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CHAPTER 2
Traits, Behaviors, and Relationships
Chapter Outline
The Trait Approach
Know Your Strengths
Behavior Approaches
Individualized Leadership
Entrepreneurial Traits and Behaviors
In the Lead
Marissa Mayer, Yahoo
Warren Buffet, Berkshire Hathaway
Colonel Joe D. Dowdy and Major General James Mattis, U.S. Marine Corps
Denise Morrison, Campbell Soup Company, and Michael Arrington, TechCrunch
Leader’s Self-Insight
Rate Your Optimism
Summary and Interpretation
The point of this chapter is to understand the importance of traits and behaviors in the
development of leadership theory and research. Some traits associated with effective leadership
include optimism, self-confidence, honesty, and drive. Large number of personal traits and
Another approach is the dyad between a leader and each follower. Followers have different
relationships with the leader, and the ability of the leader to develop a positive relationship with
each follower contributes to team performance. The leader-member exchange theory says that
high-quality relationships have a positive outcome for leaders, followers, work units, and the
organization. Leaders can attempt to build individualized relationships with each subordinate as
a way to meet needs for both consideration and structure. The historical development of
Your Leadership Challenge
After reading this chapter, you should be able to:
• Outline some personal traits and characteristics that are associated with effective leaders.
• Identify your own traits that you can transform into strengths and bring to a leadership role.
Key Terms and Concepts
Traits: the distinguishing personal characteristics of a leader, such as intelligence, honesty, self-
confidence, and appearance.
Great Man approach: a leadership perspective that sought to identify the inherited traits leaders
possessed that distinguished them from people who were not leaders.
Drive: high motivation that creates a high effort level by a leader.
Strength: a natural talent or ability that has been supported and reinforced with learned
knowledge and skills.
Operational role: a vertically oriented leadership role in which an executive has direct control
over people and resources and the position power to accomplish results.
Job-centered: leadership behavior in which leaders direct activities toward efficiency, cost-
cutting, and scheduling, with an emphasis on goals and work facilitation.
The Leadership Grid: a two-dimensional leadership model that describes major leadership
styles based on measuring both concern for people and concern for production.
Introduction
Virginia Rometty spent 30 years climbing the ranks at IBM before becoming the company’s first
female CEO in January 2012. Some of the personal characteristics that helped her get to the top
include intelligence, ambition, ability to stay focused, empathy, superb listening skills, and self-
Annotated Lecture/Outline
Leadership Challenge #1: Outline some personal traits and characteristics that are associated
with effective leaders.
I. The Trait Approach
Traits are the distinguishing personal characteristics of a leader, such as intelligence, honesty,
self-confidence, and appearance. Research early in the twentieth century examined leaders who
had achieved a level of greatness and hence became known as the Great Man approach. The
Great Man approach sought to identify the traits leaders possessed that distinguished them
from people who were not leaders. Generally, research found only a weak relationship between
personal traits and leader success.
Nevertheless, with the advancement of the field of psychology during the 1940s and 1950s, trait
approach researchers expanded their examination of personal attributes by using aptitude and
psychological tests. These early studies looked at:
• Personality traits such as creativity and self-confidence
In a 1948 literature review, Stogdill examined more than 100 studies based on the trait approach.
He uncovered several traits that appeared consistent with effective leadership:
• General intelligence
• Initiative
However, Stogdill’s findings also indicated that the importance of a particular trait is often
relative to the situation. In recent years, there has been a resurgence of interest in examining
Exhibit 2.1: Personal Characteristics of Leaders
Exhibit 2.1 presents some of the traits and their respective categories that have been identified
through trait research over the years. A few traits typically considered highly important for
leadership are optimism, self-confidence, honesty and integrity, and drive
A. Optimism and Self-confidence
Optimism refers to a tendency to see the positive side of things and expect that things will turn out
well. Numerous surveys indicate that optimism is the single characteristic most common to top
executives.
New Leader Action Memo: People generally prefer to follow leaders who are optimistic rather
than pessimistic about the future. Complete the questionnaire in Leader’s Self-Insight 2.1 to
assess your level of optimism.
Active leaders need self-confidence and optimism. The characteristics of optimism and self-
confidence enable a leader to face challenges.
Discussion Question #3: The chapter suggests that optimism is an important trait for a leader,
yet some employees complain that optimistic leaders create significant stress because they don’t
anticipate problems and expect their subordinates to meet unreasonable goals. Do you agree?
Why?
