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Advanced Standing Comprehensive Exam Study Guide

Advancement Standing Leadership & Management Comprehensive Exam Study Guide

Advancement Standing Research Comprehensive Exam Study Guide

Summer 2005

Cohort 10 Summer 2005 Page 1 of 108




Leadership and Management

1. Bass, Bernard M. & Avolio, Bruce.................................................................................52. Bennis, Warren ..............................................................................................................63. Blake and Mouton ..........................................................................................................64. Bolman and Deal ............................................................................................................85. Burns, James MacGregor................................................................................................86. Carlye, Thomas...............................................................................................................87. Competing Values Approach..........................................................................................98. Contingency Leadership Theories................................................................................109. Contingency Theory .....................................................................................................1110. Core Competencies.......................................................................................................1311. Critical Success Factors ...............................................................................................1312. Data – read and interpret a correlation table.................................................................1413. Data – read and interpret a descriptive data table.........................................................1614. Data – read and interpret a Post-hoc Pairwise Comparison table.................................1715. Data – read and interpret an ANOVA table..................................................................1816. Deontological Ethical View .........................................................................................2117. Differentiation Strategy from Porter’s Generic Strategies ...........................................2118. Effectiveness and Efficiency ........................................................................................2319. Focus Strategy from Porter’s Generic Strategies .........................................................2320. French and Raven’s Bases of Power.............................................................................2421. Greenleaf, Robert K. ....................................................................................................2522. Groupthink ...................................................................................................................2623. Hersey and Blanchard ..................................................................................................2624. Herzberg........................................................................................................................2825. Hoefsted’s Aspects of Culture .....................................................................................2826. House and Mitchell.......................................................................................................2927. Kirkpatrick and Locke .................................................................................................2928. Kohlberg’s Levels of Moral Development...................................................................3029. Kotter, John P................................................................................................................3130. Leader-Member Exchange Theory ..............................................................................3231. Leadership Grid............................................................................................................3432. Locus of Control...........................................................................................................3433. Low Cost Leadership Strategy from Porter’s Generic Strategies ................................3534. Porter’s Five Forces .....................................................................................................3535. Maslow..........................................................................................................................3736. Douglas McGregor........................................................................................................3837. Mintzberg’s Organizational Forms...............................................................................3938. Organizational Growth and Decline Stages .................................................................4439. Path-Goal Theory..........................................................................................................4540. Scheins levels of Organizational Culture .....................................................................4741. Schein’s Methods for Shaping Organizational Culture ...............................................4842. Servant-Leader Paradigm .............................................................................................4943. Situational Leadership Theories ..................................................................................4944. Structural Dimensions of Organizations ......................................................................5145. Teleological/Utilitarian Ethical View ..........................................................................5146. The Big Five Personality Types ...................................................................................5247. The Ohio State Studies .................................................................................................5248. The University of Michigan Studies ............................................................................5249. Trait Approach..............................................................................................................53


Table of Contents


50. Transactional Leadership Factors.................................................................................5451. Transformational Leadership Factors...........................................................................5552. Transformational Leadership Theory ..........................................................................5553. Value Chain..................................................................................................................5754. Supplemental Information for Leadership & Management Comprehensive Exams....58

Research

55. Aims of Sampling.........................................................................................................7056. Aims of the Social Sciences - description, explanation, prediction, control ...............7257. Archival Records .........................................................................................................7358. Census versus a Sample ...............................................................................................7359. Conceptual versus Operational definitions ..................................................................7460. Conditions for Causation .............................................................................................7561. Content Analysis ..........................................................................................................7562. Correlational Designs....................................................................................................7663. Descriptive Statistics.....................................................................................................7764. Epistemology: Rational and Empirical ........................................................................7765. Erosion Measures versus Accretion Measures ............................................................7866. Experimental Designs ..................................................................................................7867. Focus Group .................................................................................................................7968. Hypothesis Testing .......................................................................................................8069. Informed Consent .........................................................................................................8170. Internal Validity and External Validity ........................................................................8271. Levels of Measurement.................................................................................................8472. Mail Survey ..................................................................................................................8573. Measures of Association such as Tau, Correlation, Gamma .......................................8574. Measures of central tendency .......................................................................................8875. Measures of Variability ................................................................................................8976. Multicultural concerns in Research Design..................................................................9077. Non-Experimental Designs ..........................................................................................9078. Purposes of Pre-testing ................................................................................................9279. Qualitative versus Quantitative Schools of Thought ...................................................9280. Reliability and Validity ................................................................................................9381. Survey Analysis ...........................................................................................................9482. Systems of Classification and Taxonomies .................................................................9683. Telephone Survey ........................................................................................................9784. Triangulation ................................................................................................................9785. Type I Error ..................................................................................................................9786. Type II Error ................................................................................................................9887. Use of graphs to include histograms, bar charts, and pie charts ..................................9888. Supplemental Information for Comprehensive Exams.................................................99



1. Bass, Bernard M. & Avolio, Bruce

(Northouse – p. 173-179)A model of Transformational Leadership:Bass (1985) argues that transformational leadership motivates followers to do more than expected by doing the following: (a) raising followers’ level of consciousness about the importance and value to specified and idealized goals.(b) getting followers to transcend their own self-interest for the sake of the team or organization, and (c) moving followers to address higher-level needs.

Transformational Leadership Factors:Transformational leadership is concerned with the performance of followers and also of developing followers to their fullest potential (Avolio, 1999; Bass & Avolio, 1990a).

Transformational LeadershipIdealized Influence:Factor 1 is called charisma or idealized influence. It describes leaders who act as strong role models for followers. Inspirational Motivation:Factor 2 is labeled Inspiration or inspirational motivation. This factor is descriptive of leaders who communicate high expectations to followers inspiring them through motivation to become committed to and a part of the shared vision in the organization. Intellectual Stimulation:Factor 3 refers to intellectual stimulation. It includes leadership that stimulates followers to be creative and innovative, and to challenge their own beliefs and values as well as those of the leader and the organization.Individualized Consideration:Factor 4 of the transformational factors is called individualized consideration. This factor is representative of leaders who provide a supportive climate in which they listen carefully to the individual needs of followers.

Transactional LeadershipContingent Reward:Factor 5, labeled contingent reward, is the first of two transactional leadership factors. It refers to an exchange process between leaders and followers in which effort by followers is exchanged for specified rewards. Management-by-Exception:Factor 6 is labeled in the model as management-by-exception and refers to leadership that involves corrective criticism, negative feedback, and negative reinforcement. Management-by-exception takes two forms: active and passive. A leader using the active form of management watches followers closely for mistakes or rule violations and then takes corrective action. A leader using a passive form intervenes only after standards have not been met or problems have arisen.

Laissez-Faire LeadershipLaissez-Faire:Factor 7 describes leadership that falls at the far right side of the transactional-transformational leadership continuum. This factor represents the absence of leadership. As the French phrase implies, the laissez-faire leader takes a “hands-off—let things ride” approach. This leader abdicates responsibility, delays decisions, gives no feedback, and takes little effort to help followers satisfy their needs.



(Northouse – p. 188)Bass and Avolio (1990a) suggested that transformational leadership can be taught to individuals at all levels within an organization and that it can positively affect a firm’s performance. It can be used in recruitment, selection and promotion, and training and development. It can also be used in improving team development, decision-making groups, quality initiatives, and reorganizations.

(Northouse – p. 194)The most widely used measure of transformational leadership is the MLQ (Bass & Avolio, 1993). The MLQ is made up of questions that measure follower’s perceptions of a leader’s behavior for each of the seven factors in the transformational and transactional leadership model, and it also has items that measure extra effort, effectiveness and satisfaction.

2. Bennis, Warren (Northouse – p. 9)

There have been many scholars, in addition to Kotter, who have argued that leadership and management are distinct constructs. Bennis and Nanus (1985), for example, maintained that there is a significant difference between the two. To manage means to accomplish activities and master routines, while to lead means to influence others and create visions for change. Bennis and Nanus make the distinction very clear in their frequently quoted phrase “Managers are people who do things right and leaders are people who do the right thing”.

(Northouse – p. 180-181)Bennis and Nanus (1985) identified four common strategies used by leaders in transforming organizations:

First: Transforming leaders had a clear vision of the future state of their organization. It was an image of an attractive, realistic, and believable future. The vision was usually simple, understandable, beneficial, and energy creating.

Second: Transforming leaders were social architects for their organizations. This means they created a shape or form for the shared meanings individuals maintained within their organizations. These leaders communicated a direction that transformed their organization’s values and norms. In many cases, the leaders were able to mobilize people to accept a new group identity or a new philosophy for their organizations.

Third: Transforming leaders created trust in their organizations by making their own positions clearly known and then standing by them. Trust has to do with being predictable or reliable, even in situations that are uncertain. For organizations, leaders built trust by articulating a direction and then consistently implementing the direction even though the vision may have involved a high degree of uncertainty. Bennis and Nanus (1985) found that when leaders established trust in an organization it gave the organization a sense of integrity analogous to a healthy identity.

Fourth: Transforming leaders use creative deployment of self through positive self-regard. Leaders knew their strengths and weaknesses, and they emphasized their strengths rather than dwelling on their weaknesses. Based on an awareness of their own competence, effective leaders were able to immerse themselves in their tasks and the overarching goals of their organizations. They were able to fuse a sense of self with the work at hand. Bennis and Nanus also found that positive self-regard in leaders had a reciprocal impact on followers, creating in them feelings of confidence and high expectations. In addition, leaders in the study were committed to learning and relearning, so in their organizations there was consistent emphasis on education.

3. Blake and Mouton (Northouse, p. 68-72)

Perhaps the most well known model of managerial behavior is the managerial grid, which first appeared in the early 1960s, and since that time has been refined and revised several times (Blake & McCanse, 1991; Blake & Moutan, 1964, 1978, 1985). It is a model that has been used extensively in



organizational training and development. The Managerial Grid which has been renamed the Leadership Grid, was designed to explain how leaders help organizations to reach their purposes through two factors: concern for production and concern for people. Concern for production refers to how a leader is concerned with achieving organizational tasks.Concern for people refers to how a leader attends to the people within the organization who are trying to achieve its goals. The Leadership Grid portrays five major leadership styles: authority compliance (9,1), country club management (1,9), impoverished management (1,1), middle-of-the-road management (5,5), and team management (9,9).Authority-Compliance (9,1)This style is results driven; the people are regarded as tools to that end. The 9,1 leader is often seen as controlling, demanding, hard-driving, and overpowering. Country Club Management (1,9)This style represents a low concern for task accomplishment coupled with a high concern for interpersonal relationships. Impoverished Management (1,1)This style is representative of a leader who is unconcerned with both the task and interpersonal relationships. This type of leader goes through the motions of being a leader, but acts uninvolved and withdrawn. Middle-of-the-road Management (5,5)This style describes leaders who are compromisers, who have an immediate concern for the task and an intermediate concern for the people who do the task. The 5,5 leader avoids conflict and emphasized moderate levels of production and interpersonal relationships. Team Management (9,9)This style places a strong emphasis and both task and interpersonal relationships. It promotes a high degree of participation and teamwork in the organization, and satisfies a basic need in employees to be involved and committed to their work. Paternalism/MaternalismPaternalism/Maternalism refers to a leader who uses both 1,9 and 9,1 styles but does not integrate the two. This “benevolent dictator” acts gracious but does so for the purposes of goal accomplishment. OpportunismOpportunism refers to the leader who uses any combination of the basic five styles for the purpose of personal advancement.



4. Bolman and Deal (Dr. Green’s handout)

Reframing OrganizationsAll profit and non-profit organizations are based on four frames of reference.

1. The structural frame emphasizes roles, formal relationships and the systems and communications that support them. Often, the typical organizational chart tries to tell you what it is supposed to look like.

2. The human resource frame, based on modern psychology, sees the organization as an extended family of interdependent relationships, individuals with needs, feelings, prejudices, skills, and limitations.

3. Every organization has a political frame (environment). Organizations are arenas or contest of jungles with different interests who compete for power and scarce resources. Conflict is always there because individuals in the organization bring needs, perspectives, lifestyles, opinions, and attitudes to the arena and play them out.

4. The symbolic frame is stronger as the organization gets older. Every organization has its stories, artifacts, rules, polices, rituals and ceremonies. Visionary leaders often keep telling people these stories and reminding them what is unique about their organization.

5. The spiritual frame sets Christian non-profit organizations apart from other organizations. What do the leaders perceive is the spiritual tone and health of the organization? How would various groups of followers or interest groups in the organization perceive the same question?

PROBLEM: Rather than seeing the whole, and being committed to seeing the whole on principle, leaders and managers get convinced about a path, a method, or a solution and they head down one of the frames.CHALLENGE: All organizations are complex, surprising, deceptive, and ambiguous. As soon as a leader announces he has the solution and he is going after it, this could be his/her downfall. It is better to consider the whole and all of the frames that may be involved in the situation.

5. Burns, James MacGregor (Northouse p. 170)

Burns (1978) distinguished between two types of leadership: transactional and transformational. Transactional leadership refers to the bulk of leadership models, which focus on the exchanges that occur between leaders and their followers. Transformational leadership refers to the process whereby an individual engages with others and creates a connection that raises the level of motivation and morality in both the leader and the follower. This type of leader is attentive to the needs and motives of followers and tries to help followers reach their fullest potential. Burns (1978) suggested that transformational leadership involves attempts by leaders to move individuals to higher standards of moral responsibility. It includes motivating followers to transcend their own self-interests for the good of the team, organization, or community.

6. Carlye, Thomas (internet Research)

An approach to history associated with the nineteenth-century Scottish historian Thomas Carlyle, who declared, “The history of the world is but the biography of great men.” Carlyle argued that heroes shape history through the vision of their intellect, the beauty of their art, the prowess of their leadership, and, most important, their divine inspiration.

The Great man theory is a theory held by some that aims to explain history by the impact of "Great men", ie: highly influential individuals, either from personal charisma, genius intellects, or great political impact.



7. Competing Values Approach (Dr. Green’s notes)

History and OrientationThe Competing Values Framework emerged from a series of empirical studies on the notion of organizational effectiveness (Quinn & Rohrbaugh, 1983). These efforts were an attempt to make sense of effectiveness criteria. Quinn and Rohrbaugh (1983) discovered two dimensions of effectiveness.

The first dimension is related to organizational focus, from an internal emphasis on people in the organization to an external focus of the organization itself.

The second dimension represents the contrast between stability and control and flexibility and change.

The Competing Values Framework received its name because the criteria within the four models seem at first to carry conflicting messages. We want our organizations to be adaptable and flexible, but we also want them to be stable and controlled.Core Assumptions and StatementsThe framework has four quadrants. 1) Internal Process Model: based on hierarchy, emphasis on measurement, documentation and information management. These processes bring stability and control. Hierarchies seem to function best when the task to be done is well understood and when time is not an important factor. 2) Open Systems Model: based on an organic system, emphasis on adaptability, readiness, growth, resource acquisition and external support. These processes bring innovation and creativity. People are not controlled but inspired. 3) Rational Goal Model: based on profit, with emphasis on rational action. It assumes that planning and goal setting results in productivity and efficiency. Tasks are clarified; objectives are set and action is taken.4) Human Relations Model: based on cohesion and morale with emphasis on human resource and training. People are seen not as isolated individuals, but as cooperating members of a common social system with a common stake in what happens. While the models seem to be four entirely different perspectives or domains, they can be viewed as closely related and interwoven. They are four sub-domains of a larger construct: organizational and managerial effectiveness. The four models in the framework represent the unseen values over which people, programs, policies, and organizations live and die.

Conceptual Model Flexibility Human relations model Open system model Means: cohesion, morale Means: flexibility, readiness Ends: human resource development Ends: growth, resource acquisition Internal ExternalInternal process model Rational goal model Means: information management, Means: planning, goal setting communication

Ends: Stability, control Ends: productivity, efficiencyControlSource: Quinn (1988). Scope and ApplicationThe competing value framework can be used in organizational context. It can be used as a strategic tool to develop supervision and management programs. It can also be used to help organizations diagnose their existing and desired cultures. Furthermore, it can be seen as a tool to examine organizational gaps. Another function might be to use it as a teaching tool for practicing managers or to help interpret and understand various organizational functions and processes. Another application is to help organizational members better understand the similarities and differences of managerial leadership roles. Example



A study on Ohio State University was conducted to analyze the dominant culture. Here the dominant culture, current and preferred were described and the strength of the culture. Furthermore, the cultural findings were reported by groups of individuals. The result of this study showed that almost two thirds of the colleges and universities nation wide have a Human Relations Model type.

8. Contingency Leadership Theories (Yukl, p. 17, 208-213, 231)

A contingency theory describes some aspect of leadership to apply to some situations but not to others. Contingency theories can also be descriptive or prescriptive. A descriptive contingency theory may explain how leader behavior typically varies from one situation to another, whereas a prescriptive contingency theory may specify the most effective behavior in each type of situation.

Comparison of Contingency TheoriesContingency Theory

Leader Traits Leader Behavior

Situational Variables

Intervening Variables

Validation Results

LPC Contingency Model

LPC None Task Structure L-M relations

None Many studies, some support

Path-Goal Theory

None Instrumental, supportive, participative, achievement

Many aspects Expectancies, valences, role ambiguity

Many studies, some support

Leadership Substitutes Theory

None Instrumental, supportive

Many aspects None Few studies, inconclusive

Multiple-Linkage Model

None Many aspects Many aspects Effort, ability, organization, teamwork, resources, external coordination

Few studies, inconclusive

Cognitive Resources Theory

Intelligence, experience

Directive Stress, group support

None Few studies, some support

Normative Decision

None Decision procedures

Many aspects Decision quality and acceptance

Many studies, moderately strong support

LPC Contingency Model (Fiedler, 1964, 1967)LPC contingency model describes how the situation moderates the relationship between leadership effectiveness and a trait measure called the “least preferred coworker (LPC) score.”The LPC score is determined by asking a leader to think of all present and past coworkers, select the one with whom the leader could work least well, and rate this person on a set of bipolar adjective scales. A leader who is generally critical in rating the least preferred coworker will obtain a low LPC score, whereas a leader who is generally lenient will obtain a high LPC score. A high LPC leader is primarily motivated to have close, interpersonal relationships with other people including subordinates.A low LPC leader is primarily motivated by achievement of task objectives and will emphasize task-oriented behavior whenever there are task problems.

Situational Variables (House, 1971)The relationships between leader LPC score and effectiveness depends on a complex situational variable called “situational favorability.” Three aspects of the situation are considered:



1. Leader-Member relations: The extent to which the leader has the support and loyalty of subordinates, and relations with subordinates are friendly and cooperative.

2. Position Power: The extent to which the leader has authority to evaluate subordinate performance and administer rewards and punishment.

3. Task Structure: The extent to which there are standard operating procedures to accomplish the task, a detailed description of the finished product, and objective indicators of how well the task is being performed.

Path-Goal Theory of LeadershipThe path-goal theory of leadership was developed to explain how the behavior of a leader influences the satisfaction and performance of subordinates (House 1971).The initial version of the theory contained only two broadly defined leader behaviors: supportive leadership (similar to consideration) and directive leadership (similar to initiating structure). Two other leader behaviors were added in the later version by House and Mitchell (1974). The four behaviors are defined as follows:

1. Supportive leadership: Giving consideration to the needs of subordinates, displaying concern for their welfare, and creating a friendly climate in the work unit.

2. Directive leadership: letting subordinates know what they are expected to do, giving specific guidance, asking subordinates to follow rules and procedures, scheduling and coordinating the work.

3. Participative leadership: consulting with subordinates and taking their opinions and suggestions into account.

4. Achievement-Oriented leadership: setting challenging goals, seeking performance improvements, emphasizing excellence in performance, and showing confidence that subordinates will attain high standards.

9. Contingency Theory (Northouse, p. 109)

Description:Contingency theory is a leader-match theory (Fiedler & Chemers, 1974), which means it tries to match leaders to appropriate situations. It is called contingency because it suggests that a leader’s effectiveness depends on how well the leaders’ style fits the context. To understand the performance of leaders, it is essential to understand the situations in which they lead. Effective leadership is contingent on matching a leader’s style to the right setting. Contingency theory is concerned with styles and situations. It provides the framework for effectively matching the leader and the situation.

Leadership Styles:Within the framework of contingency theory, leadership styles are described as follows:

Task motivated: Task-motivated leaders are concerned with reaching a goal. Relationship motivated: Relationship-motivated leaders are concerned with developing close

interpersonal relations. To measure leader styles, Fiedler developed the Least Preferred Coworker (LPC) scale. Leaders who score high on this scale are described as relationship motivated, and those who score low on the scale are identified as task motivated.

Situational Variables:Contingency theory suggests that situations can be characterized by assessing three factors:

Leader-member relations: Leader-member relations refer to the group atmosphere and to the degree of confidence, loyalty, and attraction that followers feel for their leaders.

Task structure: Task structure refers to the degree to which the requirements of a task are clear and spelled out.

Position power: Position power refers to the amount of authority a leader has to reward or to punish followers.



Together, these three situational factors determine the favorableness of various situations in organizations. Based on research findings, contingency theory posits that certain styles will be effective in certain situations.

How the approach works:By measuring a leaders’ LPC score and the three situational variables, one can predict whether or not a leader is going to be effective in a particular setting. Once the nature of the situation is determined, the fit between the leader’s style and the situation can be evaluated. It is important to point out that contingency theory stresses that leaders will not be effective in all situations. If your style is a good match for the situation in which you work, you will be good at the job; if your style does not match the situation, you will most likely fail.

Strengths:1. First, it is a theory that is supported by a great deal of empirical research. Many researchers

have tested it and have found it to be a valid and reliable approach to explaining how effective leadership can be achieved. Contingency theory is grounded in research.

2. Second, the theory has broadened our understanding of leadership by forcing us to consider the impact of situations on leaders. In essence, the theory shifted the emphasis to leadership contexts, particularly the link between the leader and situations.

3. Third, the theory is predictive and therefore provides useful information regarding the type of leadership that will most likely be effective in certain contexts.

4. Fourth, this theory is advantageous because it does not require that people be effective in all situations. It argues that leaders should not expect to be able to lead in every situation.

5. Fifth, the theory provides data on leader’s styles that could be useful to organizations in developing leadership profiles.

Criticisms:1. First, contingency theory has been criticized because it fails to explain fully why individuals

with certain leadership styles are more effective in some situations than in others.2. A second major criticism of the theory concerns the LPC scale. The LPC scale has been

questioned because it does not seem valid on the surface, it does not correlate well with other standard leadership measures, and it is not easy to complete correctly.

3. Another criticism is that it is cumbersome to use in real-world settings. It is cumbersome because it requires assessing the leader’s style as well as three relatively complex situational variables, each of which requires a different instrument.

4. A final criticism of the theory is that it fails to explain adequately what organizations should do when there is mismatch between the leader and the situation in the workplace.

Leadership Instrument:The LPC scale is used in contingency theory to measure a person’s leadership style. For example, it measures your style by having you describe a coworker with whom you had difficulty completing a job.

Low LPCs are task motivated. They are individuals whose primary needs are to accomplish tasks and whose secondary needs are focused on getting along with people.

Middle LPCs are socio-independent leaders. They are self-directed and not overly concerned with the task or with how others view them.

High LPCs are motivated by relationships. They derive their major satisfaction in an organization from interpersonal relationships.



