appointed
Samuel (Sam) Thomas as the next president.
Thomas had a PhD in higher education but
came to Clear Lake directly out of a marketing
position in business. Unlike his predecessor,
Thomas didn’t hesitate to make bold,
sometimes risky decisions. He hired a new
admissions staff, convinced faculty to agree
to a salary and benefits freeze, and spent
several hundred thousand dollars to launch
the college’s first graduate degree program.
The 2001 school year saw a surge in new
students. The graduate program was a big
success, and Sam used his marketing background
to improve the college’s visibility.
An entrepreneur at heart, he encouraged
faculty and staff to develop additional programs
for new markets. In the next 10 years,
enrollment grew to nearly 2,000 students.
The college added more graduate degrees
and several new undergraduate majors.
Clear Lake College earned a national listing
as “one of America’s hidden educational
gems.”
Thomas had many admirable leadership
qualities. To begin, he was a “people person”
who enjoyed mixing with donors, students,
faculty, and administrators at other
schools. No one would think of calling him
“Dr. Thomas.” He was “Sam” to everyone.
Second, he was more than willing to tackle
tough problems and fire those who weren’t
performing up to standards. Third, he kept
his word to faculty and staff. When the
financial picture of the school improved, he
raised faculty salaries dramatically. Fourth,
he had an uncanny ability to sense new
educational markets. He never made a
major miscalculation when it came to proposing
additional programs.
Yet all was not well under Sam’s leadership.
His friendly exterior masked an explosive
temper. He dressed down faculty and
other employees in public meetings and
made personnel decisions on his own, based
on his instincts rather than on hard data. A
number of employees were let go without
warning, and many of his hires lasted less
than a year. In several instances, the college
had to offer generous severance packages
to dismissed employees in order to avoid
costly lawsuits. Sam’s autocratic style wasn’t
limited strictly to personnel decisions. He
would change the school’s governance
structure without consulting faculty, who
expected to participate in these choices. In
addition, he engaged in micromanagement.
He read minutes from every department
meeting held on campus, for example, and
didn’t hesitate to send scathing memos if he
disagreed with a group’s conclusions.
Sam received many accolades for his
success at Clear Lake College. He was credited
with the school’s turnaround and was
named as the area’s outstanding citizen one
year. He was popular with other university
presidents, serving on national collegiate
boards and commissions. Clear Lake’s board
was eager to renew his contract despite the
concerns of the faculty. Unfortunately, Sam’s
successes made him less, not more, flexible.
Frustrated by faculty criticism, he made even
fewer efforts to consult them when making
decisions. He began to call students who had
offended him into his office to berate them.
By the end of the first decade of the new
century, it looked as if the college had “outgrown”
Sam’s leadership style. After all, the
school was much bigger and more complex
than it had been when he took over. Thomas
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261Chapter 7 | Normative Leadership Theories
had no intention of stepping down, however.
He referred to Clear Lake as “my college”
and continued to be involved in every detail
of college life. In fact, he had to be forced
to resign when he was diagnosed with
Parkinson’s disease in 2010. The college has
continued to grow under the leadership of
a new president who, while maintaining a
good deal of decision-making power, relies
heavily on his vice presidents and has very
little input in the day-to-day operations of
most departments.
Discussion Probes
1.	 What elements of transactional and
transforming leadership did Thomas
exhibit?
2.	 Was Sam a transformational or a pseudo-transformational
leader?
3.	 How would you evaluate the actions of
the college’s board of directors?
4.	 Have you ever had to confront a
leader about her or his behavior? If
so, what did you say or do? What was
the outcome of the encounter? Would
you do anything differently next time?
5.	 How do you determine when to remove
a leader, particularly one who has a
proven track record of success?
Note
1.	 This is a fictional case inspired by actual
events.
CASE STUDY 7.2
From the Secret Service to the
Secret Circus
The life of a Secret Service agent is a life
of sacrifice. Agents assigned to protect the
president and other dignitaries must put
their jobs first. They set aside vacations and
family obligations in order to travel with
the president. Unlike other law enforcement
employees, they do not always get to go
home at the end of the day. At any moment
they may be called upon to risk their lives to
save their charges. When President John F.
Kennedy was shot, agent Rufus Youngblood
pushed Vice President Lyndon Johnson, who
had been riding two cars behind Kennedy
in the same motorcade, to the floor of the
vehicle and threw himself over the seat
to cover his body, shouting, “Get down!
Get down!” Agents also stepped between
President Ronald Reagan and shooter John
Hinckley. No wonder, then, that the Secret
Service has been the most revered agency in
the federal government.