Notes_________________________________________________________________________
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B. Honesty and Integrity
One aspect of being an ethical leader is being honest with followers, customers, shareholders,
and the public, and maintaining one’s integrity. Honesty refers to truthfulness and non-
deception. It implies an openness that followers welcome. Integrity means that a leader’s
New Leader Action Memo: As a leader, you can develop the personal traits of self-confidence,
integrity, and drive, which are important for successful leadership in every organization and
situation. You can work to keep an optimistic attitude and be ethical in your decisions and
actions.
C. Drive
Drive refers to high motivation that creates a high effort level by a leader. Leaders with drive
seek achievement, have energy and tenacity, and are frequently perceived as ambitious. A
In the Lead: Marissa Mayer, Yahoo
Marissa Mayer has set herself some tough goals as the new president and CEO of Yahoo. But
tough is part of Mayer’s DNA. Mayer is known for being incredibly energetic and ambitious.
She loves hard work and challenge. Mayer has demonstrated that she has almost superhuman
stamina and a strong drive to succeed. In the early years at Google, she routinely worked 100-
hour weeks and occasionally pulled all-nighters. Soon after joining Yahoo as CEO, Mayer had
her first baby and returned to work two weeks after the delivery.
Discussion Question #2: Suggest some personal traits of leaders you have known. Which traits
do you believe are most valuable? Why?
Notes_________________________________________________________________________
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Leadership Challenge #2: Identify your own traits that you can transform into strengths and
bring to a leadership role.
II. Know Your Strengths
The myth of the “complete leader” can cause stress and frustration for leaders and followers, as
well as damage the organization. Interdependence is the key to effective leadership. Everyone
Discussion Question #1: Why is it important for leaders to know their strengths? Do you think
leaders should spend equal time learning about their weak points?
Notes_________________________________________________________________________
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A. What are Strengths?
A strength arises from a natural talent that has been supported and reinforced with
knowledge and skills. Talents can be thought of as innate traits and naturally recurring
effort; hence they are effective and make a positive contribution.
In the Lead: Warren Buffet, Berkshire Hathaway
Warren Buffett says he finds investing so much fun that he would do it for free. Buffett tried
other work early in his career but found it so unsatisfying that he knew he wouldn’t want to do it
for any amount of money. The legendary self-made billionaire and chairman of Berkshire
Hathaway was the fourth richest person in the world in 2013. Yet it isn’t the money that drives
him, but the love of the work.
Leadership Challenge #3: Distinguish among various roles leaders play in organizations,
including operations roles, collaborative roles, and advisory roles, and where your strengths
might best fit.
B. Matching Strengths with Roles
Recent research suggests that different leader strengths might be better suited to different
types of leadership roles.
Exhibit 2.2: Three Types of Leadership Roles
Exhibit 2.2 illustrates three types of leadership roles identified in today’s organizations by a
team of experts at Hay Group. The researchers found that, although there is a core set of
competencies that all leaders need, there is significant variation in the personal characteristics,
behaviors, and skills that correlate with success in the different roles.
The operational role is the closest to a traditional, vertically oriented management role,
where an executive has direct control over people and resources to accomplish results.
Operational leaders are doggedly focused on delivering results. Successful operational leaders
are typically analytical and knowledgeable, yet they also have the ability to translate their
knowledge into a vision that others can become passionate about.
New Leader Action Memo: As a leader, you can understand the type of leadership role in
which your strengths would be most effective and satisfying. You can pursue an operational,
collaborative, or advisory leadership role depending on your natural tendencies.
Discussion Question #10: Pick three traits from the list in Exhibit 2.1 that you think would be
most valuable for a leader in an operational role. Pick three that you think would be most
valuable for a leader in a collaborative role. Explain your choices.
Notes_________________________________________________________________________
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Leadership Challenge #4: Recognize autocratic versus democratic leadership behavior and the
impact of each.
III. Behavior Approaches
Rather than looking at an individual’s personal traits, diverse research programs on leadership
behavior have sought to uncover the behaviors that effective leaders engage in. Behaviors can
be learned more readily than traits, enabling leadership to be accessible to all.
A. Autocratic versus Democratic Leadership
One study that served as a precursor to the behavior approach recognized autocratic and
democratic leadership styles. An autocratic leader is one who tends to centralize authority
and derive power from position, control of rewards, and coercion. A democratic leader
delegates authority to others, encourages participation, relies on subordinates’ knowledge for
completion of tasks, and depends on subordinate respect for influence.