10. Core Competencies (Yukl, p. 288, 363)

A successful vision must be credible as well as appealing. People will be skeptical about a vision that promises too much and seems impossible to attain. Leaders face a difficult task in creating a vision that is both challenging and believable. Lofty visions often require innovative strategies. One basis is the belief of people in their ability to find answers. A vision that entails new and difficult types of activities is more credible if the core competencies of the organization are relevant for these activities.

A core competency is the knowledge and capability to carry out a particular type of activity. Unlike tangible resources, which are depleted when used, core competencies are increased as

they are used. A core competency usually involves a combination of technical expertise and application

skills. Core competencies provide a potential source for continuing competitive advantage if they

are used to provide innovative, high-quality products and services that cannot easily be copied or duplicated by competitors.

Core competencies can be the key to the future success of an organization that is already prosperous; they help it remain competitive in its current businesses and enable it to diversify into new business.

Identification of core competencies is even more important for the revitalization of an organization with declining performance.

11. Critical Success Factors (Dr. Green’s midterm exam)

Critical Success Factors (CSF) are a set of factors that are essential to the organization for gaining and maintaining a competitive advantage. CSFs are derived directly from:

The External Environmental Assessment data that is produced during Situational Analysis. The application of that data to the Opportunity—Threat analysis.

Relevant CSFs must be unique to the organization and by doing so, they are essential to gaining a competitive advantage.



12. Data – read and interpret a correlation tableData – read and interpret a correlation table:

a) Describe what we know about follower’s beliefs about their leaders as a result of this chart.

(I am only looking at p<=.05) The older the followers are, the more structure followers believe the boss uses. The higher in the organization the followers are, the less structure the followers believe the boss uses. The higher the salary of followers, the more structure the followers believe the boss uses. The older the followers are, the less consideration the followers believe the boss uses. The higher in the organization the followers are, the more consideration the followers believe the boss uses. The more tenure followers have in the organization, the less consideration the followers believe the boss

uses. The higher the salary of followers, the more consideration the followers believe the boss uses.

b) What do the correlations concerning age & tenure; level & tenure; and tenure and salary tell us about the leadership of the organization.

Age & tenure:“The older the follower is, the less time the follower has been in the organization”

Level & tenure:“The higher in the hierarchy (or level) the follower is, the less time the follower has been in the organization”

Tenure & salary:“The more time the follower has been in the organization (more tenure), the less their salary is”

What this tells us is that the organization is hiring from outside and not internally, and that they are hiring individuals for upper level positions and offering higher salaries to new employees than for those with more tenure in the organization.

c) What does the following chart tell us about the consideration rating of the leaders



The predictors: salary, level, age, and tenure have been used to determine the consideration rating of the leaders. The R Square Change tells us that:

47% of the influence on consideration is a result of salary11% of the influence on consideration is a result of level in the organization.8% of the influence on consideration is a result of age of the follower.3% of the influence on consideration is a result of tenure in the organization.

The above percentages are contributors that tell us what influences the follower’s rating of their leaders in the use of consideration.

**Additional example of correlational table:

13. Data – read and interpret a descriptive data table



Managerial Data Sample Questions

1. A survey was given to all employees measuring the degree to which the employees support a strategic proposal. Response options ranged from 1 (Definitely Not) to 10 (Definitely)

2. How many employees completed the survey? 3. Describe which group(s) are against the proposal? Describe which group(s) support the proposal? What level

of confidence to you have in these differences? 4. What does management know about how age and salary are related to support? 5. Describe two stakeholder groups who are against management’s proposal.

Additional Notes:

Correlation coefficient for short is a measure of the degree of linear relationship between two variables.

In correlation, the emphasis is on the degree to which a linear model may describe the relationship between two variables.

In correlation, the interest is non-directional; the relationship is the critical aspect. The correlation coefficient may take on any value between plus and minus one.

The sign of the correlation coefficient (+ , -) defines the direction of the relationship, either positive or negative. A positive correlation coefficient means that as the value of one variable increases, the value of the other variable increases; as one decreases the other decreases. A negative correlation coefficient indicates that as one variable increases, the other decreases, and vice-versa.

Taking the absolute value of the correlation coefficient measures the strength of the relationship. A correlation coefficient of r=.50 indicates a stronger degree of linear relationship than one of r=.40. Likewise a correlation coefficient of r=-.50 shows a greater degree of relationship than one of r=.40. Thus a correlation coefficient of zero (r=0.0) indicates the absence of a linear relationship and correlation coefficients of r=+1.0 and r=-1.0 indicate a perfect linear relationship.

Correlation coefficient may be understood by various means: Scattered Plot, Slope of the Regression Line of z-scores,

Variance Interpretation: The squared correlation coefficient (r2) is the proportion of variance in Y that can be accounted for by knowing X.



14. Data – read and interpret a Post-hoc Pairwise Comparison tablePost Hoc Tests

Homogeneous Subsets

Post-hoc: In or of the form of an argument in which one event is asserted to be the cause of a later event simply by virtue of having happened earlier: coming to conclusions post hoc; post hoc reasoning.



15. Data – read and interpret an ANOVA table

H04: There is no difference In the Leader’s Use of Consideration As A Result Of The Follower’s Level

In The Organization

Table 8 provides the results of a one-way ANOVA conducted for the independent variable of level in the

organization and the dependent variable of use of consideration.

Because there were differences in the ratings of the leader’s use of consideration at p<=0.05, a Scheffe

Post Hoc test of significance was run.

Table 8

Analysis of Variance for Level In The Organization and Use of ConsiderationSum of Squares df Mean Square F Sig.

Between Groups 67.682 3 22.561 11.974 .000Within Groups 114.933 61 1.884Total 182.615 64

Table 9

Descriptive Statistics for Level and Use of Consideration

N Mean Std. Deviation Std. ErrorWage Grade 15 2.87 .743 .192Supervisor 30 3.73 1.799 .328Knowledge Worker 15 5.33 .900 .232Executive 5 6.00 .707 .316Total 65 4.08 1.689 .210

Table 10 provides the significance pair-wise comparisons found. Executives (M=6.00) and knowledge

workers (M=5.33) rated their leaders higher on the use of consideration than did wage grade (M=2.87)

employees.

Table 10

Scheffe Post Hoc Results for Level In The Organization and Use of Consideration

(I) Level (J) Level

Mean Difference

(I-J) Std. Error Sig.Knowledge Worker Wage Grade 2.47 .501 .000Executive Wage Grade 3.13 .709 .001



HO1: There Is No Difference In The Leader’s Use Of Structure As A Result Of The Follower’s Sex.

Table 2 provides the results of a one-way ANOVA conducted for the independent variable of sex and the

dependent variable of use of structure.

Males (M=2.78) rated their leaders significantly lower in use of structure than females (M=4.42),

F (1, 63) = 16.183, p = 0.00. As a result HO1 was rejected.

Table 2

Analysis of Variance for Sex and Use of Structure

Table 3

Descriptive Statistics for Sex and Use of Structure

N Mean Std. Deviation Std. ErrorMale 27 2.78 1.625 .313Female 38 4.42 1.621 .263Total 65 3.74 1.805 .224


Sum of Squares df Mean Square F Sig.

Between Groups 42.624 1 42.624 16.183 .000Within Groups 165.930 63 2.634Total 208.554 64


**Aditionnal Examples

HO5: There Is No Relationship Between The Leader’s Use Of Structure And The Age Of The

Respondent.

Table 11 provides the results of a Pearson Correlation Coefficient for age and the leader’s use of structure.

The results (r =.358) were significant at p<=.05. As a result of these differences, HO5 was rejected. Figure 4

provides a visual representation of this relationship.

Table 11

Pearson Correlation Coefficient for Age and The Leader’s Use of StructurePearson Correlation .358Sig. (2-tailed) .003N 65

Figure 4. Scatter Plot for Age and The Leader’s Use Of Structure



16. Deontological Ethical View (Northouse, p. 305, internet research)

The deontological perspective focuses on the actions of the leader and his or her moral obligations and responsibilities to do the right things. A leader’s actions are moral if the leader has a moral right to do them, if the actions do not infringe on other’s rights, and if the actions further the moral rights of others.

One of the most prominent deontological ethical theorists of modern times was the German philosopher Immanuel Kant (1724- 1804). Kant's moral theory has had a tremendous influence on ethical thought, and the broad framework of his approach to ethics is still widely used today as a guide to ethical discussion. Kant argued that the moral status of an action is not determined by its consequences. We are not morally obligated to seek the best overall outcome by our actions, but rather we are obligated to perform those actions that accord with our moral duty--the fundamental demand that we should treat others, and ourselves, in a manner that is consistent with human dignity and worth. Thus if, for example, lying to another person might lead to a better outcome overall than telling the truth, we would still be obligated not to lie because the act of lying does not respect the humanity of the person to whom we tell the lie.

17. Differentiation Strategy from Porter’s Generic Strategies (Dr, Green’s notes, internet research)

Differentiation involves creating a product that is perceived as unique. The unique features or benefits should provide superior value for the customer if this strategy is to be successful. Because customers see the product as unrivaled and unequaled, the price elasticity of demand tends to be reduced and customers tend to be more brand loyal. This can provide considerable insulation from competition. However there are usually additional costs associated with the differentiating product features and this could require a premium pricing strategy.

To maintain this strategy the firm should have:

strong research and development skills strong product engineering skills strong creativity skills good cooperation with distribution channels strong marketing skills incentives based largely on subjective measures be able to communicate the importance of the differentiating product characteristics stress continuous improvement and innovation attract highly skilled, creative people



Porter’s Generic Strategies

Generic Strategy Commonly Required Skills and Resources

Common Organizational Requirements

Risks

Overall Cost Leadership

Sustained capital investment and access to capital Process engineering skills Intense supervision and labor Products designed for ease of manufacturing Low-cost distribution system

Tight cost control Frequent detailed control reports Structured organization and responsibilities Incentives based on meeting strict quantitative targets

Technological change nullifies past investments of learning Low cost learning by industry newcomers or followers Inability to see required product or marketing change because of attention placed on cost Inflation in costs that narrow a firm’s ability to maintain enough of a price differential to offset competitor’s differentiation advantages

Differentiation Strong marketing abilities Product engineering Creative flair Strong capability in basic research Corporate reputation for quality or technological leadership Long tradition in the industry or unique combination of skills drawn from other businesses Strong cooperation from channels

Strong coordination among functions in R&D, product development and marketing Subjective measurement and incentives versus quantitative Amenities to attract highly skilled labor, scientists or creative people

Cost differential becomes too great to hold brand loyalty Buyer’s need for differentiating factor(s) change Imitation narrows perceived differentiation as industries mature

Focus Differentiation capabilities but directed at a particular strategic market

Differentiation capabilities but directed at a particular strategic market

Cost differentials widen and offset differentiation achieved by focus Differences between desired products or services narrows Competitors find sub-markets within the focus


18. Effectiveness and Efficiency (Daft p. 22, 66)

Efficiency refers to the amount of resources used to achieve the organization’s goals. Efficiency is a more limited concept that pertains to the internal workings of the organization. Sometimes efficiency leads to effectiveness. Effectiveness is a broader term, meaning the degree to which an organization achieves its goals. Effectiveness is a broad concept. It implicitly takes into consideration a range of variables at both the organizational and departmental levels. Effectiveness evaluates the extent to which multiple goals-whether official or operative-are attained.

Contingency approaches to measure effectiveness focus on different parts of the organization: The goal approach to organizational effectiveness is concerned with the output side and whether the

organization achieves its goals in terms of desired levels of output. The resource-based approach assesses effectiveness by observing the beginning of the process and

evaluating whether the organization effectively obtains resources necessary for high performance. The internal process approach looks at internal activities and assesses effectiveness by indicators of

internal health and efficiency.

An Integrated Effectiveness Model

The three approaches-- goal, resource, and internal process --to organizational effectiveness have something to offer, but each one tells one part of the story. The competing values model (Quin & Rohrbaugh) tries to balance a concern with various parts of the organization rather than focusing on one part. The model is based on assumptions that there is a disagreement and competing viewpoints about what constitutes effectiveness.

Four approaches to effectiveness values:

Open system: manager’s values are growth and resource acquisitions; the organization accomplishes these goals through the sub-goals of flexibility, readiness and a positive external evaluation

Rational goal emphasis: managers value structural control and external focus. The primary goals are productivity, efficiency, and profit.

Internal process emphasis: reflects values of internal focus and structural control; the organization is well established and wants to keep their current position. Sub-goals are mechanisms for efficient communication, information management, and decision-making.

Human relations emphasis: incorporates the values of an internal focus and a flexible structure. Focus is on development of human resources.

19. Focus Strategy from Porter’s Generic Strategies (Dr, Green’s notes, internet research)**See Table for topic 17. Differentiation Strategy

In this strategy the firm concentrates on a select few target markets. It is also called a market segmentation strategy or niche strategy. It is hoped that by focusing your marketing efforts on one or two narrow market segments and tailoring your marketing mix to these specialized markets, you can better meet the needs of that target market. The firm typically looks to gain a competitive advantage through effectiveness rather than efficiency.

20. French and Raven’s Bases of PowerFrench and Raven (1959) developed a taxonomy to classify different types of power according to their source. This taxonomy has five different types of power. The French and Raven taxonomy influenced much of the subsequent research on power, but it did not include all of the power sources relevant to managers.

French and Raven’s Power TaxonomyReward Power: The target person complies in order to obtain rewards controlled by the agent. Reward power is the perception by the target person that an agent controls important resources and rewards desired by the target person. It stems from formal authority to allocate resources and rewards. Reward power depends on actual control over resources and rewards as well as on the target person’s perception that the agent has the capacity and willingness to follow through on promises. Reward power involves the ability to give pay increases, bonuses, or other economic incentives to deserving subordinates. It also involves power over tangible benefits such as promotion, a better job, a better work schedule, a larger operating budget, a larger expense account, and status symbols such as larger office or a reserved parking space. Constraints include formal policies or agreements that specify how rewards must be allocated. Guidelines:

1. Offer the type of rewards that people desire.2. Offer rewards that are fair and ethical.3. Don’t promise more that you can deliver.4. Explain the criteria for giving rewards and keep it simple.5. Provide rewards as promised if requirements are met.6. Use rewards symbolically (not manipulative)

Coercive Power: The target person complies in order to avoid punishments controlled by the agent. It is based on authority over punishments. Coercive power is invoked by a threat or warning that the target person will suffer undesirable consequences for noncompliance with a request, rule, or policy. It is best to avoid using coercion unless absolutely necessary, because it is difficult to use and likely to result in undesirable side effects such as anger or resentment and it may also result in retaliation. Guidelines:

1. Explain rules and requirements, and ensure that people understand the serious consequences of violations.

2. Respond to infractions promptly and consistently without showing and favoritism to particular individuals.

3. Investigate to get to the facts before using reprimands or punishments, and avoid jumping to conclusions or making hasty accusations.

4. Except for the most serious infractions, provide sufficient oral and written warnings before resorting to punishment.

5. Administer warnings and reprimands in private, and avoid making rash threats.6. Express a sincere desire to help the person comply with role expectations and thereby avoid

punishment.7. Invite the person to suggest ways to correct the problem, and seek agreement on a concrete plan.8. Maintain credibility by administering punishment if noncompliance continues after threats and

warnings have been made.9. Use punishments that are legitimate, fair, and commensurate with the seriousness of the infraction.

Legitimate Power: The target person complies because he or she believes the agent has the right to make the request and the target person has the obligation to comply. Power stems from formal authority over work activities. The amount of legitimate power is related to one’s scope of authority. Higher-level managers have more authority than lower level managers do and the authority is usually much stronger in relation to subordinates than in relation to peers, superiors, or outsiders. Guidelines:

1. Make polite, clear requests2. Explain the reasons for a request.3. Do not exceed your scope of authority.4. Verify authority if necessary.5. Follow proper channels.

6. Follow up to verify compliance.7. Insist on compliance if appropriate.

Expert Power: The target person complies because he or she believes that the agent has special knowledge about the best way to do something. Task-relevant knowledge and skill are a major source of personal power. Unique knowledge about the best way to perform a task or solve an important problem provides potential influence over subordinates, peers, and superiors. However, expertise is a source of power only if others are dependent on the agent for advice. The target person must recognize this expertise and perceive the leader to be a reliable source of information and advice. Actual expertise is maintained through a continual process of education and practice experience. Guidelines:

1. Explain the reasons for making a request or proposal and why it is important.2. Provide evidence that a proposal will be successful.3. Do not make rash, careless, or inconsistent statements.4. Do not exaggerate or misrepresent the facts.5. Listen seriously to the person’s concerns and suggestions.6. Act confidently and decisively in a crisis.

Referent Power: The target person complies because he or she admires or identifies with the agent and wants to gain the agent’s approval. It is derived from the desire of others to please an agent toward whom they have strong feelings of affection, admiration, and loyalty. Referent power is usually greater for someone who is friendly, attractive, charming, and trustworthy. It is increased by showing concern for the needs and feelings of others, demonstrating trust and respect, and treating people fairly. Referent power ultimately depends on the agent’s character and integrity. Guidelines:

1. Show acceptance and positive regard.2. Act supportive and helpful.3. Use sincere forms of ingratiation.4. Defend and back up people when appropriate.5. Do unsolicited favors.6. Make self-sacrifice to show concern.7. Keep promises.

21. Greenleaf, Robert K. (Yukl, p. 404; Northouse)

In 1970, Robert Greenleaf proposed the concept “servant leadership” and it became the title of a book published in 1977. For Greenleaf, service to followers is the primary responsibility of leaders and the essence of ethical leadership. Service includes nurturing, defending, and empowering followers. A servant leader must attend to the needs of followers and help them become healthier, wiser, and more willing to accept their responsibilities. It is only by understanding followers that the leader can determine how best to serve their needs. Servant leaders must listen to followers, learn about their needs and aspirations, and be willing to share in their pain and frustration.The servant leader must stand for what is good and right, even when it is not in the financial interest of the organization. The servant leader must empower followers instead of using power to dominate them. Trust is established by being completely honest and open, keeping actions consistent with values and showing trust in followers. Greenleaf believed that followers of such leaders are inspired to become servant leaders themselves.Greenleaf proposed that providing meaningful work for employees is as important as providing a quality product or service for the customer. He advocated that business organizations should consider social responsibility as one of the major objectives, and the board of directors should have primary responsibility for evaluating and facilitating progress on this objective.

Greenleaf (1970, 1977) argued that leadership was bestowed on a person who was by nature a servant. In fact, the way an individual emerges as a leader is by first becoming a servant. A servant leader focuses on the needs of followers and helps them to become more knowledgeable, more free, more autonomous, and more like servants themselves. In becoming a servant leader, a leader uses less institutional power and less control, while shifting authority to those who are being led.

22. Groupthink (Dr. Green’s notes)

Groupthink is the tendency to place relational concerns of group unity ahead of task concern for effective performance. Groupthink manifests itself in the tendency of a group to seek unanimous agreement at the expense of careful, thorough, and critical analysis of the information, ideas, proposals, and reasoning upon which a consequential decision rests. Conditions for "Groupthink"

A. Highly cohesive group B. Members enjoy each other's company C. Strong desire/motivation to be part of the group D. Group is characterized by insularity

Symptoms (Indicators) of "Groupthink" A. Illusion of invulnerability -- we are incapable of being wrong B. Rationalization -- the ends justify the means C. Inherent morality -- what we're doing is best for everyone D. Stereotypical thinking -- employ preconceived notions in evaluating information E. Close-mindedness -- ignore information that does not confirm or support the prevailing opinions of

group members F. Mind guards -- group members who take it upon themselves to protect the group from information

that contradicts prevailing opinion G. Pressure on dissenters – aggressive group members "go after" colleagues who disagree with the

general sentiments of the group H. Self-censorship -- group members willingly refrain from voicing opposition to the prevailing

sentiments of the group I. Illusion of unanimity -- the belief that silence is an indication of agreement

23. Hersey and Blanchard (Northouse, p. 87-96)**see 42. Situational Leadership Theories

One of the more widely recognized approaches to leadership is the situational approach, which was developed by Hersey and Blanchard (1969a) based on Reddin’s (1967) 3-D management style theory.

Leadership Styles

S1: High Directive-Low Supportive (directing style)

The leader focuses communication on goal achievement and spends a smaller amount of time using supportive behaviors.

S2: High Directive-High Supportive (coaching)

The leader focuses communication on both goal achievement and maintenance of subordinate’s socio-emotional needs.

S3: High Supportive-Low Directive (supporting)

The leader does not focus exclusively on goals but uses supportive behaviors to bring out the employees skills around the task to be accomplished.

S4: Low Supportive-Low Directive (delegating)

The leader offers less task input and social support, facilitating employee’s confidence and motivation in reference to the task

Development LevelsThis is the second major part of the situational leadership. Development level refers to the degree to which subordinates have the competence and commitment necessary to accomplish a given task or activity.

D1: employees are low in competence and high in commitment. D2: employees are described as having some competence but low commitment. D3: employees who have moderate to high competence but may lack commitment.D4: employees are the highest in development, having both a high degree of competence and a high degree of commitment to getting the job done.

Situational Leadership II

24. Herzberg

Herzberg's Hygiene and Motivational Factors

Herzberg developed a list of factors, which are closely based on Maslow's Hierarchy of Needs, except it’s more closely related to work:

HERZBERG'S HYGIENE & MOTIVATIONAL FACTORS

Hygiene or Dissatisfiers: 1. Working conditions 2. Policies and administrative practices 3. Salary and Benefits 4. Supervision 5. Status 6. Job security 7. Fellow workers 8. Personal life

Motivators or Satisfiers : 1. Recognition 2. Achievement 3. Advancement 4. Growth 5. Responsibility 6. Job challenge

Hygiene factors must be present in the job before motivators can be used to stimulate that person. That is, you cannot use Motivators until all the Hygiene factors are met. Herzberg's needs are specifically job related and reflect some of the distinct things that people want from their work as opposed to Maslow's Hierarchy of Needs which reflect all the needs in a persons life. Building on this model, Herzberg coined the term "job enrichment" to describe the process of redesigning work in order to build in Motivators.

25. Hoefsted’s Aspects of Culture (Yukl, p. 416)

Hofstede’s (1980; 1993) taxonomy has been used most often in the cross-cultural research on leadership. All of the current taxonomies have limitations, and researchers continue to seek a more comprehensive and useful way to describe cultural dimensions.

Cultural Dimensions

Power Distance: the extent to which people accept differences in power and status among themselves. In a high power distance culture, leaders have more authority, they are entitled to special rights and privileges, they are less accessible, and they are not expected to share power with subordinates.

High: Russia, China, Philippines, Mexico, Venezuela, India.

Medium: Netherlands, Italy, Pakistan, Japan, Spain, Greece

Low: Israel, Austria, Denmark, England, New Zealand, United States

Individualism: the extent to which the needs and autonomy of individuals are more important than the collective needs of the work unit or society. In individualistic cultures, people are identified more by their own achievements than by their group memberships or contributions to collective success, and individual rights are more important than social responsibilities.

High: United States, Netherlands, England, Australia, Canada, Belgium

Medium: Russia, Japan, Austria, Israel, Spain, India

Low: China, Indonesia, Thailand, Pakistan, Hong Kong, Venezuela

Uncertainty Avoidance: the extent to which people feel comfortable with ambiguous situations and inability to predict future events. In cultures with high avoidance of uncertainty, there is more fear of the unknown, security and stability are more important, conflict is avoided, plans and forecasts are more valued, and there is more emphasis on formal rules and regulations.