Recent scandals have threatened the
sterling image of the Secret Service, however.
The most serious took place in Cartagena,
Colombia, in 2012. An advance team of
Secret Service agents and military personnel
assigned to make arrangements for a
presidential visit invited 20 prostitutes to
their hotel. A dispute then broke out when
an agent refused to pay one of the women.
Twelve Secret Service employees (including
three supervisors) were investigated. Eight
were fired, three were cleared, and one lost
his security clearance. Seven soldiers and
two marines were also disciplined. Bringing
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Part 3 | Ethical Standards and Strategies262
any outsiders into a safe zone compromises
the agency’s mission. As Senator Susan
Collins of Maine, ranking Republican on
the Senate Homeland Security Committee,
pointed out (tongue in cheek): “Thank goodness
it was just prostitutes. They could have
been spies planting equipment. They could
have blackmailed or drugged agents. This is
Colombia, for heaven’s sake.”1
The Cartagena scandal wasn’t the first
involving agents traveling while on duty.
In 2002, agents were sent home from the
Olympic Games in Salt Lake City, Utah, for
abusing alcohol and having underage girls
in their hotel rooms. In 2011, Secret Service
employees may have hired prostitutes and
strippers before President Obama’s visit to
El Salvador. The behavior of some employees
while traveling prompted others in the
agency to nickname road trips the “Secret
Circus.” There have also been a number of
incidents involving off-duty agents, including
cases of domestic violence, solicitation
of prostitution, burglary, and driving under
the influence of alcohol.
The culture of the Secret Service is part of
the problem. Women are significantly underrepresented
in protection teams, making up
only 10% of agents and uniformed officers.
In this macho climate, heavy drinking and
sexual activities are tolerated, making the
women who do serve uncomfortable. Male
agents put loyalty to other men first, which
may account for the results of a survey of
Secret Service personnel that found that
only 58% would report ethical problems.
The Secret Service has taken steps to
improve personnel behavior both on and off
the road, including assigning chaperones,
banning foreign nationals from hotel rooms,
limiting the consumption of alcohol while
off duty, and prohibiting drinking within
10 hours of going on duty. These measures,
and the appointment of the agency’s first
female director, Julia Person, may not be
enough to curb misbehavior, however, if
agents once again lose sight of their mission,
which requires sacrifice in order to
serve and protect the nation’s leaders.
Discussion Probes
1.	 Should Secret Service agents be held
to a higher ethical standard than other
government employees both on and off
the job?
2.	 Will the new rules and the appointment
of a female director prevent future scandals
in the Secret Service?
3.	 What additional steps can the agency
take to change its culture?
4.	 How can the Secret Service encourage
more women to join its protection
teams?
5.	 How can the agency reinforce the
importance of its mission?
Note
1.	 Dowd, M. (2012, May 27). The party animals
at the Secret Service. The New York Times,
p. SR11.
Sources
At least 20 women involved in Secret Service scandal.
(2012, April 17). The Telegraph.
Baldor, L. C. (2012, August 4). New details in Colombian
scandal revealed. The Washington Post,
p. A03.
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263Chapter 7 | Normative Leadership Theories
Leonnig, C. D., & Nakamura, D. (2012, June 16).
Third supervisor involved in Secret Service prostitution
scandal. The Washington Post, p. A05.
McElhatton, J. (2012, June 19). Alcohol plays role
in reports involving the Secret Service. The
Washington Times, p. A1.
Mudhani, A. (2013, March 23). Obama: New Secret
Service director breaking the mold. USA Today.
Ninan, R. (2012, April 28). Secret Service scandal.
World News Saturday (ABC), p. 1.
Tucker, E. (2012, May 7). Scandal highlights lack of
women in US Secret Service. The Nation.
CASE STUDY 7.3
Yvon Chouinard: Putting the
Environment First at Patagonia
Fewbusinessleaderstaketheirsocialresponsibilities
as seriously as Yvon Chouinard.
Chouinard started his career in the 1950s
as an elite rock climber, scaling walls at
Yosemite and elsewhere. Dissatisfied with
available climbing gear, Chouinard began
manufacturing pitons—metal stakes that
climbers hammer into rocks to secure
ropes—and selling them out of the trunk of
his car. In 1973 he formed the Patagonia
Company to sell shirts, climbing shorts, and
other outdoor clothing items.
Chouinard’s love of climbing and the
outdoors is reflected in Patagonia’s extraordinarily
strong environmental commitment.