Consider This: Minimal Leadership
• When the Master governs, the people are hardly aware that he [she] exists.
• Next best is a leader who is loved.
• Next, one who is feared.
Further work by Tannenbaum and Schmidt indicated that leadership behavior could exist on a
Exhibit 2.3: Leadership Continuum
Exhibit 2.3 illustrates the leadership continuum. Tannenbaum and Schmidt also suggested that
the extent to which leaders should be boss-centered or subordinate-centered depended on
organizational circumstances and that leaders might adjust their behaviors to fit the
New Leader Action Memo: As a leader, you can use a democratic leadership style to help
followers develop decision-making skills and perform well without close supervision. An
autocratic style might be appropriate when there is time pressure or followers have low skill
levels.
Discussion Question #4: What is the difference between trait theories and behavioral theories of
leadership?
Notes_________________________________________________________________________
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Discussion question #8: Why would subordinates under a democratic leader perform better in
the leader’s absence than would subordinates under an autocratic leader?
Notes_________________________________________________________________________
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Leadership Challenge #5: Know the distinction between people-oriented and task-oriented
leadership behavior and when each should be used.
B. Ohio State Studies
One early series of studies on leadership behavior was conducted at The Ohio State
University. The analysis of ratings from the studies resulted in two wide-ranging categories of
leader behavior:
• Consideration describes the extent to which a leader cares about subordinates, respects
their ideas and feelings, and establishes mutual trust. Showing appreciation, listening
New Leader Action Memo: You can discover your leadership orientation related to consideration
and initiating structure by completing the self-assessment exercise in Leader’s Self-Insight 2.2.
Although many leaders fall along a continuum that includes both consideration and initiating
structure behaviors, these behavior categories are independent of one another. In other words,
In the Lead: Col. Joe D. Dowdy and Maj. Gen. James Mattis, United States Marine Corps
Only a few weeks into the war in Iraq, Marine Col. Joe D. Dowdy had both accomplished a grueling
military mission and been removed from his command by Maj. Gen. James Mattis. One issue that
came under examination was the differing styles of Col. Dowdy and Gen. Mattis, as well as the
difficult, age-old wartime tension of “men versus mission.”
Additional studies that correlated these two leader behavior types and impact on subordinates
initially demonstrated that “considerate” supervisors had a more positive impact on subordinate
Discussion Question #5: Would you feel most comfortable using a “consideration” or an
“initiating structure” leadership style? Discuss the reasons for your answer?
Notes_________________________________________________________________________
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C. University of Michigan Studies
Studies at the University of Michigan took a different approach by directly comparing the
behavior of effective and ineffective supervisors. The effectiveness of leaders was determined
by productivity of the subordinate group.
However, unlike the consideration and initiating structure styles defined by the Ohio State
studies, Michigan researchers considered employee-centered leadership and job-centered
leadership to be distinct styles in opposition to one another. A leader is identifiable by
D. The Leadership Grid
Blake and Mouton of the University of Texas proposed a two-dimensional leadership theory
called the Leadership Grid that builds on the work of the Ohio State and Michigan studies.
Exhibit 2.4: The Leadership Grid® Figure
Exhibit 2.4 depicts the two-dimensional model and five of the seven major leadership styles.
• Team Management (9,9) is often considered the most effective style and is
recommended because organization members work together to accomplish tasks.
• Country club management (1,9) occurs when emphasis is given to people rather than to
work outputs.
In the Lead: Denise Morrison, Campbell Soup Company, and Michael Arrington,
TechCrunch
Douglas Conant, former CEO of Campbell Soup Company, met Denise Morrison in 1995 when
he was CEO of Nabisco and she cold-called him looking for a job. He found in Morrison a
kindred spirit in terms of leadership style and hired her; she later followed him to Campbell in
2003—and into the company’s top executive seat eight years later. Like Conant, Morrison is a
strong proponent of empowerment and employee engagement. She has been referred to as
E. Theories of a “High-High” Leader
The leadership styles described by the researchers at Ohio State, University of Michigan, and
University of Texas pertain to variables that roughly correspond to one another—
consideration and initiating structure; employee-centered and job-centered; concern for people
Exhibit 2.5: Themes of Leader Behavior Research
The findings about two underlying dimensions and the possibility of leaders rated high on
both dimensions raise three questions to think about:
• The first question is whether these two dimensions are the most important behaviors of
leadership. A review of 50 years of leadership research, for example, identified task-
oriented behavior and people-oriented behavior as primary categories related to
effective leadership in numerous studies.