High: Japan, France, Russia, Argentina, Spain, Belgium

Medium: China, Netherlands, Switzerland, Pakistan, Taiwan, Finland

Low: Singapore, Hong Kong, Denmark, England, Sweden, United States

Gender Egalitarianism: the extent to which men and women receive equal treatment, and both masculine and feminine attributes are considered important and desirable. In cultures with high gender egalitarianism, sex roles are not clearly differentiated, jobs are not segregated by gender, and attributes such as compassion, empathy, and intuition are as important as assertiveness, competitiveness, and objective rationality.

High: Denmark, Norway, Finland, Sweden, Netherlands, Chile

Medium: Canada, Indonesia, Israel, France, India, China

Low: Japan, Australia, Italy, Mexico, Venezuela, Switzerland

26. House and Mitchell

Path-goal theory is about how leaders motivate subordinates to accomplish designated goals. Drawing heavily from research on what motivates employees, path goal theory first appeared in the leadership literature in the early 1970s in the works of House and Mitchell (1974). According to House and Mitchell (1974), leadership generates motivation when it increases the number and kinds of payoffs that subordinates receive from their work. Leadership also motivates when it makes the path to the goal clear, easy to travel using coaching and direction, when it removes obstacles and roadblocks to attaining the goal, and when it makes the work itself more personally satisfying. The Path-Goal approach has examined directive, supportive, participative, and achievement-oriented leadership behaviors (House & Mitchell, 1974).

27. Kirkpatrick and Locke (Northouse, p. 17)

Kirkpatrick and Locke (1991) contended that “it is unequivocally clear that leaders are not like other people”. From a qualitative synthesis of earlier research, Kirkpatrick and Locke postulated that leaders differ from nonleaders on six traits: drive, the desire to lead, honesty and integrity, self-confidence, cognitive ability, and knowledge of the business. According to these writers, individuals can be born with these traits; they can learn them, or both. It is these six traits that make up the “right stuff” for leaders. Kirkpatrick and Locke contended that leadership traits make some people different from others, and this difference needs to be recognized as an important part of the leadership process.

28. Kohlberg’s Levels of Moral Development

Kohlberg proposed that moral reasoning, which he thought to be the basis for ethical behavior, develops through stages. From the results of his studies at Harvard's Center for Moral Education, he concluded that there are six identifiable stages of moral development.

Level 1 (Pre-conventional)

The pre-conventional level of moral reasoning is especially common in children, although adults can also exhibit this level of reasoning. Reasoners in the pre-conventional level judge the morality of an action by its direct consequences.

Stage 0 - Egocentric judgment: In this stage, the child makes judgments of good based on what he likes and wants or what helps him, and bad based on what he does not like or what hurts him. He has no concept of rules or of obligations to obey or conform independent of his wish.

Stage 1 - Obedience and punishment orientation: In this stage, individuals focus on the direct consequences that their actions will have for themselves. For example, they think that an action is morally wrong if the person who commits it is punished.

Stage 2 - The instrumental relativist orientation: In this stage, right actions consist of what instrumentally satisfies one’s own needs and occasionally the needs of others. Human relations are viewed in terms such as those of the market place. Stage two reasoning shows a limited interest in the needs of others, but only to a point where it might furthers one's own interests, such as "you scratch my back, and I'll scratch yours." Concern for others is not based on loyalty or intrinsic respect in stage two.

Level 2 (Conventional)

The conventional level of moral reasoning is typical of adults and older children. Persons who reason in a conventional way,judge the morality of actions by comparing these actions to social rules and expectations. At this level, the individual perceives the maintenance of the expectations of his family, group, or nation as valuable in its own right, regardless of immediate and obvious consequences.

Stage 3 - Interpersonal concordance (The good boy/good girl attitude): Good behavior is what pleases or helps others and is approved by them. There is much conformity to stereotypical images of what is majority or “natural” behavior.

Stage 4 - The law and order orientation (Law and order morality): the individual is oriented toward authority, fixed rules, and the maintenance of the social order. Right behavior consists in doing one’s duty, showing respect for authority, and maintaining the given social order for its own sake.

Level 3 (Post-conventional, Autonomous, or Principal level)

Stage 5 - Social contract legalistic orientation: Right action tends to be defined in terms of general individual rights and standards that have been critically examined and agreed upon by the whole society. There is a clear awareness of the relativism of personal values and opinions and a corresponding emphasis upon procedural rules for reaching consensus.

Stage 6 - Universal ethical principle orientation: Right is defined by the decision of conscience in accord with self-chosen ethical principles that appeal to logical comprehensiveness, universality, and consistency. These principles are abstract and ethical (the golden rule, the categorical imperative); they are not concrete moral rules like the Ten Commandments.

29. Kotter, John P.

Kotter (1990) differentiated between management and leadership in terms of their core processes and intended outcomes. Management seeks to produce predictability and order by:

1. setting operational goals, establishing action plans with timetables, and allocating resources;2. organizing and staffing; and 3. monitoring results and solving problems.

Leadership seeks to produce organizational change by:1. developing a vision of the future and strategies for making necessary changes2. communicating and explaining the vision3. motivating and inspiring people to attain the vision.

Management and leadership both involve deciding what needs to be done, creating networks of relationships to do it, and trying to assure it happens.

Kotter’s Change Model

1 Establish a sense of urgency: There are several techniques by which it is possible to establish a sense of urgency early on in the project lifecycle. This will help to overcome most sources of complacency.

2 Create the guiding coalition: Put together a team of people with enough power to lead the change. Get the group to work together as a team.

3 Develop a vision and strategy: Create a clear and concise vision that will help direct the change effort, and develop strategies for achieving that vision.

4 Communicate the change vision: Use every vehicle possible to constantly communicate the new vision and strategies. Ensure that the guiding coalition role models the behavior expected of employees.

5 Empower broad-based action: Get rid of any obstacles which threaten the project. Remove systems or structures that undermine the change vision and encourage risk taking in non-traditional ideas and activities.

6 Generate short term wins: Plan for visible improvements which can be implemented during the course of the project, deliver these 'wins' and publicly recognize / reward those who made them possible.

7 Consolidate gains and produce more change: Use credibility gained from early 'wins' to bring other structures & processes into alignment with the change vision. Get the people who can and will implement these new changes, and re-invigorate the process with new projects and themes.

8 Anchor new approaches in the corporate culture: Create better performance through customer and productivity-oriented behavior, better leadership and more effective management. Articulate the links between the new behavior and organizational success. Develop ways to ensure further leadership development and succession.

Kotter defines leadership as:

Old Paradigm- Industrial Age New Paradigm – Information AgeIndustrial age Information ageStability ChangeControl EmpowermentCompetition CollaborationThings People and ThingsUniformity Diversity

30. Leader-Member Exchange Theory (Dansereau, Graen, & Haga, 1975; Graen & Cashman, 1975; Graen, 1976)

Description:LMX conceptualizes leadership as a process that is centered on the interaction between leaders and followers. LMX theory makes the dyadic relationship between leaders and followers the focal point of the leadership process. Early Studies:In the first studies of exchange theory, which was then called vertical dyad linkage (VDL) theory, researchers focused on the nature of the vertical linkages leaders formed with each of their followers. In assessing the characteristics of these vertical dyads, researchers found two general types of linkages:

The in-group: those that were based on expanded and negotiated role responsibilities (extra roles). The out-group: those that were based on the formal employment contract (defined roles).

Within an organizational work unit, subordinates become a part of the in-group based on how well they work with the leader and how well the leader works with them. Personality and other personal characteristics are related to this process. In addition, becoming part of one group or the other is based on how subordinates involve themselves in expanding their role responsibilities with the leader. Subordinates who are interested in negotiating with the leader what they are willing to do for the group, can become a part of the in-group. Subordinates in the in-group receive more information, influence, confidence, and concern from their leaders than do out-group subordinates. In addition, they are more dependable, more highly involved, and more communicative than out-group subordinates are.Later Studies:After the first set of studies, there was a shift in the focus of LMX theory. A subsequent line of research addressed how LMX theory was related to organizational effectiveness. Researchers found that high quality leader member exchanges produced less employee turnover, more positive performance evaluations, higher frequency of promotions, greater organizational commitment, more desirable work assignments, better job attitudes, more attention and support from the leader, greater participation, and faster career progress over 25 years.

Leadership Making:Leadership making is a prescriptive approach to leadership that emphasizes that a leader should develop high quality exchanges with all of her or his subordinates, rather than just a few. Grean and Uhl-Bien (1991) suggested that leadership making develops progressively over time in three phases:

Stranger phase: During phase 1, the stranger phase, the interactions within the leader-subordinate dyad are generally rule-bound, relying heavily on contractual relationships. Leader and subordinates have lower quality exchanges, similar to those of the out-group. The motives of the subordinate during the stranger phase are directed towards self-interest rather than the good of the group.

Acquaintance phase: Phase 2, the acquaintance phase, begins with an “offer” by the leader or the subordinate for improved career-oriented social exchanges, which involve sharing more resources and personal or work-related information. It is a testing period for both the leader and the subordinate. During this time, dyads shift away from interactions that are strictly governed by job descriptions and defined roles and move towards new ways of relating

Mature partnership phase: Phase 3, mature partnership, is marked by high quality leader-member exchanges. Individuals who have progressed to this stage in their relationships experience a high degree of mutual trust, respect, and obligation toward each other.

. How the approach works:LMX theory works in two ways: It describes leadership, and it prescribes leadership. In both instances, the central concept is the dyadic relationship that a leader forms with each of her or his subordinates. The differences on goals accomplished using in-groups as compared with out-groups are substantial. Working with an in-group allows a leader to accomplish more work in a more effective manner than working without one. Strengths:

1. First, it is a strong descriptive theory. Intuitively, it makes sense to describe work units in terms of those who contribute more and those who contribute less.

2. Second, LMX theory is unique because it is the only leadership approach that makes the concept of the dyadic relationship the centerpiece of the leadership process.

3. Third, LMX theory is noteworthy because it directs our attention to the importance of communication in leadership. The high quality exchanges advocated in LMX theory are inextricably bound to effective communication.

4. Fourth, there is a large body of research that substantiates how the practice of LMX theory is related to positive organizational outcomes.

Criticisms:1. One criticism of the theory is that on the surface it runs counter to the basic human value of fairness.

Because LMX theory divides the work unit into two groups and one group receives special attention, it gives the appearance of discrimination against the out-group.

2. A second criticism of LMX theory is that the basic ideas of the theory are not fully developed. For example, it fails to explain fully the way high-quality leader-member exchanges are created.

3. Third, there have been questions raised regarding the measurement of leader-member exchanges in LMX theory. For example, no empirical studies have used dyadic measures to analyze the LMX process.

4. In addition, leader-member exchanges have been measured with different versions of leader-memberLeadership Instrument:The LMX 7 is a seven-item questionnaire that provides a reliable and valid measure of the quality of leader-member exchanges. It measure three dimensions of leader-member relationships: respect, trust, and obligation.

31. Leadership Grid

Developed by Blake and Mouton in the early 1960’s, it was designed to explain how leaders help organizations to reach their purposes through two factors: concern for production and concern for people.

High

Low

Low Concern for Results/Production High

32. Locus of Control

Originally developed within the framework of Rotter's (1954) social learning theory, the locus of control construct refers to the degree to which an individual believes the occurrence of reinforcements is contingent on his or her own behavior. The factors involved with reinforcement expectancy are:

External locus of control: external locus of control refers to the perception of positive or negative events as being unrelated to one's own behavior in certain situations and thereby beyond personal control.

Internal locus of control: internal locus of control refers to the perception of positive or negative events as being a consequence of one's own actions and thereby under one's own personal control.

As a general principle, the locus of control variable may be thought of as affecting behavior as a function of expectancy and reinforcement within a specific situation (Carlise-Frank, 1991).

1,9Country Club Management: Thoughtful attention to the needs of the people for satisfying relationships leads to comfortable, friendly organization atmosphere & work tempo.

9,9Team Management:Work accomplishment is from committed people; interdependence through a “Common Stake” in organization purpose leads to relationships of trust and respect.

5,5Middle of the Road Management:Adequate organization performance is possible through balancing the necessity to get work out while maintaining morale of people at a satisfactory level.

1,1Impoverished Management:Exertion of minimum effort to get required work done is appropriate to sustain organization membership.

9,1Authority-Compliance Management:Efficiency in operations results from arranging conditions of work in such a way that human elements interfere to a minimum degree.

Con

cern

for

Peop

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33. Low Cost Leadership Strategy from Porter’s Generic Strategies (Dr. Green’s notes)**See Table for topic 17. Differentiation Strategy

This strategy emphasizes efficiency, by producing high volumes of standardized products. The firm hopes to take advantage of economies of scale and experience curve effects. The product is often a basic no-frills product that is produced at a relatively low cost and made available to a very large customer base. Maintaining this strategy requires a continuous search for cost reductions in all aspects of the business. The associated distribution strategy is to obtain the most extensive distribution possible. Promotional strategy often involves trying to make a virtue out of low cost product features.

To be successful, this strategy usually requires a considerable market share advantage or preferential access to raw materials, components, labor, or some other important input. Without one or more of these advantages, the strategy can easily be mimicked by competitors. Successful implementation also benefits from:

process engineering skills products designed for ease of manufacture sustained access to inexpensive capital close supervision of labor tight cost control incentives based on quantitative targets

34. Porter’s Five Forces (http://www.themanager.org)

Porter’s model is based on the insight that a corporate strategy should meet the opportunities and threats in the organization’s external environment.Porter has identified five competitive forces that shape every industry and every market. These forces determine the intensity of competition and hence the profitability and attractiveness of an industry. The objective of corporate strategy should be to modify these competitive forces in a way that improves the position of the organization. Porter’s model supports analysis of the driving forces in an industry. Based on the information derived from the Five Forces Analysis, management can decide how to influence or to exploit particular characteristics of their industry.

Bargaining Power of Suppliers

The term 'suppliers' comprises all sources for inputs that are needed in order to provide goods or services.Supplier bargaining power is likely to be high when: · The market is dominated by a few large suppliers rather than a fragmented source of supply,· There are no substitutes for the particular input,· The supplier’s customers are fragmented, so their bargaining power is low,· The switching costs from one supplier to another are high,· There is the possibility of the supplier integrating forwards in order to obtain higher prices and margins. This

threat is especially high when· The buying industry has a higher profitability than the supplying industry,· Forward integration provides economies of scale for the supplier,· The buying industry hinders the supplying industry in their development (e.g. reluctance to accept new

releases of products),· The buying industry has low barriers to entry.

In such situations, the buying industry often faces a high pressure on margins from their suppliers. The relationship to powerful suppliers can potentially reduce strategic options for the organization.

Bargaining Power of CustomersSimilarly, the bargaining power of customers determines how much customers can impose pressure on margins and volumes.Customers bargaining power is likely to be high when· They buy large volumes, there is a concentration of buyers,· The supplying industry comprises a large number of small operators· The supplying industry operates with high fixed costs,· The product is undifferentiated and can be replaces by substitutes,· Switching to an alternative product is relatively simple and is not related to high costs,· Customers have low margins and are price-sensitive, · Customers could produce the product themselves,· The product is not of strategical importance for the customer,· The customer knows about the production costs of the product· There is the possibility for the customer integrating backwards.

Threat of New EntrantsThe competition in an industry will be the higher, the easier it is for other companies to enter this industry. In such a situation, new entrants could change major determinants of the market environment (e.g. market shares, prices, customer loyalty) at any time. There is always a latent pressure for reaction and adjustment for existing players in this industry. The threat of new entries will depend on the extent to which there are barriers to entry. These are typically· Economies of scale (minimum size requirements for profitable operations),· High initial investments and fixed costs,· Cost advantages of existing players due to experience curve effects of operation with fully depreciated assets,· Brand loyalty of customers· Protected intellectual property like patents, licenses etc,· Scarcity of important resources, e.g. qualified expert staff· Access to raw materials is controlled by existing players,· Distribution channels are controlled by existing players,· Existing players have close customer relations, e.g. from long-term service contracts,· High switching costs for customers· Legislation and government action

Threat of SubstitutesA threat from substitutes exists if there are alternative products with lower prices of better performance parameters for the same purpose. They could potentially attract a significant proportion of market volume and hence reduce the potential sales volume for existing players. This category also relates to complementary products. Similarly to the threat of new entrants, the treat of substitutes is determined by factors like· Brand loyalty of customers,· Close customer relationships,· Switching costs for customers,· The relative price for performance of substitutes,· Current trends.

Competitive Rivalry between Existing PlayersThis force describes the intensity of competition between existing players (companies) in an industry. High competitive pressure results in pressure on prices, margins, and hence, on profitability for every single company in the industry.Competition between existing players is likely to be high when· There are many players of about the same size,· Players have similar strategies· There is not much differentiation between players and their products, hence, there is much price competition· Low market growth rates (growth of a particular company is possible only at the expense of a competitor),· Barriers for exit are high (e.g. expensive and highly specialized equipment).

35. Maslow

Maslow's Hierarchy of Needs

Human needs are an important part of human nature. Values, beliefs, and customs differ from country to country and group to group, but all people have similar needs. As a leader, you must understand these needs because they are powerful motivators. Abraham Maslow felt that the basic human needs were arranged in a hierarchical order. He based his theory on healthy, creative people who used all their talents, potential, and capabilities. At the time, this differed from most psychology research studies, which were based on the observation of disturbed people. There are two major groups of human needs:

Basic needs Basic needs are physiological, such as food, water, and sleep; and psychological, such as affection, security, and self-esteem. These basic needs are also called deficiency needs because,if they are not met by an individual, then that person will strive to make up the deficiency.

Meta needs: The higher needs are called meta needs or growth needs. These include justice, goodness, beauty, order, unity, etc.

Basic needs take priority over these growth needs. People who lack food or water cannot attend to justice or beauty. These needs are listed below in hierarchical order. The needs on the bottom of the list (1 to 4) must be met before the needs above it can be met. The top three needs (5 to 7), can be pursued in any order depending on a person's wants or circumstance, as long as all the other needs (1 to 4) have all been met. Maslow's Hierarchy of Needs

7. Self-actualization: know exactly who you are, where you are going, and what you want to accomplish. A state of well-being. 6. Aesthetic: at peace, more curious about inner workings of all. 5. Cognitive: learning for learning alone, contribute knowledge. 4. Esteem: feeling of moving up in world, recognition, few doubts about self. 3. Belongingness and love: belong to a group, close friends to confine with. 2. Safety: feel free from immediate danger. 1. Physiological: food, water, shelter, sex.

Maslow posited that people want and are forever striving to meet various goals. Because the lower level needs are more immediate and urgent, if they are not satisfied, they come into play as the source and direction of a person's goal.

A need higher in the hierarchy will become a motive of behavior as long as the needs below it have been satisfied. Unsatisfied lower needs will dominate over unsatisfied higher needs and must first be satisfied before the person can climb up the hierarchy.

36. Douglas McGregor

Theory X and Theory Y

Douglas McGregor developed a philosophical view of humankind with his Theory X and Theory Y. These are two opposing perceptions about how people view human behavior at work and organizational life.

Theory X

People have an inherent dislike for work and will avoid it whenever possible. People must be coerced, controlled, directed, or threatened with punishment in order to get them to

achieve the organizational objectives. People prefer to be directed, do not want responsibility, and have little or no ambition. People seek security above all else.

With Theory X assumptions, management's role is to coerce and control employees.

Theory Y

Work is as natural as play and rest. People will exercise self-direction if they are committed to the objectives (they are NOT lazy). Commitment to objectives is a function of the rewards associated with their achievement. People learn to accept and seek responsibility. Creativity, ingenuity, and imagination are widely distributed among the population. People are capable

of using these abilities to solve an organizational problem. People have potential.

37. Mintzberg’s Organizational Forms

Dimensions Of Mintzberg's Five Structural Configurations Dimension Entrepreneurial

Structure Machine Bureaucracy

Professional Bureaucracy

Divisional Form

Adhocracy

Strategy And Goals

Growth, Survival Defender, Efficiency

Analyzer, Effectiveness

Portfolio, Profit Prospector, Innovation

Age And Size Typically Young And Small

Typically Old And Large

Varies Typically Old And Very Large

Typically Young

Technology Simple Machines But Less Automation

Service Divisible, Like Machine Bureaucracy

Very Sophisticated, Often Automated

Environment Simple And Dynamic, Sometimes Hostile

Simple And Stable

Complex And Stable

Relatively Simple And Stable

Complex And Dynamic

Formalization Little Much Little Within Divisions

Little

Structure Functional Functional Functional Or Product

Product Or Hybrid

Functional And Product (Matrix)

Coordination Direct Supervision Vertical Linkage

Horizontal Linkage

Headquarters Staff

Mutual Adjustment

Control Clan Bureaucratic Clan And Bureaucratic

Market And Bureaucratic

Clan

Technical Support Staff

None Many Few Many In Headquarters

Small And Within Projects

Administrative Support

Small Many Many To Support Professionals

Split Between Headquarters And Division

Many Within Project Teams

Key Part Of Organization

Top Management Technical Staff Production Core

Middle Management

Support Staff And Technical Core

Adapted from Organization Theory and Design, Richard Daft, 1997.

Mintzberg's Taxonomy of Organizational Forms

38. Organizational Growth and Decline Stages (Yukl, p. 37; Dr. Green’s notes)

A good way to think about organizational growth and change is the concept of an organizational life cycle, which suggests that organizations are born, grow older, and eventually die. Research on organizational life cycle suggests that four major stages characterize organizational development. Growth is not easy. Each time the organization enters a new stage in the life cycle, it enters a completely new ball game with a new set of rules for how the organization functions internally and how it relates to the external environment.

Organizational Life Cycle – Organization Stages of Development

Creativity

Crisis: Need for leadership

Provision of clear direction

Addition of internal systems

Crisis: Need for delegation with control

Development of teamwork

Crisis: Need to deal with too much red tape

Crisis: need for revitalization

Streamlining, small-company thinking

Continued maturity

Decline

Large

Small

Entrepreneurial Collectivity Formalization Elaboration Stage Stage Stage Stage

Siz

e

In the initial stage of an organization’s evolution, a primary management responsibility is to communicate a vision of the proposed organization to potential external stakeholders.As the organization grows rapidly, the management responsibilities concerned with internal demands (e.g., staffing, motivation, organization of the work, resource allocation, coordination) become as important as those related to external demands.Eventually the organization will encounter severe environmental threats (e.g., new competitors, declining demand for its products and services). In this crises phase, the primary responsibility of management is to determine how to adapt and survive.

Organizational Life Cycle Stages

Stage Critical Activities CrisisEntrepreneurial Stage

Creating a product Surviving in the marketplace

Need for leadership – founders are wearing many hats, working long hours, doing what they know. Often they have functional skills rather than leadership and management skills.

Collectivity Stage Develop a structure Develop clear goals and direction

Delegation – lower level employees feel they have no empowerment. Top managers who came in and “got this place organized” have a difficult time delegating and giving up control.

Formalization Stage

Develop rules, procedures and control systems. Communication becomes more formal and less frequent.

Too much red tape – a proliferation of systems constrain middle management. The organization seems too large and complex to be truly lead or managed.

Elaboration Stage

New sense of collaboration and teamwork. Social control and self-discipline replace new or additional formal systems.

Need for revitalization, top management shake-up, re-exploring core competencies.