Early on, Chouinard declared that his company
was an “environmental villain” for
making pitons that damaged rock. He then
discontinued making pitons (his core business)
and began offering aluminum chocks
instead. In a few months the sales of the
chocks were soaring. The company donates
1% of its proceeds from sales (pretax) to
environmental causes. Patagonia was the
first major company to sell fleeces made
out of recycled plastic bottles. When it realized
the environmental harm done by traditional
cotton farming methods, the firm
switched to making items out of organic
fibers.
Recently, Patagonia representatives
have taken to telling prospective customers
to buy only what they need. According
to the company’s vice president of global
marketing: “We want our customers to
do some research and make an educated
decision about whether they really need
the product, and how to use it. So it’s a
case of ‘Buy less, buy smart.’”1
Patagonia
also offers a free repair service to discourage
buyers from tossing their damaged or
worn garments and asks customers to sign
a pledge to return items they no longer
need to company outlets to be recycled.
The firm claims that it is able to recycle
100% of its polyester goods, pulling off
the buttons and zippers and sending the
garments to Asia for remanufacturing.
Patagonia’s Footprint Chronicles initiative
enables consumers to track all the steps
of a product’s life cycle online, from raw
materials through design and manufacture
to disposal or remanufacturing.
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Part 3 | Ethical Standards and Strategies264
Chouinard’s environmental vision
extends well beyond his company. Patagonia
cofounded the Sustainable Apparel Coalition
with other clothing manufacturers and
retailers, including Wal-Mart, Target, and
Levi Strauss, with the goal of reducing the
environmental impact of their businesses.
Patagonia’s founder seeks “to create a company
others companies want to emulate”
and reports that leaders of other businesses
have turned to him for advice on how to preserve
the environment. Patagonia and other
companies are helping to create a national
park in Chile, which will be two-thirds the
size of Yellowstone.
To ensure that Patagonia’s green commitment
continues after he is gone, Chouinard
was the first company leader to file “benefit
corporation” papers in California. The
California legislature created this new
corporate category for firms that “create
material positive impact on society and the
environment.” This law protects companies
that want to donate proceeds to social
causes from lawsuits brought by shareholders
claiming that these policies dilute their
stock value. (Similar programs can be found
in other states.) Businesses registered as benefit
corporations have to file annual reports
outlining the public benefits they provide
and have to be evaluated by third parties
that determine if they have met the required
standards. Patagonia can now continue to
contribute to environmental causes even if
the company goes public following the death
of Chouinard and his wife. After registering
his company as a benefit corporation, the
72-year-old Chouinard said: “My work is over.
I feel that we’ve done what we set out to do.
This benefit corporation allows us a way to
ensure the values of my company continue.”2
Patagonia’s environmental focus has not
hurt its bottom line. The company had to
lay off employees only once in its history (a
moment Chouinard recalls as extremely painful).
During the recent sluggish economy, sales
rose more than 30% in a 12-month period,
to $540 million. Financial analysts suggest
that the increase may be due in part to the
fact that many Americans, instead of traveling
abroad, elected to stay home and participate
in outdoor activities. But there can be
no doubt that Chouinard and Patagonia have
created relationships with stakeholders who
share their commitment to a greener world.
Discussion Probes
1.	 How does Yvon Chouinard function as a
responsible leader?
2.	 Can you think of other business executives
who also meet the criteria for
responsible leadership?
3.	 Could leaders of publicly held corporations
follow Chouinard’s example?
Should they try to do so?
4.	 Does Patagonia put too much emphasis
on the environment? Who might be
hurt by this commitment?
5.	 Should all U.S. states adopt benefit corporation
laws? What are the potential
benefits and costs of doing so?
Notes
1.	 Wright, M. (2011, November 7). Success means
telling people to buy less. The Guardian.
2.	 Herdt, T. (2012, January 4). Patagonia first
in line to register as a “benefit corporation.”
Ventura County Star.
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265Chapter 7 | Normative Leadership Theories
Sources
Archer, M. (2005, October 31). Founder of Patagonia
became a businessman accidentally. USA
Today, Money, p. 5.
Mara, J. (2008, January 17). Patagonia CEO turns
retailers green. Contra Costa Times.
Martin, J. (2012, May 25). Clothier’s products all
come in green. Los Angeles Times, p. B1.
SELF-ASSESSMENT 7.1
Transformational Leadership scale
Instructions: Think about a situation in which you either assumed or were given a leadership role.
Think about your own behaviors within this context. To what extent does each of the following
statements characterize your leadership orientation?
