Antioch University AURA - Antioch University Repository and Archive Student & Alumni Scholarship, including Dissertations & Theses Dissertations & Theses 2007 A Communicative Theory of Leadership Practice Kathryn Ann Gaines Antioch University - PhD Program in Leadership and Change Follow this and additional works at: https://aura.antioch.edu/etds Part of the Leadership Studies Commons Recommended Citation Gaines, K. A. (2007). A Communicative Theory of Leadership Practice. https://aura.antioch.edu/etds/654 This Dissertation is brought to you for free and open access by the Student & Alumni Scholarship, including Dissertations & Theses at AURA - Antioch University Repository and Archive. It has been accepted for inclusion in Dissertations & Theses by an authorized administrator of AURA - Antioch University Repository and Archive. For more information, please contact [email protected], [email protected]. A COMMUNICATIVE THEORY OF LEADERSHIP PRACTICE Kathryn Ann Gaines Submitted to the Ph.D. in Leadership and Change Program of Antioch University in partial fulfillment of the requirements for the degree of Doctor of Philosophy June, 2007 This is to certify that the dissertation entitled: A COMMUNICATIVE THEORY OF LEADERSHIP PRACTICE Prepared by Kathryn Ann Gaines is approved in partial fulfillment of the requirements for the degree of Doctor of Philosophy in Leadership & Change. __________________________________________________________________________ Jon Wergin, Ph.D., Committee Chair date ___________________________________________________________________________ Richard Couto, Ph.D., Committee Member date ____________________________________________________________________________ Philomena Essed, Ph.D., Committee Member date _____________________________________________________________________________ James MacGregor Burns, Ph.D., External Reader date ii © Copyright 2007 Kathryn Gaines All rights reserved iii ACKNOWLEDGMENTS Many individuals have impacted my ability and capacity to complete this study. Their unique contributions have fostered my growth and learning and have served as invaluable sources of advice, support, direction, feedback, and guidance on this fascinating journey. I would like to acknowledge specifically, with much gratitude, several of those individuals. Deb Baldwin taught me, with much enthusiasm, how to build and conduct a literature search; her efforts made it possible for me to address a significant amount of research, reach across disciplines and decades, and establish the scholarly roots for this theory. Edward L. Fink at the University of Maryland mentored me patiently and deftly through the social influence literature. Philomena Essed graciously served as a member of my dissertation committee and mentored me through an individualized learning project on theoretical and analytical modes of inquiry; her questions and observations always cut straight to the heart of the matter. Richard Couto assisted me at every stage of the program, from my phone interview through my dissertation; I am especially grateful for his tough and tenacious questions and his encouragement of my involvement in the community of leadership scholars. James MacGregor Burns, whose work is such an inspiration to me, very generously served as external reviewer of my dissertation. Jon Wergin masterfully directed me through the dissertation process from concept to defense, and thereby fostered a richer academic experience than I ever imagined. My family – Robert and Nicholas – sacrificed a great deal so that I could have the space and freedom to realize this aspiration. iv ABSTRACT Addressing three problems in the field of leadership studies – fragmentation across disciplines; emphasis on individual leaders in titled positions; failure to identify a coherent set of actions for performing leadership – this study develops a framework of core communicative leadership practices. It is premised on a philosophical analysis of ‘leadership’ as a social strategy for securing action in service of interests claimed by or for a community – an action performed intentionally via symbolic behavior accessible to any and all members of a community. This definition serves as a heuristic for the development of a systematic theory of leadership practice. The primary guiding question is “How do we participate in leadership?” Eight core practices that are fundamental to initiating and participating in leadership are identified and analyzed. The core practices include: reporting and inquiring - to build dialogue and facilitation; directing and pledging - to build commitment and obligation; envisioning and advocating - to inspire and motivate; and declaring and constituting - to create or change social reality. Practices are derived from four