New Leader Action Memo: As a leader, you can succeed in a variety of situations by showing
concern for both tasks and people. People-oriented behavior is related to higher follower
satisfaction, and task-oriented behavior is typically associated with higher productivity.
Leadership Challenge #6: Understand how the theory of individualized leadership has
broadened the understanding of relationships between leaders and followers.
IV. Individualized Leadership
Traditional trait and behavior theories assume that a leader adopts a general leadership style that
is used with all group members. A more recent approach to leadership behavior research,
Exhibit 2.6: Stages of Development of Individualized Leadership
Exhibit 2.6 illustrates the development of research in this area:
• The first stage was the awareness of a relationship between a leader and each individual
rather than between a leader and a group of followers.
A. Vertical Dyad Linkage Model
The vertical dyad linkage model (VDL) argues for the importance of the dyad formed by a
leader with each member of the group. Initial findings indicated that followers provided very
Exhibit 2.7: Leader Behavior toward In-Group versus Out-Group Members
Exhibit 2.7 delineates the differences in leader behavior toward in-group versus out-group
members. Most of us who have had experience with any kind of group recognize that some
leaders may spend a disproportionate amount of time with certain people and that these
“insiders” are often highly trusted and may obtain special privileges. In the terminology of the
Discussion question #6: The vertical dyad linkage model suggests that followers respond
individually to the leader. If this is so, what advice would you give leaders about displaying
people-oriented versus task-oriented behavior?
Notes_________________________________________________________________________
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B. Leader-Member Exchange
Stage two in the development of the individualized leadership theory explored the leader-
member exchange (LMX) in more detail, discovering that the impact on outcomes depends
on how the LMX process develops over time. Studies evaluating characteristics of the LMX
New Leader Action Memo: Answer the questions in Leader’s Self-Insight 2.3 to understand how
LMX theory applies to your own work experience.
C. Partnership Building
In this third phase of research, the focus was on whether leaders could develop positive
relationships with a large number of subordinates. If leaders are perceived to be granting
New Leader Action Memo: As a leader, you can build a positive, individualized relationship
with each follower to create an equitable work environment and provide greater benefits to
yourself, followers, and the organization.
Thus, the third phase of research in this area focused on whether leaders could develop
positive relationships with all followers. In this approach, the leader views each person
independently and may treat each individual in a different but positive way.
Discussion Question #7: Does it make sense to you that a leader should develop an
individualized relationship with each follower? Explain advantages and disadvantages to this
approach.
Notes_________________________________________________________________________
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Leadership Challenge #7: Describe some key characteristics of entrepreneurial leaders.
V. Entrepreneurial Traits and Behaviors
Entrepreneurship refers to initiating a business venture, organizing the necessary resources, and
assuming the associated risks and rewards. An entrepreneur recognizes a viable idea for a
business product or service and carries it out by finding and assembling the necessary
resources—money, people, machinery, location—to undertake the business venture.
Discussion Question #9: Why is an entrepreneurial leader important to an organization? How
is this role different from other leader roles?
Notes_________________________________________________________________________
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Discussion Questions
1. Why is it important for leaders to know their strengths? Do you think leaders should spend
equal time learning about their weak points?
Leaders face challenges that go beyond any individual’s capabilities. Therefore, the best
leaders recognize and hone their strengths, while trusting and collaborating with others to
make up for their weak points. Becoming an effective leader requires discovering one’s
own unique strengths and capabilities and learning how to make the most of them. Leaders
2. Suggest some personal traits of leaders you have known. Which traits do you believe are
most valuable? Why?
Students’ answers will vary. Some of them may mention personal traits like courage, self-
3. The chapter suggests that optimism is an important trait for a leader, yet some employees
complain that optimistic leaders create significant stress because they don’t anticipate
problems and expect their subordinates to meet unreasonable goals. Do you agree? Why?
Students’ answers will vary. Some of them may disagree. Leaders at all levels need some
4. What is the difference between trait theories and behavioral theories of leadership?
The trait approach, an early effort to understand leadership success, focused on the leader’s
personal traits which are distinguishing personal characteristics such as intelligence,
5. Would you feel most comfortable using a “consideration” or an “initiating structure”
leadership style? Discuss the reasons for your answer.
Students’ answers will vary. It depends on the project. However, some of them would
6. The vertical dyad linkage model suggests that followers respond individually to the leader.
If this is so, what advice would you give leaders about displaying people-oriented versus