Very Little
A Moderate
Amount Very Much
1 2 3 4 5 6 7
  1.	 Have a clear understanding of where we are going.
  2.	 Paint an interesting picture of the future for my group.
  3.	 Am always seeking new opportunities for the organization/group.
  4.	 Inspire others with my plans for the future.
  5.	 Am able to get others to be committed to my dreams.
  6.	 Lead by “doing,” rather than simply by “telling.”
  7.	 Provide a good model for others to follow.
  8.	 Lead by example.
  9.	 Foster collaboration among group members.
10.	 Encourage employees to be “team players.”
11.	 Get the group to work together for the same goal.
12.	 Develop a team attitude and spirit among employees.
13.	 Show that I expect a lot from others
14.	 Insist on only the best performance.
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Part 3 | Ethical Standards and Strategies266
15.	 Will not settle for second best.
16.	 Act without considering the feelings of others.
17.	 Show respect for the personal feelings of others.
18.	 Behave in a manner thoughtful of the personal needs of others.
19.	 Treat others without considering their personal feelings.
20.	 Challenge others to think about old problems in new ways.
21.	 Ask questions that prompt others to think.
22.	 Stimulate others to rethink the way they do things.
23.	 Have ideas that challenge others to reexamine some of their basic assumptions about work.
24.	 Always give positive feedback when others perform well.
25.	 Give special recognition when others’ work is very good.
26.	 Commend others when they do a better-than-average job.
27.	 Personally compliment others when they do outstanding work.
28.	 Frequently do not acknowledge the good performance of others.
Scoring
Reverse your scores on questions 16, 19, and 28. There are seven dimension scores to be computed.
Articulate vision: Sum your responses to questions 1–5 and divide by 5. Provide appropriate
model: Sum your responses to questions 6–8 and divide by 3. Foster acceptance of goals: Sum your
responses to questions 9–12 and divide by 4. High performance expectations: Sum your responses
to questions 13–15 and divide by 3. Individual support: Sum your responses to questions 16–19
and divide by 4. Intellectual stimulation: Sum your responses to questions 20–23 and divide by 4.
Transactional leader behaviors: Sum your responses to questions 24–28 and divide by 5.
My scores are
Articulate vision________
Role model _______
Foster goal acceptance ________
Performance expectations ________
Individual support _________
Intellectual stimulation ________
Transactional leader behavior ________
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A high score of 6 and greater reflects a strong orientation to engage in each of these behaviors.
A low score of 2 or less reflects that you are unlikely to engage in each of these behaviors.
SOURCES: Podsakoff, P. M., MacKenzie, S. B., Moorman, R. H., & Fetter, R. (1990). Transformational leader behaviors
and their effects on followers’ trust in leader, satisfaction, and organizational citizenship behavior. Leadership
Quarterly, 1, 107–142. Scale reprinted from Pierce, J. L., & Newstrom, J. W. (2011). Leaders and the leadership
process: Readings, self-assessments and applications (6th ed.). New York: McGraw-Hill, pp. 369–370. Used by
permission.
SELF-ASSESSMENT 7.2
Servant Leadership Questionnaire
Instructions: You can use this questionnaire to rate the servant leadership behaviors of one of
your leaders or ask someone else to rate you. Respond to each question on the following scale:
1 = strongly disagree, 2 = somewhat disagree, 3 = somewhat agree, 4 = strongly agree. The scale
rates five dimensions of servant leadership, which are described below. Add up the item ratings
to come up with the total score for each component. Add the component scores to come up with
a total servant leadership rating (range 24–96).