After the organization reaches maturity, it may enter periods of temporary decline. A need for renewal may occur every ten to twenty years. The organization shifts out of alignment with the environment or perhaps becomes slow moving and must go through a stage of streamlining and innovation. Top managers are often replaced during this period.

39. Path-Goal Theory

Description:Path-goal (Robert House, 1970s) theory is about how leaders motivate subordinates to accomplish designated goals. The stated goal of this leadership theory is to enhance employee performance and employee satisfaction by focusing on employee motivation.Path-goal theory emphasizes the relationship between the leader’s style and the characteristics of the subordinate and the work setting. The underlying assumption of the theory is derived from expectancy theory, which suggests that subordinates will be motivated if they think they are capable of performing their work, if they believe their efforts will result in a certain outcome, and if they believe that the payoffs for doing their work are worthwhile.

Path-goal theory is designed to explain how leaders can help subordinates along the path to their goals by selecting specific behaviors that are best suited to subordinate’s needs and to the situation in which subordinates are working.

Leader behaviors:

Directive Leadership:Directive leadership is similar to the “initiating structure’ concept in the Ohio State studies. It characterizes a leader who gives subordinates instructions about their task, what is expected of them, how it is to be done, and the time line when it should be completed.

Supportive Leadership:Supportive leadership resembles the consideration behavior concept of the Ohio State studies. It refers to being friendly and approachable as a leader and attending to the well-being and human needs of subordinates.

Participative Leadership:This behavior refers to leaders who invite subordinates to share in the decision making process. A participative leader consults with subordinates, obtains their ideas, and integrates their suggestions into the decisions of the organization.

Achievement-Oriented Leadership:Achievement-oriented leadership is characterized by a leader who challenges subordinates to perform work at the highest level possible. This leader establishes a high standard of excellence for subordinates and seeks continuous improvement.

Path-goal is not a trait approach that locks leaders into only one kind of leadership; leaders should adapt their styles to the situation or to the motivational needs of their subordinates.

Subordinate Characteristics:Path-goal theory predicts that subordinates who have strong needs for affiliation prefer supportive leadership because friendly and concerned leadership is a source of satisfaction. For subordinates who are dogmatic and authoritarian and have to work in uncertain situations, path-goal theory suggests directive leadership because it provides psychological structure and task clarity. Subordinates with internal locus of control believe that they are in charge of the things that occur in their life, while individuals with external locus of control believe that chance, fate, or outside forces are determinants of life events. For subordinates with internal locus of control, participative leadership is most satisfying because it allows subordinates to feel in charge of their work.For subordinates with external locus of control, the theory suggests that directive leadership is best because it parallels subordinate’s feelings that outside forces control their circumstances. Task Characteristics:Task characteristics include the design of the subordinate’s task, the formal authority system of the organization, and the primary work group of subordinates.

How the approach works:The theory provides a set of assumptions about how various leadership styles will interact with characteristics of subordinates and the work setting to affect the motivation of subordinates. The theory provides direction about how leaders can help subordinates to accomplish their work in a satisfactory manner. The theory suggests that leaders need to choose a leadership style that best fits the needs of subordinates and the work they are doing. Directive leadership works best with authoritarian subordinates and when the task is ambiguous. For work that is structured, unsatisfying, or frustrating, leaders should use a supportive style. Participative leadership works best when a task is ambiguous because participation gives greater clarity to how certain paths lead to certain goals. Achievement-oriented leadership is most effective in settings in which subordinates are required to perform ambiguous tasks. Leaders challenge and set high standards for subordinates in an effort to raise their confidence to reach their goals.

Strengths:1. First, path-goal theory provides a useful theoretical framework for understanding how various

leadership behaviors affect the satisfaction of subordinates and their work performance. 2. A second positive feature of path-goal is that it attempts to integrate the motivation principles of

expectancy theory into a theory of leadership. 3. A third strength is that path-goal theory provides a model that in certain ways is very practical. The

theory reminds leaders that the overarching purpose of leadership is to guide and coach subordinates as they move along the path to achieve a goal.

Criticisms:1. First, path-goal is complex and incorporates many different aspects of leadership that interpreting the

meaning of the theory can be confusing. 2. A second limitation of the theory is that it has received only partial support from the many empirical

research studies that have been conducted to test its validity. 3. Another criticism is that it fails to explain the relationship between leadership behavior and worker

motivation. 4. A final criticism of the theory concerns a practical outcome of the theory. The potential difficulty in

“helping” subordinates by clarifying goals, providing coaching, guidance and direction, and removing obstacles is that subordinates may easily become dependent on the leader to accomplish their work.

Leadership Instrument:The Path-Goal Leadership Questionnaire illustrates one of the questionnaires that has been useful in measuring and learning about important aspects of path-goal leadership. The questionnaire provides information for respondents about four styles: directive, supportive, participative, and achievement-oriented.

40. Scheins levels of Organizational Culture (Dr. Green’s notes)Schein's Levels of Culture (sometimes called the Iceberg Model.)

Artifacts Visible Organizational structures and processes Espoused Values Strategies, goals, philosophies Basic underlying assumptions Unconscious, taken for granted beliefs, perceptions, thoughts and feeling

Adaptability Culture

Adaptability Culture is characterized by strategic leaders who encourage values that support the organization’s ability to interpret and translate signals from the environment into new behavior responses.Values: creativity, experimentation, risk, autonomy, and responsiveness. Flexible with an external focus.

Clan Culture Clan Culture has an internal focus on the involvement and participation of employees to rapidly meet changing expectations from the external environment. This culture places value on meeting the needs of employees. Values: cooperation, consideration, agreement, fairness, and social equity. Flexible with an internal focus.

Bureaucratic Culture

Bureaucratic Culture supports a methodological, rational, orderly way of doing business. Values: economy formality, rationality, order, and obedience. Stable with an internal focus.

Achievement Culture

Achievement Culture is characterized by a clear vision of the organization’s goals. Leaders focus on the achievement of specific targets. Values: competitiveness, perfectionism, aggressiveness, diligence, personal initiative. Stable with an external focus.

Culture Strength Culture Strength is the degree of agreement among members of an organization about the importance of specific values.

Culture Gap Culture Gap is the difference between desired and actual values and behaviors.

41. Schein’s Methods for Shaping Organizational Culture (Yukl, p. 279-281)

Schein (1992), defines the culture of a group or organization as shared assumptions and beliefs about the world and their place in it, the nature of time and space, human nature, and human relationships.

Leaders can influence the culture of an organization in a variety of ways. According to Schein (1992), five primary mechanisms offer the greatest potential for embedding and reinforcing aspects of culture

Attention – Leaders communicate their priorities, values, and concerns by their choice of things to ask about, measure, comment on, praise, and criticize. Much of this communication occurs when the leader is planning activities and monitoring operations. Emotional outbursts by leaders have an especially strong effect in communicating values and concerns. In contrast, by not paying attention to something, a leader sends the message that it is not important.

Reactions to Crises – Because on the emotionally surrounding crises, a leader’s response to them can send a strong message about values and assumptions. A leader who faithfully supports espoused values even when under pressure for expedient action communicates clearly that the values are important. For example, one company with lower sales avoids layoffs by having all employees (including managers) work less hours and take a pay cut: the decision communicates a strong concern for preserving employee jobs.

Role Modeling – leaders can communicate values and expectations by their own actions, especially actions showing loyalty, self-sacrifice, and service beyond the call of duty. A leader who institutes a policy or procedure but fails to act in accordance with it is communicating the message that it is not really important or necessary.

Allocation of Rewards – the criteria used as the basis for allocating rewards signal what is valued by the organization. Formal recognition in ceremonies and informal praise communicate a leader’s concerns and priorities. Failure to recognize contributions and achievements sends a message that they are not important. Finally, differential allocation of rewards status symbols affirms the relative importance of some members compared to others. For example, in comparison in the United States, Japanese companies use far fewer status symbols and privileges of rank such as large offices, special dining rooms, and private parking spaces.

Criteria for Selection and Demand – Leaders can influence culture by their choice of criteria for recruiting, selecting, promoting, and dismissing people. Leaders also communicate their values and concerns by providing realistic information about the criteria and requirements for success in the organization.

In addition to the five primary mechanisms, Schein described five secondary mechanisms that are useful for embedding and reinforcing culture when they are consistent with the primary mechanisms.

Design of Systems and Procedures - Formal budgets, planning sessions, reports, performance reviews, and management development programs can be used to emphasize some activities and criteria, while also helping to reduce role ambiguity. A preference for formality reflects strong values about control and order.

Design of Organization Structure - The design of structure is often influenced more by assumptions about internal relationships or implicit theories of management than by actual requirements for effective adaptation to the environment. A centralized structure reflects the belief that only the leader can determine what is best, where as decentralized structure or the use of self-managed teams reflects a belief in individual initiative and shared responsibility.

Design of Facilities - Although seldom done as an intentional strategy, leaders can design facilities to reflect basic values. For example, an open office layout is consistent with value for an open communication. Having similar offices and the same dining facilities for all employees is consistent with egalitarian values.

Stories, Legends, and Myths - Stories about important events and people in the organization help transmit values and assumptions. However, stories and myths are more a reflection of culture than a determinant of it. The potential use of this mechanism by leaders to influence culture is very limited in any organization or society where open communication makes it possible to detect a false story. To be useful the story must convey a clear message about values, and it must describe a real event.

Formal Statements - Public statements of values by the leader and written value statements, charters, and philosophies can be useful as a supplement to other mechanisms. However, formal statements usually describe only a small portion of an organizations cultural assumptions and beliefs, and they have no credibility unless the words are supported by leader actions and decisions.

42. Servant-Leader Paradigm (Dr. Green’s notes-midterm; Yukl, p. 404; Northouse, p. 308-309)

Servant leadership is leadership in which the leader transcends self-interest to serve the needs of others, help others grow and develop, and provide opportunities for others to gain materially and emotionally.

In 1970, Robert Greenleaf proposed the concept “servant leadership” and it became the title of a book published in 1977. For Greenleaf, service to followers is the primary responsibility of leaders and the essence of ethical leadership.

Service includes nurturing, defending, and empowering followers. A servant leader must attend to the needs of followers and help them become healthier, wiser, and more willing to accept their responsibilities.

The servant leader must stand for what is good and right, even when it is not in the financial interest of the organization.

The servant leader must empower followers instead of using power to dominate them. Trust is established by being completely honest and open, keeping actions consistent with values and showing trust in followers.

Greenleaf believed that followers of such leaders are inspired to become servant leaders themselves.

Greenleaf (1970, 1977) argued that leadership was bestowed on a person who was by nature a servant. In fact, the way an individual emerges as a leader is by first becoming a servant. A servant leader focuses on the needs of followers and helps them to become more knowledgeable, more free, more autonomous, and more like servants themselves. In becoming a servant leader, a leader uses less institutional power and less control, while shifting authority to those who are being led.

43. Situational Leadership Theories (Northouse, p. 87-102)

Description:One of the most widely recognized approaches to leadership is the situational approach, which was developed by Hersey and Blanchard (1969) based on Reddin’s 3-D management style approach.

Situational leadership focuses on leadership in situations. The basic premise of the theory is that different situations demand different kinds of leadership. From this perspective, to be an effective leader requires that an individual adapt his or her style to the demands of different situations.

Situational leadership stresses that leadership is composed of both a directive and a supportive dimension, and each has to be applied appropriately in a given situation. Based on the assumption that employee’s skills and motivation vary over time, situational leadership suggests that leaders could change the degree to which they are directive or supportive to meet the changing needs of subordinates.

The dynamics of situational leadership are best understood by separating the SLII model into two parts: leadership style and development level of subordinates.

Leadership Styles:Leadership style refers to the behavior pattern of an individual who attempts to influence others; it includes both directive (task) behaviors and supportive (relationship) behaviors.

Directive behaviors assist group members in goal accomplishment through giving directions, establishing goals and methods of evaluation, setting time lines, defining roles, and showing how the goals are to be achieved.

Supportive behaviors help group members feel comfortable about themselves, their coworkers, and the situation.

Leadership style can be classified further into four distinct categories of directive and supportive behaviors: The first style (S1) is a high directive-low supportive style. The leader focuses communication on

goal achievement and spends a smaller amount of time using supportive behaviors. The second style (S2) is called coaching approach and is a high directive-high supportive style. The

leader focuses communication on both goal achievement and maintenance of subordinates’ socio-emotional needs.

Style 3 (S3) is a supporting approach that requires that the leader take a high supportive-low directive style. In this approach, the leader does not focus exclusively on goals but uses supportive behaviors that bring out the employee’s skills around the task to be accomplished.

Style 4 (S4) is called the low supportive-low directive style, a delegating approach. The leader offers less task input and social support, facilitating employees’ confidence and motivation in reference to the task.

Development Styles:Development level refers to the degree to which subordinates have the competence and commitment necessary to accomplish a given task or activity. On a particular task, employees can be classified into four categories: D1, D2, D3, and D4, from low development to high development.

D1 employees are low in competence and high in commitment. D2 employees are described as having some competence but low commitment. D3 represents employees who have moderate to high competence but may lack commitment. D4 employees are the highest in development, having both a high degree of competence and a high

degree of commitment to getting the job done.

How this approach works:For leaders to be effective, it is essential that they diagnose where subordinates are on the developmental continuum and adapt their leadership styles so they directly match their style to the development level of the subordinate. Having identified the correct development level, the second task for the leader is to adapt his or her style to the prescribed leadership style represented in the SLII model. Because subordinates move back and forth among the development continuum, it is imperative for leaders to be flexible in their leadership behavior.

Strengths:1. The first strength is that it has stood the test in the marketplace. Situational leadership is well-known

and frequently used for training leaders within organizations. It is perceived by corporations as offering a credible model for training individuals to become effective leaders.

2. Second, situational leadership is easy to understand, intuitively sensible, and easily applied in a variety of settings,

3. Third, the approach is prescriptive, it tells you what you should and should not do in various contexts. 4. Fourth, it emphasizes the concept of leader flexibility. Effective leaders are those who can change their

own style based on the task requirements and the subordinates’ needs—even in the middle of the project.

5. Finally, situational leadership reminds us to treat each subordinate differently based on the task at hand and to seek opportunities to help subordinates learn new skills and become more confident in their work.

Criticisms:1. The first criticism of this style is that there have been only a few research studies conducted to justify

the assumptions and propositions set forth by the approach. 2. A second criticism concerns the ambiguous conceptualization in the model of subordinates’

development levels. The authors do not make clear how commitment is combined with competence to form four distinct levels of development.

3. Another criticism has to do with how the model matches leader style with subordinate development level – the prescription of the model.

4. A fourth criticism is that it fails to account for how certain demographic characteristics (education, experience, age, and gender) influence the leader-subordinate prescriptions of the model.

5. Situational leadership can also be criticized from a practical standpoint because it does not fully address the issue of one-to-one versus group leadership in an organizational setting.

6. A final criticism can be directed at the leadership questionnaires that accompany the model. Questionnaires on situational leadership typically ask respondents to analyze various work-related situations and select the best leadership style for each situation. Because the best answers available to respondents have been predetermined, the questionnaires are biased in favor of situational leadership.

Leadership Instrument:The Brief Questionnaire illustrates the way leadership style is measured in questionnaires of situational leadership. Expanded versions of the Brief Questionnaire provide respondents an overall profile of their leadership style.

44. Structural Dimensions of Organizations (Dr. Green’s notes)

Structural dimensions of organizations are descriptions of the internal characteristics of an organization indicating whether stability or flexibility is the dominant organizational value. There are eight structural dimensions:

1. Formalization is the degree to which an organization has rules, procedures, and written documentation.

2. Specialization is the degree to which organizational tasks are subdivided into separate jobs. 3. Standardization is the extent to which similar work activities are performed in a uniform manner. 4. Hierarchy of Authority describes who reports to whom and the span of control for each

manager/leader. 5. Complexity refers to the number of levels in a hierarchy and the number of departments or jobs. 6. Centralization refers to the hierarchical level that has authority to make a decision. 7. Professionalism is the level of formal education and training of employees. 8. Personnel Ratios refer to the deployment of people to various functions and departments.

45. Teleological/Utilitarian Ethical View (Northouse, p. 304, internet research)

Teleological theories, from the Greek work Telos, meaning “ends” or “purposes”, try to answer questions about right and wrong by focusing on whether an individual’s conduct will produce desirable consequences. The question “What is right?” from the teleological perspective is answered by looking at results -- at the outcomes.

In effect, the consequences of an individual’s actions determine the goodness or badness of a particular behavior. Teleological Approaches

Ethical Egoism: states that an individual should act so as to create the greatest good for herself or himself. A leader with this orientation would take a job or career that he or she selfishly enjoys. Self-interest is an ethical stance closely related to transactional leadership theories.

Utilitarianism: states that we should behave so as to create the greatest good for the greatest number. From this viewpoint, the morally correct action is the action that maximizes social benefits, while minimizing social costs.

Altruism: an approach that suggests that actions are moral if their primary purpose is to show concern for the best interests of others. From this perspective, a leader may be called on to act in the interests of others, even when it runs contrary to his or her own self-interest. Authentic transformational leadership is based on altruistic principles.

46. The Big Five Personality Types (Internet research)

In psychology, the big five personality traits are an approach to personality theory. The big five personality traits are as follows: (OCEAN)

Neuroticism: a tendency to easily experience unpleasant emotions Extraversion: a tendency to seek stimulation and the company of others Agreeableness: a tendency to be compassionate rather than antagonistic towards others Conscientiousness: a tendency to show self-discipline, act dutifully, and aim for achievement Openness to experience: a tendency to enjoy art, new intellectual experiences, and ideas

A person's ratings on the five factors has been found to change with time, with Agreeableness and Conscientiousness increasing, while Extroversion, Neuroticism, and Openness generally decrease as a person ages.

Sexes show differences in Big Five scores across cultures, with women scoring higher in both the Agreeableness and Neuroticism domains. (The mere fact that sex differences have been found does not by itself demonstrate that the sexes are innately different in personality, although that is a possibility.)

47. The Ohio State Studies (Northouse, p. 66-67)

Because the results of studying leadership as a personality trait appeared fruitless, a group of researchers at Ohio State began to analyze how individuals acted when they were leading a group or organization. This analysis was conducted by having subordinates complete questionnaires about their leaders. On the questionnaires, followers had to identify the number of times their leaders engaged in certain types of behaviors. A questionnaire composed of 150 questions was formulated, it was called The Leader Behavior Description Questionnaire (LBDQ; Hemphill & Coons, 1957). Five years later, Stogdill (1963) published a shortened version of the LBDQ, the new form was called the LBDQ-XII. Researchers found that subordinates’ responses on the questionnaire clustered around two general types of leader behaviors: initiating structure and consideration.

Initiating Structure behaviors were essentially task behaviors, including such acts as organizing work, giving structure to work context, defining role responsibilities, and scheduling work activities.

Consideration behaviors were essentially relationship behaviors and included building camaraderie, respect, trust, and liking between leaders and followers.

The two types of behaviors identified by the LBDQ-XII represent the core of the style approach-these behaviors are central to what leaders do. Some research has shown that being high on both behaviors is the best form of leadership.

48. The University of Michigan Studies (Northouse, p. 67-68)

Researchers at the University of Michigan identified two types of leadership behaviors, employee orientation and production orientation.

Employee Orientation describes the behavior of leaders who approach subordinates with a strong human relations emphasis. They take an interest in workers as human beings, value their individuality, and give special attention to their personal needs.

Production Orientation refers to leadership behaviors that stress the technical and production aspects of a job.

Unlike the Ohio state researchers, the Michigan researchers, in their initial studies, conceptualized employee and production orientation as opposite ends of a single continuum. As more studies were completed however, the researchers re-conceptualized the two constructs, similar to the Ohio states studies, as two independent leadership orientations.

49. Trait Approach

Description:The trait theory was one of the first systematic attempts to study leadership. The theories that were developed were called the “great man” theories because they focused on identifying the innate qualities and characteristics possessed by great social, political, and military leaders. In a major review in 1948, Stogdill suggested that no consistent set of traits differentiated leaders from non-leaders across a variety of situations. An individual with leadership traits who was a leader in one situation might not be a leader in another situation. Rather than being a quality that individuals possessed, leadership was reconceptualized as a relationship between people in a social situation.

Stogdill’s first survey (1948) identified a group of important leadership traits that were related to how individuals in various groups became leaders. His results showed that the average individual in the leadership role is different from an average group member in the following ways: (a) intelligence, (b) alertness, (c) insight, (d) responsibility (e) initiative, (f) persistence, (g) self-confidence, and (h) sociability.

Stogdill’s survey indicated that an individual does not become a leader solely because he or she possesses certain traits. Rather, the traits that leaders possess must be relevant to situations in which the leader is functioning.

Stogdill’s second survey (1974) also identified traits that were positively associated with leadership. The list included the following ten characteristics: (a) drive for responsibility and task completion, (b) vigor and persistence in pursuit of goals, (c) venturesomeness and originality in problem solving, (d) drive to exercise initiative in social situations, (e) self-confidence and sense of personal identity, (f) willingness to accept consequences of decision and action, (g) readiness to absorb interpersonal stress, (h) willingness to tolerate frustration and delay, (i) ability to influence other person’s behavior, and (j) capacity to structure social interaction systems to the purpose at hand.

Major Leadership Traits:Intelligence:Intelligence or intellectual ability is positively related to leadership. Having strong verbal ability, perceptual ability, and reasoning appears to make one a better leader. Leaders with high IQ’s may have difficulty in communicating with followers because they are preoccupied or because their ideas are too advanced to be accepted by their followers.

Self-Confidence:

Self-Confidence is another trait that helps an individual to be a leader. Self-Confidence is the ability to be certain about one’s competencies and skills. It includes a sense of self-esteem and self-assurance and the belief that one can make a difference.

Determination:Determination refers to the desire to get the job done and includes characteristics such as initiative, persistence, dominance, and drive.

Integrity:Integrity is the quality of honesty and trustworthiness. Leaders with integrity inspire confidence in others because they can be trusted to do what they say they are going to do.

Sociability:Sociability refers to a leader’s inclination to seek out pleasant social relationships. Leaders who show sociability are friendly, outgoing, courteous, tactful, and diplomatic.

How this approach works:The trait approach focuses exclusively on the leader, and not on the followers or the situation. This approach emphasizes that having a leader with a certain set of traits is crucial to having effective leadership. It is the leader and his or her personality that is central to the leadership process. The theory suggests that organizations will work better if the people in managerial positions have designated leadership profiles. Organizations can specify the characteristics or traits that are important to them for particular positions and then use personality assessment measures to determine whether or not an individual fits their needs. The trait approach is also used for personal awareness and development. By analyzing their own traits, managers can gain an idea of their strengths and weaknesses, and they can get a feel of how others see them within the organization.

Strengths:1. First, the trait approach is intuitively appealing. It fits clearly with our notion that leaders are the

individuals who are “out front” and “leading the way” in our society.2. A second strength of the trait approach is that it has a century of research to back it up. 3. Another strength results from the way the trait approach highlights the leader component in the

leadership process. By focusing exclusively on the role of the leader in leadership the trait approach has been able to provide us with a deeper and more intricate understanding of how the leader and his or her personality are related to the leadership process.