functional categories abstracted from the leadership literature, analyzed pragmatically using speech act theory, integrated with multi-disciplinary research, including communication, rhetoric, social psychology, and philosophy, and illustrated through practice-based scenarios. Ultimately, a thoroughly analyzed theory of leadership practice – grounded solidly in the field and integrated with scholarship from other disciplines – is provided with a set of implications and suggestions for the practice, development, and empirical study of leadership. v TABLE OF CONTENTS Acknowledgments iv Abstract v Table of Contents vi List of Tables ix List of Figures x Chapter I – Introduction 1 Statement of Purpose 1 Statement of Problem 2 Research Questions 5 Approach and Methodology 6 Overview of Chapters 8 Chapter II – Lessons from the Leadership Literature 10 Trait Studies 11 Styles Approaches 12 Situational Theories 16 Relationship Approaches 18 Social Exchange and Transactional Theories 18 Follower-Centered Approaches 20 Relational Leadership 23 Cognitive and Information Processing Approaches 25 Integrated, Values-Centered Theories of Leadership 27 Transforming Leadership 27 Servant Leadership 30 Adaptive Leadership 31 Post-Industrial Leadership 33 Emerging Theories: A Complex Systems Approach 35 Leadership without Formal Authority 38 Theories and Models of Leadership Practice 45 Transformational Leadership 47 Leadership Challenge 47 vi Situational Leadership 48 Shared Leadership 49 Chapter III – Leadership: Analysis, Definition, and Core Practices 52 Philosophical Analysis: An Overview 52 Leadership: A Conceptual Analysis and Definition 56 Leadership Defined as Characteristic Properties of Individuals 57 Leadership Defined as a Process or Relationship 60 Leadership Defined as a Result or an Outcome 61 Leadership Defined as a Social Practice 62 Functional Categories of Leadership Practice 64 Dialogue and Facilitate 65 Inspire and Motivate 66 Commit and Obligate 67 Create or Change Social Reality 67 Table 1: Functional Categories of Leadership Practice Derived from the Leadership Literature 69 Figure 1: Communicative Framework of Leadership Practice 70 Figure 2: Model of Core Practices of Leadership 71 Description of Core Leadership Practices 72 Reporting and Inquiring 72 Advocating and Envisioning 72 Directing and Pledging 73 Declaring and Constituting 74 Table 2: Description of Core Leadership Practices 76 Chapter IV – The Pragmatics of Leadership 79 Leadership and Communication 80 Speech Act Theory and Pragmatic Analysis 81 Searle’s Conditions for Analysis of Speech Acts 85 Pragmatic Analysis of Core Leadership Practices 87 Reporting 89 Inquiring 92 vii Advocating 95 Envisioning 98 Directing 101 Pledging 104 Declaring 106 Constituting 109 Prudential Rules for Core Leadership Practices 111 Chapter V – Applying the Framework: Organizational Culture and Leadership Practice 115 Organizational Culture 115 Table 3: Competing Values Framework 118 Table 4: Description of Core Leadership Practices 119 Core Leadership Practices and Types of Organizational Cultures 120 Scenario One: Leadership in a Hierarchical Culture 122 Scenario Two: Leadership in a Market Culture 128 Scenario Three: Leadership in a Clan Culture 132 Scenario Four: Leadership in an Adhocracy Culture 135 Chapter VI – Conclusion 139 Summary of Study 139 Figure 3: Communicative Framework of Leadership Practice 141 Implications 142 Empirical Study of Leadership 142 Integrative Scholarship for the Practice and Development of Leadership 144 Developing Leadership as an Individual Capability and as a Cultural Resource 151 References 153 viii LIST OF TABLES Table 1: Functional Categories of Leadership Practice Derived from the Leadership Literature 69 Table 2: Description of Core Leadership Practices 76 Table 3: Competing Values Framework 118 Table 4: Description of Core Leadership Practices 119 ix LIST OF FIGURES Figure 1: Communicative Framework of Leadership Practice 70 Figure 2: Model of Core Practices of Leadership 71 Figure 3: Communicative Framework of Leadership Practice 141 x CHAPTER I: INTRODUCTION Statement of Purpose Leadership is a social strategy for securing action in service of interests claimed by or for a community (see, e.g., Burns, 1978; Gardner, 1990; Heifetz, 1994; Kouzes & Posner, 1995; Rost, 1991). It is not a position that one holds. It is not a trait or characteristic that one possesses. It is not a perception or attribution. Leadership is a social practice constituted through our language and communication behavior. This conceptualization of leadership is a result of both an extensive review of the literature and my own experiences as a leadership development practitioner. Sometimes leadership comes from an individual leader, whether formally,