ABUNDANCE AND SCARCITY MENTAL MODELS IN LEADERS A dissertation presented to the Faculty of Saybrook University in partial fulfillment of the requirements for the degree of Doctor of Philosophy (Ph.D.) in Organizational Systems by Laura Freebairn-Smith San Francisco, CA October 2009 © 2009 Laura Freebairn-Smith Approval of the Dissertation ABUNDANCE AND SCARCITY MENTAL MODELS IN LEADERS This dissertation by Laura Freebairn-Smith has been approved by the committee members below, who recommend it be accepted by the faculty of Saybrook University in partial fulfillment of requirements for the degree of Doctor of Philosophy in Organizational Systems Dissertation Committee: ___________________________________ ____________________ Kathia Laszlo, Ph.D., Chair Date __________________________________ ____________________ Dennis Jaffe, Ph.D. Date __________________________________ ____________________ John H. Adams, Ph.D. Date ii Abstract ABUNDANCE AND SCARCITY MENTAL MODELS IN LEADERS Laura Freebairn-Smith Saybrook University Some leaders create more energy, joy, productivity, and dedication in their subordinates than others. About these bosses, subordinates consistently say things like, “I loved working for her.” Leadership research has tried to explain this phenomenon but no model has adequately encompassed the range of leader behaviors expressed by subordinates nor do the models examine the mental models that drive those behaviors. This dissertation was a mixed-methods study which developed an instrument and model for determining where in a spectrum of abundance and scarcity mental models a leader operates. The study examined the effect of a leader’s mental model on the perceived health of their organization. The research was conducted in three phases: Phase one consisted of a qualitative exploration through online interviews of 16 experts that provided input for the design of the quantitative instrument. Phases Two and Three consisted of applying the quantitative instrument to measure a leader’s position on the abundance-scarcity spectrum, with a focus on the role of leaders as bosses. Phase Two had 192 participants and Phase Three had 102 participants. The data were analyzed through correlation and factor analysis. iii Phase Three was conducted to retest items that did not load well in the factor analysis in Phase Two. The results revealed that bosses with an abundance mental model – seeing the world as resource sufficient and power as shareable – are preferred over scarcity bosses. The subordinates of these bosses saw their organizations as healthier. Their organizations do better at conflict resolution, communication, and teamwork. However, too much abundance can be detrimental by dispersing energy and misplacing optimism. Scarcity leaders work from fear and control. They often struggle with communication and have trouble delegating. They decrease energy instead of increasing it. Scarcity bosses are difficult to work for and negatively impact their organization’s perceived health. The research showed that scarcity and abundance behaviors are more subtle than an on/off switch. Bosses fall along a spectrum and all behaviors must be examined to understand the abundance-scarcity mental model of a leader. This study created a new broader model for understanding effective leadership and its impact on the health of organizations. Dedication This dissertation is dedicated to all my teachers, in all the forms they have taken in my life, who helped me discover that questioning and knowing and seeing are endeavors of the highest order, made truly useful only by the addition of soul and compassion. iv Acknowledgments For those who provided a backdrop that allowed me to think… Trent, my son, who didn’t complain that his mother was studying My mother and father for imbuing me with a passion for learning David Berg, Lynne Yeannakis, Bill Kraus, Jack Gillette – all OD inspirations whose doctoral paths and life work inspired me to undertake this journey and who taught me 90% of what I know about organizational development Peter Vallone for signing off on this endeavor way back when Maria, my sister, for taking care of Trent while I went off to study My brother, Sutton, who is always a source of calm assuredness My friends Paula, Katie, Bob, and Ellen – who kept me on an even keel in so many other areas of my life James, who gave me great excuses to take a break from the books David McGarva, Maxine Freed, Bob Tanner and Randy Evans – all of whom started on this journey together at Saybrook and inspired me along the way Spot and Neptune, who waited for their walks and slept, dreaming of capturing squirrels To all the people who kept the house, dogs and children well-fed and clean: Blanca, the babysitters, and the dogwalkers Brett, my ex-husband, who read every paper in the early days and whose own doctorate made this goal seem possible v The entire staff of the Learning Center at Yale for their joy and support Yale University for its financial support through the TAP program and conference sponsorship Peter Salovey at Yale and Richard Hackman at Harvard who thought I might have something worthwhile to say and didn’t mind repeating themselves and providing guidance For those more deeply in the intellectual trenches with me… To John Adams and Dennis Jaffe, my committee members, who quietly and steadily responded to all the drafts with clear and assured edits and guidance To Agata Gluszek, whose good humor and statistical skills made the mixed-methods of this dissertation truly possible And, to an extraordinary “abundance mental model” guide without whom this dissertation would not have nearly the joy or depth that it does – Kathia Laszlo, my committee chair. vi Table of Contents List of Tables................................................................................................................viii List of Figures ................................................................................................................ix List of Tables in the Appendixes......................................................................................x Chapter 1: Introduction....................................................................................................1 Purpose of the Study........................................................................................................1 Research Questions .........................................................................................................3 Key Concepts ..................................................................................................................3 Chapter 2: Review of the Literature .................................................................................5 Overview of Relevant Literature and Research ................................................................5 Level of Analysis.............................................................................................................9 Abundance and Scarcity Mental Models........................................................................13 Psychology ........................................................................................................13 Organizational Development..............................................................................21 Leadership .........................................................................................................23 Issues Regarding Leadership Research ...................................................32 Economics and Sustainability.............................................................................33 Conclusion ....................................................................................................................42 Chapter 3: Methodology................................................................................................43 Phase 1 Research...........................................................................................................43 Phase 2 Methodology ....................................................................................................44 Phase 3 Methodology ....................................................................................................47 Chapter 4: Results..........................................................................................................51 Phase 1 Results..............................................................................................................51 Abundance Behavior Categories (Question 2) ....................................................51 Scarcity Behavior Categories (Question 2) .........................................................53 Behavior Rating Results (Scaled Question 3) .....................................................55 Other Thoughts From Experts (Question 4)........................................................57 Discussion of Phase 1 Results ............................................................................57 Limitations of Phase 1 Data ...............................................................................58 Phase 2 Results..............................................................................................................58 Discussion of Phase 2 Results ............................................................................60 Limitations of Phase 2 Data ...............................................................................61 Implications for Phase 3.....................................................................................61