  1.	 This person puts my best interests ahead of his/her own.	 1   2   3   4
  2.	 This person does everything he/she can do to serve me.	 1   2   3   4
  3.	 This person is one I would turn to if I had a personal trauma.	 1   2   3   4
 4.	This person seems alert to what’s happening.	 1  2  3  4
  5.	 This person offers compelling reasons to get me to do things.	 1   2   3   4
  6.	 This person encourages me to dream “big dreams” about the organization.	 1   2   3   4
  7.	 This person is good at anticipating the consequences of decisions.	 1   2   3   4
  8.	 This person is good at helping me with my emotional issues.	 1   2   3   4
  9.	 This person has great awareness of what is going on.	 1   2   3   4
10.	This person is very persuasive.	 1  2  3  4
11.	 This person believes that the organization needs to
play a moral role in society.	 1  2  3  4
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Part 3 | Ethical Standards and Strategies268
12.	 This person is talented at helping me to heal emotionally.	 1   2   3   4
13.	 This person seems in touch with what’s happening.	 1   2   3   4
14.	 This person is good at convincing me to do things.	 1   2   3   4
15.	 This person believes that our organization needs to
function as a community.	 1  2  3  4
16.	 This person sacrifices his/her own interests to meet my needs.	 1   2   3   4
17.	 This person is one who could help me mend my hard feelings.	 1   2   3   4
18.	 This person is gifted when it comes to persuading me.	 1   2   3   4
19.	 This person is talented at helping me to heal emotionally.	 1   2   3   4
20.	 This person sees the organization for its potential to contribute to society.	 1   2   3   4
21.	 This person encourages me to have a community spirit in the workplace.	 1   2   3   4
22.	 This person goes above and beyond the call of duty to meet my needs.	 1   2   3   4
23.	 This person seems to know what is going to happen.	 1   2   3   4
24.	 This person is preparing the organization to make a positive
difference in the future.	 1  2  3  4
Scoring
Altruistic Calling (deep-rooted desire to make a positive difference)
Item 1 _____
Item 2 _____
Item 21 _____
Item 22 _____
Total _____ out of 16
Emotional Healing (fostering spiritual recovery from hardship or trauma)
Item 3 _____
Item 8 _____
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269Chapter 7 | Normative Leadership Theories
Item 12 _____
Item 17 _____
Item 19 _____
Total _____ out of 20
Wisdom (awareness of surroundings and anticipation of consequences)
Item 4 _____
Item 7 _____
Item 9 _____
Item 13 _____
Item 23 _____
Total _____ out of 20
Persuasive Mapping (use of sound reasoning and mental frameworks)
Item 5 _____
Item 6 _____
Item 10 _____
Item 14 _____
Item 18 _____
Total _____ out of 20
Organizational Development (making a collective positive contribution to society)
Item 11 _____
Item 15 _____
Item 20 _____
Item 21 _____
Item 24 _____
Total _____ out of 20
Overall score _____ out of 96
SOURCE: Adapted from Barbuto, J. E., & Wheeler, D. W. (2006). Scale development and construct clarification of
servant leadership. Group & Organization Management, 31, 300–326. Used by permission. Published by SAGE
Publications.
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NOTES 
  1.	 See, for example, Katz, D., Maccoby, N.,
Gurin, G., & Floor, L. (1951). Productivity,
supervision, and morale among railroad workers.
Ann Arbor: University of Michigan, Institute
for Social Research; Stogdill, R. M., & Coons,
A. E. (1957). Leader behavior: Its description and
measurement. Columbus: Ohio State University,
Bureau of Business Research.
  2.	 Burns J. M. (1978). Leadership. New York:
Harper & Row.
  3.	 Burns, J. M. (2003). Transforming leadership:
A new pursuit of happiness. New York: Atlantic
Monthly Press.
  4.	 Burns (1978), p. 2.
  5.	 Burns (2003), Ch. 12.
  6.	 Kanungo, R. N. (2001). Ethical values of
transactional and transformational leaders.
Canadian Journal of Administrative Sciences, 18,
257–265.
  7.	 Turner, N., Barling, J., Epitropaki, O.,
Butcher, V., & Milner, C. (2002, April).
Transformational leadership and moral
reasoning. Journal of Applied Psychology,
87, 304–311; Toor, S. R., & Ofori, G.
(2009). Ethical leadership: Examining the
relationships with full range leadership
model, employee outcomes, and
organizational culture. Journal of Business
Ethics, 90, 533–547; Hood, J. N. (2003). The
relationship of leadership style and CEO
values to ethical practices in organizations.
Journal of Business Ethics, 43, 263–273;
Carlson, D. S., & Perrewe, P. L. (1995).
Institutionalization of organizational ethics
through transformational leadership. Journal
of Business Ethics, 14, 829–838; Puffer,
S. M., & McCarthy, D. J. (2008). Ethical
turnarounds and transformational leadership:
A global imperative for corporate social
responsibility. Thunderbird International
Business Review, 50, 304–314.
  8.	 See Bass, B. M. (1996). A new paradigm of
leadership: An inquiry into transformational
leadership. Alexandria, VA: U.S. Army Research
Institute for the Behavioral and Social Sciences;
Bass, B. M., Avolio, B. J., Jung, D. I., & Berson,
Y. (2003). Predicting unit performance by
assessing transformational and transactional
leadership. Journal of Applied Psychology, 88,
207–218.