4. Last, the trait approach has given us some benchmarks for what we need to look for if we want to be leaders. It identifies what traits we should have and whether the traits that we do have are the best traits,

Criticisms:1. First and foremost is the failure of the trait approach to delimit a definitive list of leadership traits. The

findings of studies have been ambiguous and uncertain.2. Another criticism is that the trait approach has failed to take situations into account. In other words,

the situation influences leadership, and it is therefore difficult to identify a universal set of leadership traits in isolation from the context in which the leadership occurs.

Leadership instrument:In many organizations, it is a common practice to use standard personality measures such as the Minnesota Multiphasic Personality Inventory or the Myers-Briggs Type Indicator. These measures provide valuable information to the individual and the organization about the individual’s unique attributes for leadership and where the individual could best serve the organization.

50. Transactional Leadership Factors

Contingent Reward:

Factor 5, labeled contingent reward, is the first of two transactional leadership factors. It refers to an exchange process between leaders and followers in which effort by followers is exchanged for specified rewards. Management-by-Exception:Factor 6 is labeled in the model as management-by-exception and refers to leadership that involves corrective criticism, negative feedback, and negative reinforcement. Management-by-exception takes two forms:

Active: A leader using the active form of management watches followers closely for mistakes or rule violations and then takes corrective action

Passive: A leader using a passive form intervenes only after standards have not been met or problems have arisen.

Non-Leadership Factor:Laissez-Faire:Factor 7 describes leadership that falls at the far right side of the transactional-transformational leadership continuum. This factor represents the absence of leadership. As the French phrase implies, the laissez-faire leader takes a “hands-off—let things ride” approach. This leader abdicates responsibility, delays decisions, gives no feedback, and takes little effort to help followers satisfy their needs.

51. Transformational Leadership Factors

Transformational leadership is concerned with the performance of followers and also of developing followers to their fullest potential.

Idealized Influence:Factor 1 is called charisma or idealized influence. It describes leaders who act as strong role models for followers. Inspirational Motivation:Factor 2 is labeled Inspiration or inspirational motivation. This factor is descriptive of leaders who communicate high expectations to followers inspiring them through motivation to become committed to and a part of the shared vision in the organization. Intellectual Stimulation:Factor 3 refers to intellectual stimulation. It includes leadership that stimulates followers to be creative and innovative, and to challenge their own beliefs and values as well as those of the leader and the organization.Individualized Consideration:Factor 4 of the transformational factors is called individualized consideration. This factor is representative of leaders who provide a supportive climate in which they listen carefully to the individual needs of followers.

52. Transformational Leadership Theory (Northouse, p. 169-195)

Description:Transformational leadership (James MacGregor Burns, 1978) is a process that changes and transforms individuals. It is concerned with emotions, values, ethics, standards, and long-term goals, and includes assessing follower motives, satisfying their needs, and treating them as full human beings. Transformational leadership involves an exceptional form of influence that moves followers to accomplish more than is usually expected of them. It is a process that often incorporates charismatic and visionary leadership.

Transformational Leadership Defined:The term transformational leadership was first coined by Downton (1973); however, its emergence as an important approach to leadership began with a classic work by the political socialist James MacGregor Burns titled Leadership (1978).

Burns distinguished between two types of leadership: transactional and transformational. Transactional leadership refers to the bulk of leadership models, which focus on the exchange that occur between the leader and their followers.

Transformational leadership refers to the process whereby an individual engages with others and creates a connection that raises the level of motivation and morality in both the leader and the follower. This type of leaders is attentive to the needs and motives of followers and tries to help followers reach their fullest potential.(Mohandas Gandhi).

A model of Transformational Leadership:Bass (1985) argues that transformational leadership motivates followers to do more than expected by doing the following:

(a) raising followers’ level of consciousness about the importance and value to specified and idealized goals, (b) getting followers to transcend their own self-interest for the sake of the team or organization, and (c) moving followers to address higher-level needs.

Transformational Leadership Factors:Transformational leadership is concerned with the performance of followers and also of developing followers to their fullest potential.

Idealized Influence:Factor 1 is called charisma or idealized influence. It describes leaders who act as strong role models for followers. Inspirational Motivation:Factor 2 is labeled Inspiration or inspirational motivation. This factor is descriptive of leaders who communicate high expectations to followers inspiring them through motivation to become committed to and a part of the shared vision in the organization. Intellectual Stimulation:Factor 3 refers to intellectual stimulation. It includes leadership that stimulates followers to be creative and innovative, and to challenge their own beliefs and values as well as those of the leader and the organization.Individualized Consideration:Factor 4 of the transformational factors is called individualized consideration. This factor is representative of leaders who provide a supportive climate in which the listen carefully to the individual needs of followers. Contingent Reward:Factor 5, labeled contingent reward, is the first of two transactional leadership factors. It refers to an exchange process between leaders and followers in which effort by followers is exchanged for specified rewards. Management-by-Exception:Factor 6 is labeled in the model as management-by-exception and refers to leadership that involves corrective criticism, negative feedback, and negative reinforcement. Management-by-exception takes two forms: active and passive. A leader using the active form of management watches followers closely for mistakes or rule violations and then takes corrective action. A leader using a passive form intervenes only after standards have not been met or problems have arisen.

Non-Leadership Factor:Laissez-Faire:Factor 7 describes leadership that falls at the far right side of the transactional-transformational leadership continuum. This factor represents the absence of leadership. As the French phrase implies, the laissez-faire leader takes a “hands-off—let things ride” approach. This leader abdicates responsibility, delays decisions, gives no feedback, and takes little effort to help followers satisfy their needs.

How the approach works:Transformational leaders set out to empower followers and nurture them in change. They attempt to raise the consciousness in individuals and to get them to transcend their own self-interest for the sake of others. It is common for transformational leaders to create a vision. The vision emerges from the collective interests of various individuals and units within an organization.

Transformational leaders also act as change agents who initiate and implement new directions within organizations. The transformational approach also requires that leaders become social architects. This means they make clear the emerging values and norms of the organization.

Strengths:1. First, the transformational leadership has been widely researched from many different perspectives,

including a series of qualitative studies of prominent leaders and CEOs in large, well-known organizations, and has also been the focal point for a large body of leadership research since its introduction in the 1970s.

2. Second, this theory has intuitive appeal. The perspective describes how the leader is out front advocating change for others.

3. Third, the theory treats leadership as a process that occurs between followers and leaders. 4. Fourth, the transformational approach provides a broader view of leadership that augments other

leadership models. This approach provides an expanded picture of leadership that includes not only the exchange of rewards but also leaders’ attention to the needs and growth of followers.

5. Fifth, transformational leadership places a strong emphasis on follower’s needs, values, and morals.6. Finally, there is substantial evidence that transformational leadership is an effective form of leadership.

Criticisms:1. One criticism is that the theory lacks conceptual clarity. Because it covers such a wide range,

including creating a vision, motivating, being a change agent, to name a few, it is difficult to define exactly the parameters of transformational leadership.

2. Another criticism revolves around how transformational leadership is measured. For the past 15 years, many leadership studies have been conducted using some form of the MLQ. However, the validity of the MLQ has not been fully established.

3. A third criticism some have made is that transformational leadership treats leadership as a personality trait or personal predisposition rather than a behavior in which people can be instructed.

4. A fourth criticism some have made is that transformational leadership is elicit and antidemocratic. 5. Another criticism is that transformational leadership is based primarily on quantitative data collected

from leaders who were very visible serving in positions that were at the top of their organizations. 6. A final criticism of this theory is that it has the potential to be abused. The theory is concerned with

changing people’s values and moving them to a new vision. But, who determines if the direction is the right one?

Leadership Instrument:The most widely used measure of transformational leadership is the MLQ.

53. Value Chain

A framework for examining the strengths and weaknesses of an organization, and for using the results of this analysis to improve performance. Value Chain analysis is premised upon the assumption that a basic purpose of business is provide or create value for users of its products or services, and that value and customer satisfaction are primary customer drivers. Within a Value Chain analysis, organizational activities are classified as being either primary activities (that create, transfer or support something of value) or as support activities (that assist the primary activities by providing resources or infrastructure).

The value chain categorizes the generic value-adding activities of an organization. The "primary activities" include: inbound logistics, production, outbound logistics, sales and marketing, maintenance.

The "support activities" include: administrative infrastructure management, human resources management, R&D, and procurement.

The costs and value drivers are identified for each value activity. The value chain framework quickly made its way to the forefront of management thought as a powerful analysis tool for strategic planning. Its ultimate goal is to maximize value creation while minimizing costs.

54. Supplemental Information for Leadership & Management Comprehensive Exams

Leadership Factors (Northouse, p. 175)

Leadership Factors

Transformational Transactional Laissez-Faire Leadership Leadership Leadership

Factor 1 Factor 5 Factor 7Idealized Contingent Reward Laissez FaireInfluence Constructive Transactions Non-Transactional

Charisma Factor 6 Management by ExceptionFactor 2 Active & PassiveInspirationalMotivation Corrective Transactions

Factor 3IntellectualStimulation

Factor 4IndividualizedConsideration

Full Range of Leadership Model (Northouse, p. 176)

Effective

Active

Passive Frequency

Legend

Nonleadership IneffectiveLF Laissez-Faire TransactionalMBE – P Management-by-Exception PassiveMBE – A Management-by-Exception ActiveCT Constructive/Corrective TransactionTransformationalII Idealized InfluenceIM Inspirational MotivationIS Intellectual StimulationIC Individualized Consideration

4 I’s I’s

CR

MBE-A

MBE-P

LF

Situational Leadership II (Northouse, p. 88)

Blake and Mouton’s Managerial (Leadership) Grid

1.9

Country Club Management:Thoughtful attention to the needs of

thepeople for satisfying relationships

leads to comfortable, friendly organization

atmosphere and work tempo

9.9Team Management:

Work accomplishment isfrom committed people;

“interdependencethrough a ‘common stake’ in the

organization purpose leads to relationship

of trust and respect

Impoverished Management:Exertion of minimum effort to get

required work done is appropriate to sustain organization membership

1.1

Authority-ComplianceManagement

Efficiency in operation resultsfrom arranging conditions of work

in such a way that humanelements interfere to a minimum

degree

9.1

The additive Effect of Transformational Leadership – Bass & Avolio Northouse, p. 178)

Adequate organization performance is possible through

balancing the necessity to get work out while maintaining morale of

people at a satisfactory level Middle of the Road Management

The Additive Effect of Transformational Leadership



+ + +Idealized Influence

Transactional

Leadership

+Contingent

Reward

Individualized

Consideration

ExpectedOutcome

Performance Beyond

Expectations

Inspirational Motivation

Intellectual

Stimulation

ManagementBy Exception

Generic Strategy Commonly Required Skills and Resources

Common Organizational Requirements

Risks

Overall Cost Leadership

Sustained capital investment and access to capital Process engineering skills Intense supervision and labor Products designed for ease of manufacturing Low-cost distribution system

Tight cost control Frequent detailed control reports Structured organization and responsibilities Incentives based on meeting strict quantitative targets

Technological change nullifies past investments of learning Low cost learning by industry newcomers or followers Inability to see required product or marketing change because of attention placed on cost Inflation in costs that narrow a firm’s ability to maintain enough of a price differential to offset competitor’s differentiation advantages

Differentiation Strong marketing abilities Product engineering Creative flair Strong capability in basic research Corporate reputation for quality or technological leadership Long tradition in the industry or unique combination of skills drawn from other businesses Strong cooperation from channels

Strong coordination among functions in R&D, product development and marketing Subjective measurement and incentives versus quantitative Amenities to attract highly skilled labor, scientists or creative people

Cost differential becomes too great to hold brand loyalty Buyer’s need for differentiating factor(s) change Imitation narrows perceived differentiation as industries mature

Focus Differentiation capabilities but directed at a particular strategic market

Differentiation capabilities but directed at a particular strategic market

Cost differentials widen and offset differentiation achieved by focus Differences between desired products or services narrows Competitors find sub-markets within the focus


Theory/Frame/Strategy Author(s) Year Instrument EmphasisTrait Approach Stogdill 1948 Myers-Briggs Type

IndicatorEmphasizes personality characteristics of leader. Major Leadership Traits:

Determination Intelligence Integrity Sociability Self-confidence

Style Approach LBDQ (Stogdill, 1963)Leadership Grid

Focuses on what leaders do and how they act; behaviors include task & relationship.Ohio State University (1940):Initiating structure (task)Consideration (relationship)University of Michigan:Production orientation (task)Employee orientation (relationship)Blake and Moutan’s Leadership Grid (1960s):Concern for production Concern for peopleFive major leadership styles:Authority-compliance (9,1)Country-club mgmt (1,9)Impoverished mgmt (1,1)Middle-of-the-road mgmt (5,5)Team mgmt (9,9)

Situational Approach Hersey and Blanchard 1969 Brief Questionnaire Focuses on leadership in situations.Dimensions:Directive (task behaviors)Supportive (relationship behaviors)

Situational Leadership II Blanchard 1985 (model) Leadership Styles:S1: high directive – low supportive (directing style)S2: high directive – high supportive (coaching style)S3: high supportive – low directive (supporting style)S4: low supportive- low directive (delegating style)Development Levels:D1: low competence – high commitmentD2: some competence – low commitmentD3: moderate to high competence – may lack commitmentD4: high degree of competence – high degree of commitment



Theory/Frame/Strategy Author(s) Year Instrument EmphasisContingency Theory Fiedler 1964, 1967 LPC scale:

Low LPCs are task motivated.

Middle LPCs are socio-independent leaders.

High LPCs are motivated by relationships.

Leader-match theory: this theory tries to match leaders to the appropriate situations. Effective leadership is contingent on matching a leader’s style to the right setting. Theory is concerned with styles and situations.Leadership Styles:Task motivated – reaching a goalRelationship motivated – development of relationships

Situational Variables:Leader-member relations – group atmosphere, confidence, loyalty, & attraction followers feel towards the leader.Task structure – refers to degree to which requirements are clear & spelled out.Position power – amount of authority a leader has to reward or punish.

Path-Goal Theory HouseEvansHouse & DesslerHouse & Mitchell

1970s Path-Goal Leadership Questionnaire

Theory is about how leaders motivate employees to accomplish designated goals. Emphasizes the relationship between the leader’s style and the characteristics of the subordinates and the work setting.Leader Behaviors:Directive leadershipSupportive leadershipParticipative leadershipAchievement-oriented leadershipSubordinate characteristics:Strong need for affiliation – prefer supportive leadershipAuthoritarian & dogmatic – prefer directive leadershipInternal locus of control – prefer participative leadershipExternal locus of control – prefer directive leadership

Leader-Member Exchange Theory

Dansereau, Graen, & HagaGraen & CashmanGraen

1975

1976

LMX 7 (Graen & Uhl-Bien, 1995)

Emphasizes the interactions between leaders and followers.

Types of Linkages:In-Group – subordinates receive more information, influence, confidence, and concern from their leaders. Subordinates are more dependable, highly involved, and communicative.Out-Group – responsibilities are based on formal employment contract, subordinates are not interested on new job responsibilities, they are less compatible with their leader, show up to work, do their job, and go home.



Theory/Frame/Strategy Author(s) Year Instrument EmphasisLeader-Member Exchange Theory (cont)

Leadership making phases:Stranger phase – interactions between leader/subordinate are rule bound, low quality exchangesAcquaintance phase – ‘offer’ by leader or subordinate for improved career-oriented social exchanges, exchanges are improved, development of trust and respect for each other.Mature Partnership – high-quality leader-member exchanges, high degree of mutual trust , respect, and obligation towards each other.

Transformational Leadership James MacGregor Burns

House

1978

1976

MLQ Two types of leadership:Transactional – focuses on the exchanges that occur between leaders and their followers.Transformational – the process whereby an individual engages with others and creates a connection that raises the level of motivation and morality in both the leader and the follower.

Transformational leadership and Charisma:Charismatic leaders are strong role models, competent, articulate ideological goals, communicate high expectations, arouse task-relevant motives in followers that may include affiliation, power, or esteem.

Transformational Leadership Factors:Idealized Influence (charisma)Inspirational MotivationIntellectual StimulationIndividualized Consideration

Transactional Leadership:Contingent Reward (constructive transactions)Management-by-Exception Active and Passive Corrective Transactions

Laissez-Faire Leadership:Laissez-Faire (non-transactional)



Theory/Frame/Strategy Author(s) Year Instrument EmphasisTransformational Leadership (cont)

Bennis and Nanus (1985)Identified four common strategies used by leaders in transforming organizations:VisionSocial architectsTrustCreative deployment of selfTicky and DeVanna (1986, 1990)Three-Act process:Act 1 – recognizing the need for changeAct 2 – creation of a visionAct 3 – institutionalizing changes

Porter’s Generic Strategies Porter Focus Differentiation Low-Cost

Schein’s levels of Organizational Culture

Schein Adaptability Culture Clan Culture Bureaucratic Culture Achievement Culture Culture Strength Culture Gap

Schein’s Methods for shaping Organizational Culture

Schein Five Primary Mechanisms Attention Reactions to Crises Role Modeling Allocation of Rewards Criteria for selection & demand

Five Secondary Mechanisms Design of systems and procedures Design of organization structure Design of facilities Stories, legends, and myths Formal statements

Big Five Personality Traits Neuroticism Extraversion Agreeableness Conscientiousness Openness to experience



Theory/Frame/Strategy Author(s) Year Instrument EmphasisFrench and Raven’s Bases of Power

French and Raven Reward Power Coercive Power Legitimate Power Expert Power Referent Power

Hoefsted’s Dimensions of Culture

Hoefsted Power distance Individualism Uncertainty avoidance Gender Egalitarianism

Maslow’s Hierarchy Maslow 7. Self-actualization6. Aesthetic5. Cognitive4. Esteem 3. Belongingness and love 2. Safety1. Physiological

Strategies for transforming organizations

Bennis & Nanus 1985 Clear vision Social architects Created trust Deployment of self through positive self regard

Reframing Organizations Bolman & Deal Structural frame Human resource frame political Symbolic frame Spiritual

Structural dimensions of organizations

Formalization Specialization Standardization Hierarchy of authority Complexity Centralization Professionalism Personnel Ratios



Hints on reading tables

1. Look for significance, is it less than or equal to .05?P<=.05, anything else is not worth talking about.

2. Is there a positive or a negative correlation? Look at the Pearson correlation row..272 is positive, -.109 is negative

3. Interpret chart as follows:If the correlation is positive (from step above), we say:The more, the more If the correlation is negative, we say:the more, the less

Ex: if structure and age have a correlation of .272 and a significance of .000, we say: the older I am, the more structure I believe the boss uses.

Ex: if structure and level have a correlation of -.068 and a significance of .046, we say: the higher in the hierarchy I am, the less structured I believe the boss is

A significance of .000 can be read as: 99% confidence that there is a relationship or.01% doubt that there is not a relationship

Null hypothesis are stated with “there is no relationship” or “there is no difference”

If we have a continuous independent variable (salary), we say:“There is no relationship between the leader’s use of structure and the salary of the respondent”We use a Pearson Correlation to test for relationships.

If we have a categoric independent variable (function), we say:“There is no difference in the leader’s use of structure as a result of the follower’s function”We use a one-way ANOVA to test for differences.When there are more than two categories, we run a Scheffe Post Hoc test.

The stronger the slope on a Pearson Correlation test, the stronger the correlation.

A T test compares correlations

A p<= .05 = 95% confidence

P value is the probability of an outcome or event.



55. Aims of SamplingGeneralizations are based on partial information because it is often impossible, impractical, or extremely expensive to collect data from all the individuals –or other units of analysis—covered by the research problem. Researchers can draw inferences on all those units (a set) based on a relatively small number of units (a subset) when the subsets accurately represent the relevant attributes of the entire set. The complete set of relevant unit of analysis, or data, is called population. When the data serving as the basis for generalizations is collected from a subset of the population, that subset is called a sample. When an attribute is found in the population, such as the median income or level of formal education can be measured, it is called a parameter; its counterpart in the sample is termed a statistic. The major objective of sampling theory is to provide the conceptual basis for making accurate estimates of the unknown values of the parameters based on calculated sample statistics. To estimate unknown parameters accurately from known statistics, researchers have to resolve three major problems; (1) the definition of the population, (2) the sample design, and (3) the size of the sample.

A single member of a sampling population (voter, a household, an event) is referred to as a sampling unit. Usually, sampling units have numerous attributes, one or more of which are relevant to the research problem.

I. The Population:Defined in terms of:

Content (individuals over 18) Extent (living in U.S.) Time (as of May 1, 1999)

(examples related to a population of eligible voters)

A. The Sampling Unit:A single unit of a sample population (e.g, a voter, a household, an event) or, as in cluster sampling, a collection of sampling units.

B. Finite and Infinite Populations:A population may be finite or infinite depending of whether the sampling units are finite or infinite.

A finite population contains a countable number of sampling units (i.e. all registered voters).

An infinite population consists of an endless number of sampling units (unlimited number of coin tosses).

C. Sampling FrameA complete listing of all the units from which the sampling units will be chosen. Problems found in sampling frames:

Incomplete frames: sample units found in the population that are missing (i.e., when researching real estate, you may obtain a list of all homeowners but the renters will not be included.)Clusters of elements: Sampling units are listed in groups rather than individuallyBlank Foreign elements: Sampling units in the sampling frame are not part of the research population (i.e., sampling frame defines eligible voters but the list includes individuals who are too young to vote.)

II. Sample Designs (problems associated with sampling designs)

Probability and Non-probability Sampling Probability sampling—the ability to specify the probability at which each sampling unit of the population will be included in the sample---all units have the same probability of being included in the sample.



Nonprobability sampling—There is no way of specifying the probability of each unit’s inclusion in the sample and there is no assurance that every unit has some chance of being included.

A. Nonprobability Sample DesignsConvenience Samples: selection of whatever sampling units are conveniently available. –cannot estimate the population’s parameters because there is no way of knowing how representative the sample is of the population.Purposive Samples: researchers use subjective judgment and attempt to select sampling units that appear to be representative of the population. Quota Samples: selection of a sample that is as similar as possible to the sampling population. (i.e. if population is 15 % Hispanic, then the researcher will use 15% Hispanics in his research).

B. Probability Sample Designs

Simple Random Sampling: a procedure that assigns to each of the sampling units of the population an equal and known nonzero probability in being selected. Systematic Samples: consists of selecting every Kth sampling unit of the population after the first sampling unit is selected at random from the total sampling units (i.e., every 100th individual)Stratified Samples: the population is first divided into homogeneous strata, followed by sampling conducted within each strata. Cluster Samples: Involves (1) selecting groupings (clusters) of units and then (2) selecting sampling units from those clusters: frequently used in large-scale studies because it is the least expensive sampling design.

III Sample Size: directly dependent on the value of the standard error and on the width of the confidence interval set by the researcher. The confidence interval can be made extremely narrow if the researcher is willing to take a high risk of being wrong, or very wide if the researcher decides to take a small risk.

A. Standard Error: a statistical measure indicating how closely sample results reflect (or deviate from) a parameter’s values; it is calculated from the distribution of all the sample means about the mean of the total of those samples.

B. Confidence intervals: A range, measured in units of standard error (z-scores) or percentages (confidence levels), that identifies the probability with which the value of a sample mean is identical to the value of the mean of the population parameter.

C. Determining the Sample Size: Researchers must decide how precise they want their sample results to be –how large a standard error is acceptable. They must decide how the results will be analyzed. If more than one variable is being examined, the researcher should decide whether a sample size satisfactory for one variable is adequate for the other variables.