  9.	 Bass, B. M. (1990). Bass and Stogdill’s handbook of
leadership (3rd ed.). New York: Free Press, p. 53.
10.	 See Bass, B. M., & Avolio, B. J. (1993).
Transformational leadership: A response to
critiques. In M. M. Chemers & R. Ayman
(Eds.), Leadership theory and research:
Perspectives and directions (pp. 49–80). San
Diego: Academic Press; Waldman, D. A., Bass,
B. M., & Yammarino, F. J. (1990). Adding to
contingent-reward behavior: The augmenting
effect of charismatic leadership. Group and
Organizational Studies, 15, 381–394.
11.	 For evidence of the effectiveness of
transformational leadership, see Bass et al.
(2003) and the following: DeGroot, T., Kiker,
D. S., & Cross, T. C. (2000). A meta-analysis
to review organizational outcomes related
to charismatic leadership. Canadian Journal
of Administrative Sciences, 17, 356–371; Fiol,
C. M., Harris, D., & House, R. J. (1999).
Charismatic leadership: Strategies for effecting
social change. Leadership Quarterly, 10, 449–
482; Lowe, K. B., & Kroeck, K. G. (1996).
Effectiveness correlates of transformational and
transactional leadership: A meta-analytic review.
Leadership Quarterly, 7, 385–425.
12.	 A few examples of popular leadership sources
based on a transformational approach include
Bennis, W., & Nanus, B. (2003). Leaders:
Strategies for taking charge. New York: Harper
Business Essentials; Kotter, J. P. (1990). A
force for change: How leadership differs from
management. New York: Free Press; Kouzes,
J. M., & Posner, B. Z. (2012). The leadership
challenge (5th ed.). San Francisco: JosseyBass;
Nanus, B. (1992). Visionary leadership.
San Francisco: Jossey-Bass; Peters, T. (1992).
Liberation management. New York: Ballantine.
13.	 Bass, B. M. (1998). The ethics of
transformational leadership. In J. B. Ciulla
(Ed.), Ethics, the heart of leadership (pp. 169–
192). Westport, CT: Praeger.
14.	 Den Hartog, D. N., House, R. J., Hanges, P.
U., Ruiz-Quintanilla, S. A., & Dorfman, P. W.
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271Chapter 7 | Normative Leadership Theories
(1999). Culture-specific and cross-culturally
generalizable implicit leadership theories:
Are attributes of charismatic/transformational
leadership universally endorsed? Leadership
Quarterly, 10, 219–257.
15.	 Tourish, D. (2008). Challenging the
transformational agenda: Leadership theory
in transition? Management Communication
Quarterly, 21, 522–528, p. 523.
16.	 Criticisms of transformational leadership
can be found in the following: Kelley, R.
(1992). The power of followership. New
York: Doubleday/Currency; Tourish, D., &
Pinnington, A. (2002). Transformational
leadership, corporate cultism, and the
spirituality paradigm: An unholy trinity
in the workplace? Human Relations, 55,
147–172; Tourish, D. (2013). The dark side of
transformational leadership: A critical perspective.
New York: Routledge.
17.	 Greenleaf, R. K. (1977). Servant leadership.
New York: Paulist Press.
18.	 Spears, L. (1998). Introduction: Tracing the
growing impact of servant-leadership. In
L. C. Spears (Ed.), Insights on leadership
(pp. 1–12). New York: John Wiley; Ruschman,
N. L. (2002). Servant-leadership and the best
companies to work for in America. In
L. C. Spears & M. Lawrence (Eds.), Focus on
leadership: Servant-leadership for the twentyfirst
century (pp. 123–139). New York: John
Wiley; Sendjaya, S., & Sarros, J. C. (2002).
Servant leadership: Its origin, development,
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19.	 Greenleaf, pp. 13–14.
20.	 Block, P. (1996). Stewardship: Choosing
service over self-interest. San Francisco:
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Three things necessary. In L.
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21.	 DePree, M. (1989). Leadership is an art. New
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22.	 Barbuto, J. E., & Wheeler, D. W. (2006).
Scale development and construct clarification
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23.	 Barbuto & Wheeler; Russell, R. F., & Stone,
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Part 3 | Ethical Standards and Strategies272
3, 397–417; Mehta, S., & Pillay, R.
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26.	 Avolio, B. J., & Gardner, W. L. (2005).
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32.	 Gardner et al.; Harvey, P., Martinko, M.
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39.	 Hansen, H., Ropo, A., & Sauer, E. (2007).
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©SAGE Publications