IV. Nonsampling Errors: observation missing for reasons such as the refusal to be interviewed, an individual’s absence from the home, and misplaced forms. Nonresponse can introduce substantial bias into the findings:

The greater the rate of nonresponse, the greater the bias introduced. The seriousness of the bias depends on the extent to which the population mean of the nonreponse

stratum in the sample differs from that of the response stratum. Each of the following types of nonresponse influences the sample results in a different way:

1. Uninterviewables: people who are ill, illiterate, or have language barriers.2. Not found: people who have moved or are inaccessible3. Not-at-homes: people who are out when the interviewer calls but are reached later and their

responses are subsequently added.4. Refusals: people who refuse to cooperate or to answer all the survey questions.



56. Aims of the Social Sciences - description, explanation, prediction, control (N&N p. 7- 11)What is Science?Science: knowledge gathered only by means of scientific methodology. Although Science has no particular subject matter of its own, not every study of real-life phenomena is science. Science refers to a distinctive methodology, but not to any particular body of knowledge. What distinguishes the scientific approach to other modes of knowledge is the credibility they vest in the source or producer of knowledge(Who says so?), the procedure by which knowledge is produced (How do you know?), and the effect that knowledge has on people and their surroundings (What difference does it make?)

Approaches to knowledgeAuthoritarian Mode:Individuals who are socially and politically defined as qualified producers of knowledge (gurus, archbishops- religion, kings…)Mystical Mode:What is considered to be “truth” is obtained from authorities on the supernatural (prophets, diviners, mediums…). In its reliance on knowledge producers, the mystical mode is similar to the authoritarian mode. However, unlike other modes of knowledge, mysticism depends on the appearance of supernatural events and on the psychological and physical state (the receptivity) of the knowledge consumer. Rationalistic Mode:Rationalism-all knowledge can be obtained by strict adherence to the forms and rules of logic.

(1) The human mind can understand the world independent of its observable phenomena(2) Forms of knowledge exist that are independent of our personal experience.

The rationalistic mode is concerned with knowledge that is truth in principle as well as logically possible and permissible. Tautology: true solely by virtue of their logical form.

Scientific explanation The process of relating the phenomena to be explained to other phenomena by means of general laws. General laws comprise the framework in which particular explanations are derived.

Two basic types of scientific explanation:Deductive: a deductive explanation call for (1) a universal generalization, (2) a statement of the conditions under which the generalization holds true, (3) an event to be explained, and (4) the rules of formal logic. When using deductive explanation, a scientist explains a phenomenon by showing that it follows from an established universal law. Probabilistic or inductive: Not all scientific explanations are based on universal laws. This is particularly so in the case of the social sciences because few, if any, meaningful universal generalizations can be made. Instead, social scientists, as a rule use probabilistic or inductive explanations. A probabilistic explanation uses generalizations that express either an arithmetic relationship between phenomena or a tendency for such events to take place. The major limitation of inductive generalizations is that conclusions about specific cases cannot be drawn with complete certainty.

PredictionThe ability to make correct predictions is regarded as the outstanding characteristic of science. The expectation that scientific knowledge should lead to accurate predictions is based on the argument that if you know that X causes Y and that X is present; you can then predict that Y will occur.

UnderstandingThe 3rd essential component of social scientific knowledge is “understanding”. This term is used in two radically different ways-Verstehen ( or empathic understanding) and predictive understanding.



Verstehen: the natural and social sciences are separate bodies of knowledge because the nature of their subject matter is different.Predictive: logical empiricists take the position that social scientists can attain objective knowledge when studying the social as well as the natural world.

57. Archival Records (N&N p. 290-295)Archival Records

Archival records provide important opportunities of unobtrusive data collection, partially because they are quite diverse in character. Public RecordsFour kinds of public records may be distinguished:Actuarial records describe the rudimentary individual demographic characteristics of the population served by the record-keeping agency. Researchers use such actuarial records for both descriptive and explanatory purposes.Legislative and other official records, include judicial papers concerning court decisions, legislative activities, public votes, and budget decisions. These records are used to study phenomena such as socioeconomic behavior and shifts in political ideologies.Governmental and quasi-governmental documents contain information on diverse topics, such as birth and death records.The mass media are the reports, news items, editorials, and other information produced or transmitted by the mass media, and constitutes the most easily available source of data for social science research. Private RecordsPrivate records transmit individuals’ own definitions of situations or events in which they either participated directly or which they observed. One of the major issues researchers face in using private records is their authenticity. There are two kinds of inauthentic records: Records that have been produced by deliberate deceit - As a means of ensuring authenticity, several

procedures can be employed: o The researcher needs to examine authorship critically. o The researcher must establish the date of the document and verify the accuracy of the dates of the

events Records that have been unconsciously misrepresented - Although documents may not be false, they may

nevertheless misrepresent the truth for the following reasons: The authors of letters, diaries, or autobiographies may not clearly remember the facts.

58. Census versus a Sample (N&N p.281, )**See question No.1 for information on samples.The Census A census (taken every ten years), or population enumeration, is defined as the collection and recording of the demographic data that describe a population in a strictly defined territory, carried out by a government at a specific time and at regular intervals. The primary reason for undertaking a census in any period is to collect data that can facilitate the government domestic policies such as taxation, induction into the military, appropriation of government aid, and apportionment of elected bodies.

The U.S. CensusThe Bureau of the Census has introduced or participated in devising a number of statistical and technological innovations. Census data are used to investigate, among other things, changes in population, the structure of households, neighborhood and housing characteristics, and trends in family composition. Population sampling (questions to be asked of only a portion of the surveyed population) is employed because it has a number of advantages over a complete count census: it is more economical, more efficient, and faster to complete. The use of



population sampling allows the Bureau of the Census to expand the scope and detail of the data gathered regarding an individual’s housing conditions and employment status. Some population sample surveys conducted by the census bureau are designed to collect information regarding attitudes towards a wide variety of issues that may not be purely demographic in nature.

Errors in Census StatisticsThe modern census constitutes an important source of reliable statistical information. However, errors due occur, and users of population enumerations need to be aware of the methodological limitations of the data. Census data are prone to two types of errors: errors in coverage and errors in content. Errors in coverage mean that a person or group is either not counted at all or counted twice. Errors in content occur whenever information is incorrectly reported or tabulated.

59. Conceptual versus Operational definitions (N&N p. 26-28)

A Concept like other symbols is an abstraction, a representation of an object, or one of that objects properties, or a behavioral phenomenon. Scientists begin the process of research by forming concepts. They allow us to categorize things. Concepts need to be specific especially when classifying things. Concepts have to be useful. Concepts and symbols constitute a professional language. Ex: freedom

Functions of concepts:Concepts do not actually exist as empirical phenomena – they are abstract symbols of phenomena. Concepts are heuristic devices; they provide the tools for communication.

Fallacy of reification: the error of regarding abstractions as real rather than the product of human thought.

Concepts allow us to develop a perspective, a way of looking at empirical phenomena that can be shared with others.Concepts allow scientists to classify and generalize.Concepts serve as components of theory.

Definitions

Conceptual definitions: definitions that describe concepts by using other concepts are called conceptual definitions.

Primitive terms: concepts that cannot be defined by other concepts. Ex: colors, sounds, smells, tastes.Derived terms: terms that can be defined by using primitive terms. Ex: if agreement exists on the meanings of “individual”, “interact”, and “regularly”, we can define the concept “group” (derived term)

Conceptual definitions are neither true nor false.

Operational definitions bridge the conceptual-theoretical and empirical-observational levels. Observational definitions define “what to do” and “what to observe” in order to make the phenomenon studied perceivable and understandable. Operational definitions make it possible to confirm the existence of concepts.

The congruence problem:When researchers make the transition from the conceptual level to the empirical-observational level, or vice-versa, two important issues arise. The first is the degree of congruence or agreement between the conceptual and the operational definitions. The second major issue involved in the transition from the conceptual to the observational level arises when concepts cannot be defined operationally. Without an operational definition, scientists cannot communicate and the concept cannot be used because it cannot be verified.



Theoretical Import:The majority of social scientists hold that they should evaluate scientific concepts not only in terms of their observability but also in terms of their theoretical import, that is some concepts acquire meaning only within the context of the theory in which they are found. For example, the concept “anomie” becomes meaningful in the contexts of Durkheim’s theory of suicide.

Note: Bridgman’s main idea was that the meaning of every scientific concept must be made observable through the use of a set of procedures (operations) that test the criteria for applying the scientific concept. The meaning of a concept is fully and exclusively determined by its operation definition. Concepts have both conceptual and operational components. It must stand the test of scientific research and theorizing; the two aspects must support and complement each other.

60. Conditions for Causation (N&N p. 92-94)

CAUSAL INFERENCESAt the heart of all scientific explanations is the idea of causality; that is, an independent variable is expected to produce a change in the dependent variable in the direction and of the magnitude specified by the theory. However, if a scientist observes that whenever the independent variable varies, the dependent variable varies too, it does not necessarily mean that a cause-and-effect relationship exists. In practice, the demonstration of causality involves three distinct operations: demonstrating covariation, eliminating spurious relations, and establishing the time order of the occurrences.

CovariationCovariation simply means that two or more phenomena vary together. In scientific research, the notion of covariation is expressed through measures of relations commonly known as correlations or associations. Thus in order to infer that one phenomenon causes another, a researcher must find evidence of a correlation between phenomena.

NonspuriousnessThe second operation requires the researcher to demonstrate that the covariation he or she has observed is nonspurious. A nonspurious relation is a relation between two variables that cannot be explained by a third variable. If the effects of all relevant variables are controlled for and the relation between the original two variables is maintained, the relation is nonspurious.

Time OrderThe third operation, time order, requires the researcher to demonstrate that the assumed cause occurs first or changes prior to the assumed effect.

61. Content Analysis (N&N p. 295-300)

Content Analysis Content analysis provides social scientists with a systematic methodology for analyzing the data obtained from archival records, documents, and the mass media. Instead of observing people’s behavior directly or asking them questions about that behavior, the researcher obtains copies of the communications produced and asks questions about those records. The content of the communication serves as the basis for making inferences. Broadly defined, content analysis is “any technique for making inferences by systematically and objectively identifying specified characteristics of messages”. Researchers attempt to guarantee objectivity by carrying out their analysis according to specific rules that enable different investigators to obtain the same results from the same messages or documents.



*Example of content analysis: voice recognition

Application of Content AnalysisResearchers may also utilize this method to explore other elements of communication: A researcher may analyze messages to test hypothesis about characteristics of the text, what inspired the

message, or the effects brought on by communicating the message. Content analysis is most frequently applied in describing the attributes of messages.

The second application of content analysis – who says what and why to whom – occurs when a text is analyzed in order to make inferences about the sender of the message and about its causes or antecedents.

In the third major application of content analysis, researchers make inferences about the effects of messages on recipients. The researcher determines the effects of, say, A’s messages on B, by analyzing the content of B’s response. In summary, content analysis helps to isolate the relevant factors that can explain the recipients’ behavior within the process of communication.

Units and CategoriesContent analysis involves the interaction of two processes: specification of the characteristics of the content measures and application of rules for identifying and recording the characteristics appearing in the texts analyzed. The recording unit is the smallest body of content (or text) in which a reference appears and is noted. The context unit is the largest body of content (or text) that must be examined when characterizing a recording unit.Five major recording units have been used in content analysis research: The word is the smallest unit generally applied in research. A theme is a simple sentence, that is, a subject and a predicate. In some studies, a character is employed as the recording unit. Because of its complexity, the paragraph is used infrequently as a recording unit. The item is the whole unit the producer of a message employs.

The analytic categories must relate to the research purpose; they must be exhaustive and mutually exclusive. Exhaustiveness ensures that every recording unit relevant to the study can be classified. Mutual exclusivity guarantees that no recording unit will be included in more than one category within the system.Most content analysis is quantitative in one form or another. In order to perform quantification, researchers employ one of the following four systems for enumeration:1. A time-space system based on measures of space or units of time to describe the relative emphases of

different categories in the analyzed material. 2. An appearance system in which encoders search the material for the appearance of certain attributes.3. A frequency system in which every occurrence of a given attribute is recorded.4. An intensity system, generally employed in studies dealing with attitudes and values.

62. Correlational Designs Evaluating Scientific Research – Leavitt

o Correlational study: quantitative strategies - Scores are obtained from a group of subjects (people, animals, vegetables, minerals, institutions) on two different measures. The researcher determines if high scores on one measure tend to be associated with high, low, or unpredictable scores on the other measure. Although experimentation is the gold standard for establishing that one event causes another, alternatives are sometimes necessary. Two types of correlation designs: (p 78)

Case control – Victims of a disease and people without the disease are investigated in detail in an attempt to identify lifestyle, diet, or other differences between them.



Cohort Study - Volunteers are asked in detail about their lifestyles and environment. Then their health is monitored, often for the rest of their lives, to see which diseases they get and whether the diseases can be associated with specific factors.

o Correlational studies are designed to measure relationships between variables, that is, how scores on one variable correspond to scores on the other. Descriptive studies, surveys, and archival studies often ask correlational questions. (p. 82)

63. Descriptive Statistics

THE ROLE OF STATISTICS(Univariate – one variable at a time)The field of statistics involves methods for describing and analyzing data and for making decisions or inferences about phenomena represented by the data. Methods in the first category are referred to as descriptive statistics; methods in the second category are called inferential statistics. Descriptive statistics enable researchers to summarize and organize data in an effective and meaningful way. They provide tools for describing collections of statistical observations and reducing information to an understandable form. Inferential statistics allow researchers to make decisions or inferences by interpreting data patterns. Researchers use inferential statistics to determine whether an expected pattern designated by the theory and hypothesis is actually found in the observations. Requires that we have a notion of the population and a sample and that I make a statement about that sample that I believe is true of the population.(NOTES)Sampling variability or error. How different is the sample from the inference of the population being made. Errors happen regardless. Simple Random SamplingRandom Sample. Every observation has the same probability of being selected.Cluster Random SamplingCluster. Groups or clusters are samples. In clusters, the probability of error is lower.

64. Epistemology: Rational and Empirical (N&N p. 4-7)

Epistomology is the study of the foundations of knowledge. The scientific approach is based on a set of basic assumptions, fundamental premises considered to be unproven and un-provable. These assumptions are necessary prerequisites for conducting the scientific discourse. Epistemology examines the nature of these premises and how they work. Reviewing these assumptions can help to understand better the scientific approach and the claim that this approach to knowledge about the natural world is superior to other approaches.

Basic assumptions of science

1. Nature is orderly: there is a recognizable regularity and order in the natural world; events don’t just occur.

2. We can know nature: The assumption that we can know nature is not more provable than are the assumptions that nature is orderly and that the laws of nature do exist. Individuals and social phenomena exhibit sufficient recurrent, orderly, and empirically demonstratable patterns to be amenable to scientific investigation. The human mind is capable of knowing not only nature, also itself and the minds of others.

3. All natural phenomena have natural causes: The assumption that all natural phenomena have natural causes (or antecedents) lies at the core of the scientific revolution. The scientific approach opposes fundamentalist religion as well as spiritualism and magic. If scientists cannot explain the occurrence of phenomena in natural terms, they reject other arguments including supernatural ones.



4. Nothing is self-evident: scientific phenomena are not self-evident; claims for truth must be demonstrated objectively. Scientists cannot rely on tradition, subjective beliefs, and cultural norms to verify scientific knowledge.

5. Knowledge is based on experience: if science is to help us understand the real world, it must be empirical; that is, it must rely on our perceptions, experience and observation. Perception is a fundamental tool of the scientific approach, and it is achieved through out senses.

6. Knowledge is superior to ignorance: Closely related to the assumption that we can know ourselves as well as we can know nature is the belief that knowledge should be pursued for its own sake as well as for its contribution to improving the human condition.

Rationalism is a school of philosophy in which all knowledge can be obtained by strict adherence to the forms and rules of logic. The underlying assumptions of rationalism are:(1) The human mind can understand the world independent of its observable phenomena, and (2) forms of knowledge exist that are independent of our personal experiences. In other words, the rationalistic

mode is concerned with knowledge that is true in principle as well as logically possible and permissible.

Empirical is knowledge that relies only on experience, perceptions, and behavior; empiricism represents the fundamental tenet of the scientific approach.

65. Erosion Measures versus Accretion Measures (N&N p. 287-288)Unobtrusive Measures

An unobtrusive measure (also known as nonreactive measure) is any method of data collection that removes the researcher from any direct contact with the interactions, events, or behavior being investigated. Unobtrusive measures avoid data contamination, a problem that often arises when investigators and research participants interact in data collection situations. With Unobtrusive measures, the individual “is not aware of being tested, and there is little danger that the act of measurement will itself serve as a force for change in behavior or elicit role-playing that confounds the data”. Eugene Webb and his colleagues distinguish between two broad classes of physical evidence: Erosion measures are the signs left after use of an object. For example, the wear on library books is an

index of their popularity. Accretion measures constitute the evidence deposited by a group in the course of their activities. For

example, the amount of dust on machines has been taken as an indicator of the frequency of their use.

66. Experimental Designs (N&N p. 90, 133)

The classic experimental design consists of two comparable groups: an experimental group and a control group. These two groups are equivalent except that the experimental group is exposed to the independent variable (also termed the treatment) and the control group is not. Assignment of cases (or subjects) to either the experimental or the control group is based on chance - cases are randomly assigned to the groups. To assess the effect of the independent variable, researchers take measurements on the dependent variable, designated as scores, twice from each group. One measurement, the pretest, is taken for all cases prior to the introduction of the independent variable in the experimental group; a second, the posttest, is taken for all cases after the experimental group has been exposed to the independent variable. The difference in measurements between posttest and pretest is compared between the two groups. If the difference in the experimental group is significantly larger than in the control group, it is inferred that the independent variable is causally related to the dependent variable.

The Structure of the Classic Experimental DesignX designates the independent variable; O1, O2, O3, and O4, the measurements on the dependent variable; R, the random assignment of subjects to the experimental group and the control group; and de and dc, the difference between the posttest and the pretest in each group.



Why Study Experiments?The reasons are twofold. First, the classic experimental design helps us understand the logic of all research designs; it is the model against which we can evaluate other designs. Second, an experiment allows the investigator to draw causal inferences and observe, with relatively little difficulty, whether or not the independent variable caused changes in the dependent variable.

Experimental Designs: (pg 133)

Advantages:

o Experiments enable researchers to exert a great deal of control over extrinsic and intrinsic variables, strengthening the validity of causal inferences (internal validity).

o Experiments enable researchers to control the introduction of the independent variable so they may determine the direction of causation.

Disadvantages:

o External validity is weak because experimental designs do not allow researchers to replicate real-life social situations.

o Researchers must often rely on volunteer or self-selected subjects for their samples. Therefore, the sample may not be representative of the population of interest, preventing researchers form generalizing to the population and limiting the scope of their findings.

67. Focus Group (N&N p. 68)

Focus Groups are becoming an increasingly popular data collection method among social scientists and pollsters, because of the nature of the information that can be gathered. When using this method, the researcher brings together a group of individuals, usually chosen on the basis of similar age, social status, or some other characteristic important for the goals of the research.

Focus groups provide rich information due to the heterogeneous/homogeneous groups Participant’s interaction with others in the group can be observed easily. Interactions can also occur w/the

moderator. Used for exploratory research regarding topics ranging from attitudes to efficacy of products and services

(i.e., cars or health programs) Used to create change in the attitudes of the general population (i.e., political party preference) Advantages: a) researcher has access to more personally articulated accounts of feelings and experiences

b) language and concepts of participants, and c) due to the egalitarian atmosphere, participants can raise issues that are truly of concern to them in a more straightforward manner

Focus groups can raise ethical issues for social scientists, e.g. confidentiality and anonymity of participant Examples of ethical issues: information revealed by minors could cross legal barriers (i.e., privacy, minor) Focus groups should be limited to a small number such as eight; larger focus groups can be broken up into

smaller focus groups for less complexity and minimal problems. Focus groups also serve much like the “one-shot data collection” method of surveys/questionnaires Focus groups provide a means of collecting QUALITATIVE data. Main object of Focus groups is to observe the dynamic interaction and collaboration of the participants

when discussion occur (i.e., one participant reacts to another’s statements, etc.) Advantages: better than Face to Face interviews; able to observe natural interaction rather than pressured

reaction; and unobtrusive method.



Procedure of Focus Group Facilitator must be trained as follows:

o Introduction and Introductory activitieso Statement of the basic rules and guidelines for the interviewo Short question and answer discussionso Special activities or exerciseso Guidance for dealing with sensitive issues

Small group of participants Open-ended questions

68. Hypothesis Testing (N&N p. 437-438)

A hypothesis is a tentative answer to a research problem, expressed in the form of a clearly stated relation between independent and dependent variables. Hypotheses are tentative answers because they describe relations meant to be tested through the process of research; that is, hypotheses are considered to be credible answers to research problems only after they have been tested empirically.

Researchers derive hypotheses deductively on the basis of direct observations, on the basis of their experience and intuition, or by using a combination of these approaches.

Hypotheses share four common characteristics:1. Hypotheses must be clear – one has to define all the variables included. 2. Hypotheses are specific – investigators have to point out the relations expected to be found

among the variables if terms of direction and the conditions under which the relations will hold. 3. Hypotheses are testable with available methods – a researcher can arrive at clear and specific

hypotheses yet find that there are no research methods to test them. 4. Scientific hypotheses are value-free – the researchers own values, biases, and subjective

preferences have no place in scientific research, which is based on the objective observation of empirical data.

Hypothesis: informed statements about something.

Two kinds of hypotheses: 1. Research2. Null – a statistical entity, it always has a 0 in it.

Sources of hypotheses- Previous results from:

- Abstracts, indexes, journals…- Unpublished studies such as a dissertation or a Master thesis- Government documents- Educational resources (research)- The census- Income tax returns

The first step in testing a hypothesis is to formulate it in statistical terms that can be analyzed with statistical tools. For example, if the purpose of the investigation is to establish that educated individuals have higher incomes than non-educated individuals, the statistical hypothesis might be that there is a positive correlation between education and income, or that the mean income of a highly educated group will be greater than the mean income of a group with a lower level of education. In both cases, the researcher formulates the statistical hypothesis in terms of descriptive statistics (such as a correlation or a mean) and specifies a set of conditions about these statistics (such as a positive correlation or a difference between the means).



The statistical hypothesis always applies to the population of interest. Sample results are subject to sampling fluctuations, which could account for the difference between the means or the positive coefficient. Thus, a result that supports the hypothesis may imply either that the hypothesis is true or that it is false, with the results being due to chance factors. When a sample result matches or deviates from expectation, either case can imply that the hypothesis is either true or false.

Two statistical hypotheses are involved in hypothesis testing. The first is the research hypothesis, which is usually symbolized by H1. The second, symbolized by H0, is the null hypothesis; H0 is determined by H1, which is really what you want to know; H0 is the antithesis of H1.

A null hypothesis can be expressed in several ways. However, it is usually an expression of no difference or no relationship between the variables. Researchers express both the null hypothesis and the research hypothesis in terms of the population parameters, not in terms of the sample statistics. The null hypothesis is the one that the researcher tests directly; the research hypothesis is supported when the null hypothesis is rejected as being unlikely.

The need for two hypotheses arises out of a logical necessity: the null hypothesis is based on negative inference in order to avoid the fallacy of affirming the consequent – that is, researchers must eliminate false hypothesis rather than accept true ones.

69. Informed Consent (N&N p. 72-76)Social scientists agree that any participation in a study should be done with informed consent. This is absolutely necessary when individuals are exposed to risks or forfeit their personal rights. Individuals agree to surrender their autonomy temporarily for the research. The reasons for informed consent – derived from cultural values and legal considerations. People should

be free to determine their own behavior because freedom is a cherished value. Advocating informed consent is the argument that informed individuals are the best able to promote their own well-being.

The meaning of informed consent – Although the principle of informed consent enjoys widespread acceptance, researchers have yet to implement it consistently. Informed consent is defined as “the procedure in which individuals choose whether to participate in an investigation after being informed of facts that would be likely to influence the decision.” Informed consent involves four elements: competence, voluntarism, full information and comprehension.

o Competence: the assumption underlying the principle of informed consent, a mature individual who has been given the relevant information will be the correct decision. Individuals with impaired mental capacity typically cannot provide consent or cannot exercise self-determination.

o Volunteerism: ensures the freedom of the participants to choose whether or not to take part in a research project and guarantees that exposure to known risks is undertaken voluntarily. Researchers must establish an egalitarian relationship with the participants and view the research process as a joint adventure.

o Full Information: to be acceptable, consent must be voluntary and informed. Consent may be uninformed yet given voluntarily or fully informed yet involuntary.

o Comprehension: it refers to our “confidence that the participant has provided knowing consent when the research procedure is associated with complex or subtle risks.”

The strategy of reasonably informed consent:

A fair explanation of the procedures to be followed and their purposes. A description of the attendant discomforts and risks reasonably to be expected A description of the benefits reasonably to be expected A disclosure of appropriate alternative procedures that might be advantageous to the participant An offer to answer any inquiries concerning the procedures An instruction that the person is free to withdraw consent and to discontinue participation in the project at

any time without prejudicing the status of the participant



Criterion for deciding what information is given to participants has become crucial. One criterion is the legal framework of what a “reasonable and prudent person” would want to know. The researcher must fully disclose all information that may be concerned with an individual’s welfare.

The responsibility of the scientist - Ensuring informed consent is the most general solution to the problem of how to promote social science research without encroaching on the participants’ rights and welfare. If all conditions are met, then the scientist can be relatively competent that the participants’ rights and welfare have been protected.

70. Internal Validity and External Validity (N&N p.94-109)

Control: The internal validity of research designs Control, the third criterion of causality, requires that the researcher rule out other factors as rival explanations of the observed association between the variables under investigation. Such factors could invalidate the inference that the variables are causally related. Donald Campbell and Julian Stanley have termed this issue the problem of internal validity. In order to establish internal validity, a researcher must answer the question of whether changes in the independent variable, did in fact, cause the dependent variable to change. The factors that may jeopardize internal validity can be classified as those that occur prior to the research operation -extrinsic factors- and those that are intrinsic to it and impinge on the results during the study period.

Extrinsic factors: When researchers must use some other means of assignment, possible biases- selection effects -can be introduced into the experiment because extrinsic factors may have produced differences between the experimental and control groups prior to the research operation.

Intrinsic factors: Intrinsic factors include changes in the individuals or the units studied that occur during the study period, changes in the measuring instrument, or the reactive effect of the observation itself. The following are intrinsic factors that may invalidate a causal interpretation given to research findings:1. History. History refers to all events that occurred during the time of the study that might affect that individuals studied and provide a rival explanation for the change in the dependent variable. 2. Maturation. Maturation involves biological, psychological, or social processes that produce changes in the individuals or units studied with the passage of time. Maturation like history is a serious threat to the validity of causal inferences. 3. Experimental Mortality. Experimental mortality refers to dropout problems that prevent the researcher from obtaining complete information on all cases. When individuals drop out selectively from the experimental or control group, the final sample on which complete information is available may be biased. 4. Instrumentation. Instrumentation designates changes in the measuring instruments between the pretest and the posttest. To associate the difference between posttest and pretest scores with the independent variable, researchers have to show that repeated measurements with the same measurement instrument under unchanged conditions will yield the same result. 5. Testing. The possible reactivity of measurement is a major problem in social science research. In other words, the process of testing may itself change the phenomena being measured. The effect of being pretested might sensitize individuals and improve their scoring on the posttest. A difference between posttest and pretest scores could thus be attributed not necessarily to the independent variable but rather to the experience gained by individuals while taking the test.6. Regression artifact. The regression artifact is a threat that occurs when individuals have been assigned to the experimental group on the basis of their extreme scores on the pretest that measures dependent variables. 7. Interactions with selection. Many of the intrinsic factors that pose a threat to the internal validity of experiments can interact with selection factors and present added threats to the validity of the study. The factors that are most commonly cited are selection-history and selection-maturation. The selection-history interaction poses a threat when the experimental group and the control group are selected from different settings, so that each setting might affect their response to the treatment. Selection-maturation interaction occurs when the experimental group and the control group mature at a different rate.



Procedures of control Extrinsic and intrinsic factors that threaten the internal validity of causal inferences may be controlled by several procedures. Scientists employ two methods of control to counteract the effect of extrinsic factors: the first matching, controls for variables that are known to the investigator prior to the research operation. The second, randomization, helps to offset the effect of unforeseen factors. Using a control group helps counteract the effects of intrinsic factors.

Matching- Matching is a way of equating the experimental and control groups on extrinsic factors that are known to be related to the research hypothesis. Two methods can be used to match the experimental and control groups: precision matching and frequency distribution. With precision matching (also known as pairwise matching), for each case in the experimental group, another case with identical characteristics is selected for the control group. The main drawback in this method is the difficulty of matching a large number or factors.An alternative and more efficient method of matching is frequency distribution. With this method, the experimental and control groups are made similar for each of the relevant variables separately rather than in combination. Thus instead of a one-to-one matching, the two groups are matched on central characteristics.

The most basic problem in using matching as a method of control is that ordinarily the investigator does not know which of all the relevant factors are critical in terms of explaining the independent-dependent variable relationship.

Randomization – Other factors of which the investigator is unaware may lead to erroneous causal interpretations. Researchers avoid this problem by using randomization, another process whereby cases are assigned to the experimental and control groups. Randomization can be accomplished by flipping a coin, by using a table of random digits, or by another method that ensures that any of the cases has an equal probability of being assigned to either the experimental group or the control group. The advantage of this method is that it controls for numerous factors simultaneously even when the researcher is unaware of what they are. With this method, the investigator can equalize the experimental and control groups on all initial differences between them.

Control group – Researchers control intrinsic factors by using a control group from which they withhold the experimental stimulus. By using a control group, the researcher controls most of the intrinsic factors that could threaten the validity of the experiment. The use of a control group will help in counteracting the effects of factors that interact with selection only if researchers use it in conjunction with methods that control for extrinsic factors, such as matching and randomization.

Generalizability: External Validity Most research is concerned not only with the effect of one variable on another in the particular setting studied but also with its effect on other natural settings and on larger populations. This concern is termed the external validity of research designs. The two main issues of external validity are the representativeness of the sample and the reactive arrangements in the research procedure.

Representativeness of the sample. To ensure the external validity of the study, the characteristics of the subjects must reflect the characteristics of the population the researcher is investigating. In theory, the experimental and control groups should each constitute a probability sample of the population, In practice, however, drawing a probability sample for an experiment often involves problems such as high cost and a high rate of refusal to cooperate.



Reactive arrangements. External validity can be compromised when the experimental setting or the experimental situation does not reflect the natural setting or situation to which researchers wish to generalize. When a study is carried out in a highly artificial and contrived situation, such as a laboratory, features of the setting might influence the subjects’ response.

71. Levels of Measurement (N&N p. 143-147)

Nominal level: At the nominal level, numbers or symbols are used to classify objects or observations. Phenomena in one classificatory category are equal to each other, but not to phenomena in any other category (i.e., categories at the nominal level display the properties of exhaustiveness and internal equivalence).

Examples:Gender, nationality, ethnicity, religion, marital status, place of residence (e.g.. urban or rural), and party identification are all examples of nominal values. Thus, when we assign the symbols 1 and 2 to the male and female members of a population, respectively, we are only saying that it is possible to classify a given population into males and females.

Ordinal level: When variables exhibit some relation to each other, they can be measured at the ordinal level. Such relations can be designated by the symbol > (greater than) or < (less than). The ordinal level of measurement also has the property of internal equivalence.

Examples:As an example of measurement at the ordinal level, consider the measurement of attitudes. Public opinion survey researchers usually measure attitudes by means of a series of questions; the possible answers to those questions are ranked in ascending or descending order. Ordinal Ranking ScaleRank Value1 Agree strongly2 Agree 3 Disagree4 Disagree strongly

Interval level: When the exact distance between each of the observations is composed of fixed and equal units, measurement is carried out at the interval level. Phenomena at this level also display the property of internal equivalence within each group, and one observation can be greater (or lesser) than another.

Examples:With interval measurement it is possible to say that Sue earns more than Mike, but also that Sue earns, say $5000 more than Mike. Other examples of variables measured at the interval level are income, intelligence (IQ), scholastic aptitude (SAT scores), voter turnout, and crime rates.

Ratio level: When variables have natural, absolute, and fixed zero points, they can measured at this



level. The ratio level also has the property of internal equivalence within a group, relations in which one variable can be greater than another, and a fixed interval. Because of the precision of their numerical measures, variables at this level can undergo the most powerful statistical manipulation.

Examples:Variables such as weight, time, length, and area have such zero points and therefore can be measured at the ratio level. At the ratio level of measurement, we apply the arithmetic operations and numbers to the total amount measured from the absolute zero point.

72. Mail Survey (N&N p. 206-213)

The mail questionnaire is an impersonal survey method. Under certain conditions and for a number of research purposes, an impersonal method of data collection can be useful. As with any method, however, mail questionnaires have both advantages and disadvantages. Advantages:

o The low cost compared to other methods. o Biasing error is reduced because respondents are not influenced by interviewer characteristics or

techniques.o Questionnaires provide a high degree of anonymity for respondents. This is especially important

when sensitive issues are involved.o Respondents have time to think about their answers and/or consult other sources.o Questionnaires provide wide access to geographically dispersed samples at low costs.

Disadvantages:o Questionnaires require simple, easily understood questions and instructions.o Questionnaires do not offer researchers the opportunity to probe for additional information or to

clarify answers.o Researchers cannot control who fills out the questionnaire.o Response rates are low.

Factors Affecting the response rate of mail questionnaireso Sponsorship – the sponsorship of a questionnaire has a significant effect on respondents, often

motivating them to fill it out and return it. Government sponsored questionnaires obtain high response rates, while relatively little-known commercial organizations get low response rates.

o Inducement to respond – researchers who use mail surveys must appeal to the respondents and persuade them that they should participate by filling out and mailing back the questionnaires.

o Questionnaire format and methods of mailing – designing a mail questionnaire involves typography, color, and length and type of cover letter. Larger investments in format and typography will pay off in a higher response rate.

o Cover letter – the cover letter must succeed in convincing the respondents to fill out the questionnaire.

o Type of mailing – questionnaires that are not accompanied by a postpaid return envelope obtain few responses.

o Timing of mailing – trends show that summer and holidays produce low response rates.o The total design method (TDM) – this is a standardized set of step-by-step procedures that is

divided in two parts: questionnaire construction and survey implementation. TDM focuses on follow-up. The most common follow-up is sending reminder postcards to respondents.

o Selection of respondents – determined by the nature of the study and the characteristics of the population. Certain characteristics of potential respondents are associated with a high or low response rate.

Evaluating the response rateo Non-response is a serious problem. Studies have shown that mail questionnaires addressed to the

general population are likely to result in an upward bias in education.



o Scientists do not agree on what constitutes an acceptable response rate. Government and academic surveys have higher response rates than small organizations.

o Response rates to mail questionnaires have been improving with the increased standardization of follow-up techniques.

73. Measures of Association such as Tau, Correlation, Gamma (N&N p. 361-381)

Measurement of Relationship

Measures of relationship are often referred to as correlation coefficients; they reflect the strength and the direction of association between the variables and the degree to which one variable can be predicted from the other. The notion of prediction is inherent in the concept of covariation. When two variables covary, it is possible to use one to predict the other.

Proportional Reduction of ErrorThe proportional reduction of error is defined as follows:

b - a b

where b = the original number of errors (before employing the independent variable as a predictor) a = the new number of variables (after employing the independent variable as a predictor)

The proportion varies between 0 and 1 and is expressed as a percentage, with 0 indicating that there is no reduction in prediction error (0 percent) and 1, that there is 100 percent reduction in prediction error.There are two rules of doing things:1. Predict with best representation of distribution: mean2. Predict with something else: other

Nominal measures of Relationship

Lambda, the Guttman Coefficient of Predictability

The correlation lambda ( ) , also known as the Guttman coefficient of predictability, is suitable for calculating relationships between nominal variables.Lambda is an asymmetrical coefficient, in that it reflects relationships between variables in one direction only. In practice, it is often represented as , a indicating that it is asymmetrical. The strength of the association between the two variables reflects the improvement in prediction we can attain with the aid of a second variable. Lambda may range from zero to one; zero indicates that there is nothing to be gained by shifting from one prediction rule to another, whereas one reflects a situation where by using an independent variable we can predict the dependent variable without any error at all.

Limitations of Lambda. Lambda has a limitation in situations where the model frequencies of the independent variable are all concentrated in one category of the dependent variable. In such a case, Lambda will always be zero, even in instances where the two variables are in fact related.

Ordinal Measures of RelationshipWhen both variables of a bivariate distribution are ordinal, the construction of a measure of relationship is based on the principle property of the ordinal scale. Researchers use the ordinal scale to rank observations in relation to the variables being measured. With a single variable, researchers are generally interesting in evaluating the relative position of the observations on the variable. When observations display the same order on both variables, the relationship is said to be positive; when the order is inverse, so that the observation ranking highest on one variable is the lowest on the second variable, the



relationship is negative. When there is no clear pattern in the relative position on the observations on both variables, the variables are said to be independent.

The Pair ConceptMost ordinal measures of relationship are based on the pair as a unit of analysis and the relative ranking of the two parts of the pair on both variables.

GammaGamma (y or G), a coefficient used for measuring the association between ordinal variables, was developed by Leo Goodman and William Kruskal. It is a symmetrical statistic, based on the number of same order pairs (Ns) and the number of different-order pairs (Nd). Tied pairs play no part in the definition of Gamma. Gamma can vary from 0 to +- 1 (plus or minus). When all the pairs are same-order pairs (Nd = 0), gamma equals 1.0When all the pairs are different-order pairs (Ns = 0), gamma equals -1 (negative).A coefficient of +_ 1.0 indicates that the dependent variable can be predicted on the basis of the independent variable without any error. When the number of different-order pairs is equal to the number of same-order pairs, gamma is zero.A gamma of zero reflects that there is nothing to be gained by using the independent variable to predict the dependent variable.

Limitations of Gamma. The main weakness of gamma as a measure of ordinal association is the exclusion of tied pairs from its computation.

Kendall’s Tau-bWhen there are many tied pairs, researchers use a different measure that handles the problem of ties. It is Kendall’s Tau-b: defined as follows:

Ns – Nd (Ns + Nd + Ty)(Ns + Nd + Tx)

Tau-b varies from -1 to +1 and is a symmetrical coefficient. It has the same numerator as gamma but has a correction factor for ties in its denominator (Ty and Tx). Gamma will always exceed tau-b. With no ties, its value will be identical with tau-b.Kendall’s tau-b is used for measuring the association between ordinal variables. Examples of ordinal values: good best better; win place show

Interval Measures of Relationship

At lower levels of measurement, a researchers’ ability to make predictions is restricted, even when the variables he is considering are associated.

Prediction RulesWhen the variables they are analyzing are at least interval, researchers can be more precise in describing the nature and the form of the relationship. Most relationships between interval variables can be formulated in terms of a linear function rule. A function is said to be linear when pairs of (X,Y) values fall exactly into a function that can be plotted as a straight line. All such functions have rules of the form Y = a + bX, where a and b are constant numbers.

Linear RegressionThe method of specifying the nature of a relationship between two interval variables using a linear function is referred to as regression analysis. Scientists use regression to find some algebraic expression by which to represent the functional relationship between the variables. The equation Y = a + bX is a linear regression equation, meaning that the function describing the relation between X and Y is that of a straight line. Ordinarily researchers display the observations of X and Y – and the regression line connecting them – in the form of a graph.



Criterion of Least SquaresThe regression equation, however, is only a prediction rule; thus there are discrepancies between actual observations and the ones predicted. The goal is to construct an equation in which the deviations, or error of prediction, will be at the minimum. If the researcher adopts a specific criterion in determining a and b of the linear equation, it is possible to create a function that will minimize the variance around the regression line. This is the criterion of least squares, which minimizes the sum of the shared differences between the observed Y’s and the Y’s predicted with the regression equation.

Pearson’s Product – Moment Correlation Coefficient (r)The square root of r2 , or r, designated Pearson’s product – moment correlation coefficient or Pearson’s r, rather than r2 , is used as a coefficient of correlation. Pearson’s r ranges from -1.0 to +1.0, where a negative coefficient indicates an inverse relation between the variables. Pearson’s r is an interval measure of relationship that reflects the proportional reduction of error when one shifts from the mean as a prediction rule to the linear regression equation.*Pearson’s product estimates a population parameter (the only one)*Assumptions (Pearson’s Product)

Linearity Normality: assumes that the population from which they come is normally distributed Homoscedasticity: the distribution of errors is normal.

*If the assumptions are false, we say the assumptions have been violated. Violation causes the correlation that you compute to be biased, untrue, no confidence*Equation for a straight line: x = a + bx

*Four levels of measurement – Measures of associations: Nominal Ordinal: Gamma Interval & Ratio: Pearson’s Product / -1 to 1 / no problems with ties Gamma & Tau-b: symmetric -1 to 1 Gamma is higher than Tau-b

74. Measures of central tendency (N&N p. 328-335)Measures of Central Tendency

Statistical measures that reflect a typical or an average characteristic of a frequency distribution are referred to as measures of central tendency. The three measures social scientists most commonly use are the mode, the median, and the arithmetic mean.

Mode. The mode is the category or observation that appears most frequently in the distribution. It is used as a measure of central tendency mostly with distributions of nominal variables. Most distributions are unimodal, that is they include only one category in which the most cases are concentrated. At times, however, the distribution is bimodal: It has two such maximum points. The advantage of the mode is that it is easy to identify by inspecting the frequency distribution. Median. The median is a positional measure that divides the distribution into two equal parts. It is defined as the observation that is located halfway between the smallest and the largest observations in the distribution. Ex: 1,3,4,6,7 median = 4For an odd number of cases: (N + 1)/2 Ex: 6, 9, 11, 12, 16, 18, 21, 24, 30 [(9 + 1)/2] divides the distribution in half; the median is therefore the value of the fifth observation. median = 16

For an even number of cases: N /2 and N/2 + 1 The median is located halfway between the two middle observations an is calculated as an average of the observations. (8/2)- 4th observation and (8/2) + 1- 5th observation



Ex: 1, 3, 4, 5, 6, 7, 8, 9 median= (5 + 6)/2 = 5.5

Other Measures of Location The median is a special case of a more general set of measures of location called percentiles. The nth percentile is a number such that n percent of scores fall below it and (100 – n) percent fall above it. The median is the 50th percentile; that is it is a number that is no larger than 50 percent of the measurements and smaller than the other 50 percent. The 75th percentile is also known as the upper quartile or Q3, and the 25th percentile is known as the lower quartile or Q1. To locate the 75th or 25th percentile, we use the same procedure used to locate the median.

Arithmetic MeanThe arithmetic mean is the most frequently used measure of central tendency. It is defined as the sum total of all observations divided by their number. In symbolic notation, the mean is defined as:

X= X where X = The arithmetic meanN X= the sum of total observations

N = the number of observationsEx: According to the equation, the mean (X) of the series 6, 7, 12, 11, 10, 3, 4, 1 is 54/8 6.75

When you are computing the mean from a frequency distribution, it is not necessary to add up all the individual observations. You can give each category a proper weight by multiplying it by its frequency:X= f X where fX = the sum total of all categories multiplied by their respective frequencies.

Comparison of the Mode, the Median, and the Mean Mode: the category or observation that appears most frequently in the distribution. It indicates the point in the distribution with the highest density.Median: the observation, category, or interval that divides the distribution into two equal parts. It is the distribution’s midpoint,Arithmetic mean: The mean is equal to the sum of all of the observations divided by the total number of observations. It is an average of all the values in the distribution. The smallest value for a squared quantity is 0 (zero).

(Summary) Measures of central tendency can be misleading if they are not accompanied by measures that describe the amount of dispersion in the distribution. Whereas the measures of central tendency reflects the most typical or average characteristics of the group, the measures of dispersion indicate how many members of the group deviate from it and the extent of the deviation. A small deviation denotes that most responses are clustered around the measure of central tendency; a large deviation indicates that the measure of central tendency is a poor representation of the distribution.

75. Measures of Variability (N&N p. 335-342)

In statistical analysis, frequency distributions are constructed to examine the pattern of response to each of the independent and dependent variables under investigation. Whereas the measures of central tendency reflect the most typical or average characteristics of the group, the measures of dispersion indicate how many members of the group deviate from it and the extent of the deviation.A small deviation denotes that most responses are clustered around the measure of central tendency; a large deviation indicates that the measure of central tendency is a poor representation of the distribution.

Measures of Dispersion:



Measure of qualitative variation: An index that indicates the heterogeneity or homogeneity of a population. Determined by comparing the total observed differences in a distribution to the maximum possible number of differences and is calculated using Equations.

Range: The distance between the highest and lowest values of the distribution. The range can provide misleading information to researchers because it takes into account only the two extreme scores in a distribution.

Interquartile range: The difference between the lower quartile (25th percentile) and the upper quartile (75th

percentile). Variance: Variance is the average of the squared deviations from the mean. Standard Deviation: Standard deviation is equal to the square root of the variance. Unlike variance, the

standard deviation expresses dispersion in the original units of measurement.

Measures of Deviation from normality

Kurtosis—A statistical measure used to describe the distribution of observed data around the mean.

A high kurtosis distribution has a sharper "peak" and fatter "tails", while a low kurtosis distribution has a more rounded peak with wider "shoulders".

Distributions with zero kurtosis are called mesokurtic. The most prominent example of a mesokurtic distribution is the normal distribution family, regardless of the values of its parameters.

A distribution with positive kurtosis is called leptokurtic. In terms of shape, a leptokurtic distribution has a more acute "peak" around the mean (that is, a higher probability than a normally distributed variable of values near the mean) and "fat tails" (that is, a higher probability than a normally distributed variable of extreme values).

A distribution with negative kurtosis is called platykurtic. In terms of shape, a platykurtic distribution has a smaller "peak" around the mean (that is, a lower probability than a normally distributed variable of values near the mean) and "thin tails" (that is, a lower probability than a normally distributed variable of extreme values).

Measures for size of the distribution:Example: for the distribution (3, 5, 7, 5, 6, 8, 9), the Maximum value is 9, the minimum value is 3 and the range is 9-3 = 6. The sum of the scores is 43.

Variability is the essence of statistics. Data variability refers to the spread of scores along the scale of measurement and the extent to which the data are grouped. Variability is the possible range of outcomes for any given event.

76. Multicultural concerns in Research Design

Concerns relating to bias due to culture, values, religion, ethnicity, and country of birth.

77. Non-Experimental Designs (N&N p. 115-134)

DESIGN TYPES (SUMMARY) Experimental: individuals or other units of analysis are randomly assigned to the experimental or control

groups and the independent variable is introduced only to the experimental group. Such design allows for comparison, control, manipulation, and usually, generalizibility.

Quasi-experimental & Cross-sectional; include combinations of some of the above elements but not all of them. Typically, these designs lack the possibilities for manipulation and randomization.

Pre-experimental: Include even fewer safeguards than quasi-experimental and cross-sectional designs.

TYPES OF RELATIONS AND DESIGNS



Property-disposition relationships: Relationship between some characteristic or quality of a person (property) and a corresponding attitude or inclination (disposition). i.e. --relation between social class + an attitude (political tolerance)--relation between race and prejudice

Stimulus-response relationships: characterized by an independent variable that can be manipulated by the researcher. For example a researcher might induce stress or expose subjects to an advertising campaign. The dependent variable would then be a direct response to the independent variable. It could be a certain psychological reaction to stress or an increase in consumption patterns following the advertising campaign.

The two types of relationships differ in four ways: o Time Interval. In stimulus–response relationships, the time interval between the introduction of

the independent variable and the response to it is relatively short. In a property disposition relationship, the time interval can extend over along period of time.

o Degree of specificity. The second difference is the degree of specificity of the independent variable. A stimulus is usually easy to isolate and identify, and its effect can be delineated concretely. However a property such as a social class is more general and incorporates various factors

o Nature of comparison groups. When studying a stimulus-response relationship, a researcher can compare two similar groups, one that has been exposed to the stimulus- the experimental group -and one that has not- the control group - or the same group both before and after exposure to the stimulus. When studying a property-disposition relationship, however, a before-after comparison is practically impossible, especially with properties that do not change, such as gender and race.

o Time sequence of events. With the stimulus response kind of relationship, the direction of causation is relatively clear, especially when the research design allows the researcher to make before-after comparisons.

Cross-sectional designs: This design is often identified with survey research, a method of data collection common in many social science fields. In survey research, researchers usually ask a random number of individuals to respond to a set of questions, in most cases researchers are simply trying to describe the pattern of relation between variables. To overcome the methodological limitations of cross-sectional designs, researchers use statistical analysis to approximate some of the operations that are naturally built into an experimental design.

Quasi-Experimental Designs: Quasi-experimental designs often allow researchers to select random samples from the population, but they do not require the random assignment of individual cases to the comparison groups. Quasi-experimental designs involve the study of more than one sample, often over a period of time. They have lower internal validity than classically controlled experiments and depend on data analysis techniques as a method of control.

Contrasted-Groups Designs: The least elaborate design for contrasted groups is one in which individuals or other units of analysis are regarded as members of categoric groups.

o Categoric group members share some attribute that assigns them to an identifiable category, such as males, Democrats, or Catholics. Members of each group are measured with respect to the dependent variables

o A more elaborate design for contrasted groups is one in which researchers compare two or more intact groups before and after introduction of the treatment variable.

Planned Variation Designs: When researchers use planned variation designs, they expose individuals to stimuli that have been systematically varied in order to asses their causal effects i.e. educational teaching methods.

Panels and Time-series Designs: o Panels: A more rigorous solution to the time dilemma in cross-sectional studies and correlational

designs is the panel, in which the same sample is examined at two or more time intervals. Panel studies allow researchers to approximate the before-after condition of experimental designs more closely by studying a group at two or more points in time.



Problems: obtaining an initial representative sample of respondents who are willing to be interviewed at set intervals over an extended period.

Panel conditioning: the risk that repeated measurements may sensitize the respondents to give a given set of answers.

o Time-Series Designs: research designs in which pretest and posttest measures are available on a number of occasions before and after the activation of an independent variable.

o Extended time-series design: takes into account three observations before introduction of the program and three observations after its implementation, it nevertheless fails to control for the effects of other potential sources of invalidity. Ex: O1 O2 O3 X O4 O5 O6

Control-Series Designs: These designs combine a time-series method with the collection of similar data on a nonequivalent comparison group in order to control for the influence of history, maturation, and test-retest effects.

Combined Designs: When complex problems are studied, one or more of the major components of the problem can frequently be studied experimentally, while the remaining components may be amenable to quasi-experimental designs. The choice of the component factors of a combined design depends on the specific problem investigated and the creativity of he researchers.

The One-Shot Case Study: Involves an observation of a single group or an event at single point in time, usually subsequent to some phenomena that allegedly produced change. The one-shot case study design has no control over extrinsic and intrinsic factors. It also does not allow for before-after or control group-experimental group comparison. The one-shot case study cannot be used for testing causal relations.

Cross-Sectional and Quasi-Experimental DesignsAdvantages They allow researchers to carry out studies in natural, real-life settings using probability samples, thus

increasing the external validity of their studies. They do not require the random assignment of individual cases to comparison groups. While this limits the

internal validity of studies employing these designs, it does enable researchers to study situations where the assignment of individuals to either a control or an experimental group might be unethical or impossible.

Disadvantages The lack of adequate control over rival explanations makes it difficult for researchers to make

unambiguous inferences. Because researchers often cannot manipulate the independent variable, the direction of causation must

be logically or theoretically inferred. Pre-experimental Designs Advantages

They may allow researchers to gather information when no other research design can be applied, or may allow researchers to show that further , more valid, research would be valuable

Disadvantages They are very weak on both internal and external validity and do not allow researchers to make causal

inferences.

78. Purposes of Pre-testing (N&N p. 90)

The classic experimental design consists of two comparable groups: an experimental group and a control group. These two groups are equivalent except that the experimental group is exposed to the independent variable (also termed the treatment) and the control group is not. Assignment of cases (or subjects) to either the experimental or the control group is based on chance- cases are randomly assigned to the groups. To assess the effect of the independent variable, researchers take measurements on the dependent variable, designated as scores, twice from each group. One measurement, the pretest, is taken for all cases prior to the introduction of the independent variable in the



experimental group; a second, the posttest, is taken for all cases after the experimental group has been exposed to the independent variable. The difference in measurements between posttest and pretest is compared between the two groups. If the difference in the experimental group is significantly larger than in the control group, it is inferred that the independent variable is causally related to the dependent variable.

79. Qualitative versus Quantitative Schools of Thought (Leavitt p. 79 – cohort 9 notes)

Quantitative Strategies:

Experiment – a treatment is administered to one group, different treatment to other groups, and scores are measured on a dependent variable.

Descriptive study – Behavior is described as it occurs naturally. Survey – Data obtained from a sample of individuals are used to generalize to characteristics of a larger

population. Case study - Individual subjects are investigated in detail. Comparative study – Members of naturally occurring groups, such as men/women, young/old are

compared. Correlational study – Scores are obtained from a group of subjects on two different measures. The

researcher determines if high scores on one measure tend to be associated with high, low, or unpredictable scores on the other measure.

Archival research – A researcher uses data that were previously collected for another purpose. Simulation research – Simulations involve the creation of models such as computer programs that are

meant to abstractly represent key aspects of the system being modeled. One purpose of simulations is to predict.

Qualitative Strategies:

Phenomenology – A researcher takes narratives form people who have had a common experience. The goal is to find general elements so others can understand the experience.

Hermeneutics – The researcher interprets experiences in light of the political, historical, and socio-cultural contexts in which they occur.

Life history – Interviews and analysis of documents such as diaries help create portraits of individual’s lives, including critical points and core themes.

Heuristic research – A way of self-inquiry and dialogue with others aimed at finding the underlying meanings of important human experiences.

Ethnography – Ethnographers immerse themselves in the daily life of a cultural group and try to identify the meanings and passions of the group.

Qualitative versus Quantitative Method:

Qualitative research designs are much less structured than quantitative designs. Quantitative researchers use the same subjects for an entire study. Qualitative researchers deliberately pick

subjects to help them focus on the relevant issues, and they change subjects to extend, test, and fill in information.

Although both quantitative and qualitative researchers observe and describe, the latter emphasize contextual details such as physical setting, nonverbal communication, pauses, and work choices. They may note their feelings, reactions, prejudices, and emotional states. Their goal is not just to hear the subject’s answers but to see the world through the subject’s eyes.

Qualitative researchers regard data analysis as an ongoing process. Researchers cycle back and forth between thinking about their existing data and generating strategies for collecting new data.

Unlike quantitative researchers, qualitative investigators typically work in teams and use several data sources, more than one method for gathering data, and different perspectives for interpreting it.



80. Reliability and Validity (N&N p. 149-157)

Reliability - The consistency of a measuring instrument, that is, the extent to which a measuring instrument exhibits variable error. Errors that appear inconsistently between observations either during any one measurement procedure or each time a given variable is measured by the same instrument.

Validity – The degree to which an instrument measures what it is suppose to measure. Validity is concerned with the question “am I measuring what I intend to measure. Three types of validity are concerned with different aspects of measurements:

o Content validity – means that a measurement instrument covers all the attributes of the concepts you are trying to measure – that nothing is relevant to the phenomenon under investigation. Face validity rests on the investigator’s subjective evaluation of the appropriateness of the

instrument for measuring the concept rather than whether the instrument measures what the researcher wishes to measure.

Sampling validity is concerned with whether a given population is adequately sampled by the measuring instrument in question.

o Empirical validity – is concerned with the relationship between a measuring instrument and the measured outcomes. Predictive validity is estimated by assessing the results researchers expect to obtain against

some other external measure referred to as the external criterion, and by comparing their measuring instrument’s outcomes with outcomes obtained by other measuring instruments with respect to the criterion.

o Construct validity – researchers establish construct validity by relating a measurement instrument to the general theoretical framework within which they conduct their studies in order to determine whether the instrument is logically and empirically tied to the concept and theoretical assumptions they are employing.

81. Survey Analysis (N&N p. 224-225 – cohort 9 notes)

Evaluation of Three Survey Methods (225)

Criterion Personal Interview Mail Telephone

Cost High Low Moderate

Response rate High Low High

Control of interview situation High Low Moderate

Applicability to geographically dispersed

populationsModerate High Moderate

Applicability to heterogeneous

populationsHigh Low High

Collection of detailed information High Moderate Moderate



Speed Low Low High

When a researcher decides on the type of survey method, s/he will decide according to the criteria that are most important to the research objective. If the researcher has the funds and the time, then they will opt for the telephone survey or the personal interview.

Mail Questionnaires

Advantages Disadvantages

Cost is low Requires simple, easily understood answers & instructions

Biasing errors are less because respondents aren’t influenced by the interviewer

Does not offer the researchers opportunities to probe for more information or ask other questions

Provide high degree of anonymity Cannot control who fills out the questionnaire

Respondents have time to think about their answers Response rates are low

Provides access to a large geographic area at a low cost

Personal Interviews


Flexibility in the questioning process High cost

Control of the interview situation Interviewer bias

High response rate Lack of anonymity

Fuller, richer information

Telephone interviews


Moderate cost Reluctance to discuss sensitive topics over the phone



Speed: reach more people The “broken off” interview: the respondent can end it at any time

High response rate: instant feedback Less information: hard to provide extra information due to the environment

Quality: excellent data because interviewers are monitored

82. Systems of Classification and Taxonomies (N&N p. 34-36)

System of classification: There is no simple definition of theory on which all social scientists would agree because there are many different kinds of theories, each serving a different purpose.

Classification, however, is based on the distinction that Parsons and Shils made among four levels of theory: ad-hoc classificatory systems, taxonomies, conceptual frameworks and theoretical systems:

I. Ad-Hoc—It consists of arbitrary categories constructed in order to organize and summarize empirical observations. For example, a researcher might classify responses to a questionnaire item:” All groups can live in harmony in this country without changing the system in any way” into four categories “Strongly agree,” “agree” and “disagree”. These categories constitute an ad-hoc classificatory system because they simply arrange observations; they are NOT derived from a more general theory of social order.

II. Taxonomies: Consists of a system of logically related categories constructed to fit empirical observations in such a way that relationships among categories can be defined. For example, Talcott Parsons’ analysis of social action exemplifies this level of theory. He suggests that behavior has four attributes:

1. Behavior is goal oriented2. Behavior occurs in group situations3. Behavior is normatively regulated4. Behavior involves an expenditure of energy

When behavior displays all these attributes it constitutes a SOCIAL SYSTEM.

Note: The goal of taxonomy is to provide an orderly schema and description. However, taxonomies do NOT provide explanations; they only describe empirical phenomena by fitting them into categories.

III. Conceptual Framework: Descriptive categories are systematically placed on broad structure of explicit propositions—statements of relationships between two or more empirical properties—which are to be accepted or rejected.

Conceptual framework belongs to a higher level than taxonomy because its propositions summarizes behaviors as well as provide explanations and predictions for vast numbers of empirical observations.

IV. Theoretical Systems: Combine taxonomies and conceptual frameworks by relating descriptions, explanations and predictions in a systematic manner. This is the HIGHEST LEVEL OF THEORY. Durkeims’ theory of suicide as restated by George Homans provides a classic EXAMPLE of theoretical systems:



1. In any social group, the suicide rate varies directly with the degree of individualism.2. The degree of individualism varies with the incidence of Protestantism.3. Therefore, the suicide rate varies with the incidence of Protestantism.4. The incidence of Protestantism is Spain in low.5. Therefore, the suicide rate in Spain is low.

Acceptance of theoretical system depends ultimately on whether scientists are able to verify empirically those of its propositions (conceptual framework)—whose validity depends on the evidence gathered by means of scientific methodologies (taxonomies).

83. Telephone Survey (N&N ch.10 p. 222-224)

The telephone interview, also called the telephone survey, can be characterized as a semi-personal method of collecting information. Recently telephone surveys have gained general acceptance as a legitimate method of data collection in the social sciences. The main rationale of employing telephone surveys more extensively today is that investigators are able to reach more than nine-tenths of the population. In addition, financial pressures have made the telephone survey more attractive. The telephone interview results in a higher response rate than a personal interview. Technological changes and improvements in telephone equipment have also made telephone interviewing more easier. It has become possible to draw a random sample of telephone numbers by a process called random-digit dialing (RDD).

Advantages and Disadvantages of Telephone InterviewsAdvantages:o Moderate costo Speed. Telephone interviewers can reach a large number of respondents in a short time. Interviewers

can code data directly into computers, which can later compile the data. o High response rate. Telephone interviews provide access to people who might be unlikely to reply to

a mail questionnaire or refuse a personal interview.o Quality. High-quality data can be collected when interviewers are centrally located and supervisors

can ensure that questions are being asked correctly and answers recorded properly. Disadvantages:o Reluctance to discuss sensitive topics. Respondents may be hesitant to discuss some issues over the

phone.o The “broken-off interview”. Respondents can terminate the interview before it is completedo Less information. Interviewers cannot provide supplemental information about the respondent’s

characteristics of environment.

The latest development in telephone surveys is the use of computerized questionnaires.

84. Triangulation (N&N 188-190)

Data in the social sciences are obtained in either formal or informal settings and involve verbal (oral and written) or nonverbal acts or responses. The combination of the two settings and the two types of responses result in the four major methods of data collection: observational methods, survey research (personal interviews and questionnaires), qualitative research, and secondary data analysis (such as the analysis of existing documents). At one extreme, when researchers wish to study nonverbal actions in informal settings, they often use participant observation, a method of qualitative research. On the other extreme, when researchers focus on verbal (oral and written) acts in structured settings, the most commonly used method of data collection are laboratory experiments and structured questionnaires.



To minimize the degree of specificity or dependence on particular methods that might limit the validity or scope of the findings, a researcher can use two or more methods of data collection to test hypothesis and measure variables: this is the essence of triangulation. As a research strategy, triangulation has the benefit of increasing objectivity by raising social scientist “above the personal biases that stem from single methodologies. By combining methods in the same study, observers can partially overcome the deficiencies that flow from employing one single research or one method.”

85. Type I Error (N&N ch.19 p. 443-444)

Because the entire population is not measured directly in statistical hypothesis testing, the statistical test can never prove if the null hypothesis is true or false. The only evidence it provides is whether the sample result is sufficiently likely or unlikely to justify the decision to retain or to reject the null hypothesis. The null hypothesis can be either true or false, and in both cases it can be rejected or retained. If it is true and is rejected nonetheless, the decision is in error. The error is the rejection of a true hypothesis – a Type I error. If the null hypothesis is false but is retained, the error committed is the acceptance of a false hypothesis; this error is designated as a Type II error.

The probability of rejecting a true hypothesis -a Type I error- is defined as the level of significance. Thus, in the long run, an investigator employing the .05 level of significance will falsely reject 5 percent of the true hypothesis tested. Researchers are interesting in minimizing the error of rejecting a true hypothesis, which they can do by making the level of significance as low as possible.Type I and Type II errors are inversely related: a decrease in the probability of rejecting a true hypothesis leads to an increase in the probability of retaining a false one. Under these conditions, the selection of a is determined by (1) the type of problem one is investigating and (2) the consequences of rejecting a true hypothesis or retaining a false one. If, for example, the researcher is investigating the effect of an experimental teaching method on the achievement of disadvantaged children and the results of the study will determine whether the teaching method is implemented throughout the school system, he or she should carefully consider the consequences of making a mistake. Suppose that the null hypothesis states that the new teaching method has negative effects. If the researcher rejected the null hypothesis when it was actually true, the consequences could be very severe. If conversely, it is not rejected when it is actually false, the school system could postpone implementation of a new method until further evidence became available. The significance levels commonly used in the social science research are .001, .01, and .05.

86. Type II Error (N&N ch.19p. 443-444)**See question No. 31.

87. Use of graphs to include histograms, bar charts, and pie charts (pg. 324 - 328): Histogram:Researchers use the histogram to display frequency distributions of interval or ratio level data. The histogram looks like a bar graph with no spaces between the rectangles. The rectangles are constructed contiguously to show that the variable is continuous, and intervals, rather than discrete categories are displayed across the horizontal axis. The height of the rectangles reflects the percent of frequency of the interval. Unlike the bar chart, the histogram cannot be used to display information for more than one variable. Bar ChartThe Bar chart provides researchers with a tool for displaying nominal or ordinal data. Two or more distributions may be presented on a single chart. Bar charts are constructed by labeling the categories of the variable along the horizontal axis and drawing rectangles of equal width for each category. The height of the



rectangle is proportional to the frequency or percentage of the category. Bar charts may be displayed either horizontally or vertically. Pie ChartThe pie chart shows differences in frequencies or percentages among categories of nominal or ordinal variables by displaying the categories as segments of a circle. The segments are either shaded differently or patterned differently to differentiate among them and they sum to either 100 percent or the total frequencies. While one pie chart can be used to represent a single distribution, researchers often use two or more pies to compare distributions.

88. Supplemental Information for Comprehensive Exams

The Main Stages of the Research Process (Ch. 1, p.18)

The research process is the overall scheme of activities in which scientists engage in order to produce knowledge; it is the paradigm of scientific inquiry. The research process consists of seven fundamental stages: problem definition, hypothesis construction, research design, measurement, data collection, data analysis, and generalization.Each stage influences the development of theory and is influenced by it in turn. The most characteristic feature of the research process is its cyclical nature.

Conceptual Foundations of Research (Ch. 2)

Conceptual and Operational DefinitionsConceptual definitions Definitions that describe concepts by using other concepts. Researchers also


Theory

Problem Definition

Hypothesis Construction

Research Design

MeasurementData Collection

Data Analysis

Generalization


use primitive terms, which are concrete and cannot be defined by other concepts, and derived terms, which are constructed by using primitive terms, in conceptual definitions.

Operational definitions An operational definition describes a set of procedures a researcher can follow in order to establish the existence of the phenomenon described by a concept. Scientists require the use of operational definitions when a phenomenon cannot be observed directly.

Four Levels of TheoryAd-hoc classificatory system

Arbitrary categories that organize and summarize empirical data

Taxonomies Systems of categories constructed to fit empirical observations. Taxonomies enable researchers to describe relationships among categories.

Conceptual framework Descriptive categories placed systematically in a structure of explicit propositions. The propositions included within the framework summarize the evidence and provide explanations and predictions of empirical observations. The propositions are not however, established deductively.

Theoretical systems Combine taxonomies and conceptual framework by systematically relating descriptions, explanations, and predictions. The propositions of a theoretical system are interrelated in a way that permits some to be derived from others.

Elements of Research (Ch. 3)

Two Fallacies Researchers Need to be Aware OfEcological fallacy The drawing of inferences about individuals directly from evidence gathered

about groups, societies, or nations. Individualistic fallacy The drawing of inferences about groups, societies, or nations directly from

evidence gathered about individuals.

Kinds of VariablesDependent variable The variable the researcher is trying to explainIndependent variable The variable that causes a change in the dependent variableControl variable The variable used to test the possibility that the relation between the dependent

and independent variable is spurious-in other words, that it can be explained only by the affect of another variable

Continuous variable A variable that does not have a minimum-sized unit, such as lengthDiscrete variable A variable that does have a minimum-sized unit, such as the number of

children in a family.



Characteristics of Research HypothesisHypothesis must be clear

The researcher must define all of the variables conceptually and operationally

Hypothesis are specific The researcher points out the expected relations among the variables in terms of direction (positive or negative) and the conditions under which the relations hold true

Hypothesis are testable w/available methods

The evaluation of a hypothesis depends on the existence of methods for testing it

Scientific hypothesis are value-free

Because research in the social sciences takes place in a social milieu, the researcher must be aware of personal biases and make them as explicit as possible

Research Designs: Experiments (Ch. 5)

The Logical Model of Proof: Three Necessary ComponentsCovariation Two or more phenomena vary togetherNonspuriousness The effects of all relevant variables are controlled for and the relation between

the original two variables is maintainedTime order The assumed cause occurs first or changes before the assumed effect

Components of the Classic Research DesignComparison The operation that determines whether two variables covary (are correlated)Manipulation The operation that controls the assignment of the treatment group, so that the

researcher can determine the time sequence to make sure that the independent variable changes before the dependent variable changes

Control The operation that enables the researcher to rule out rival explanations for the change in the dependent variable. Investigators must control extrinsic, or selection factors, and intrinsic factors such as history and maturation

Generalizability The extent to which the research findings can be generalized to larger populations and applied to different settings

The Internal Validity of Research DesignsExtrinsic factors SelectionIntrinsic factors History Maturation Experimental mortality Instrumentation Testing Regression artifact Interaction with selection



The External Validity of Research DesignsRepresentativeness of the sampleReactive arrangements

Research Designs: Cross-Sectional and Quasi-Experimental Designs (Ch. 6)

Quasi-Experimental DesignsQuasi-experimental designs involve the study of more than one sample, often over a period of time. They have lower internal validity than classically controlled experiments and depend on data analysis techniques as a method of control. Contrasted-groups designs: individuals or other units of analysis are treated as members of categoric groups (e.g., women, Democrats).Planned variation designs: in these designs, individuals are exposed to systematically varied stimuli (e.g., educational teaching methods) in order to assess the causal effects of the stimuli.Panels: in these studies, researchers estimate before-after conditions by examining the same sample over a number of time periods.Time-series designs: in these research designs, a number of measures, at least three, are taken before and after the introduction of an independent variable (such as a new traffic ordinance).Control-series designs: these designs combine a time-series method with the collection of similar data on a nonequivalent comparison group in order to control for the influence of history, maturation, and test-retest effects.

Advantages and Disadvantages of Research Designs Used in the Social SciencesExperimental DesignsAdvantages:Experiments enable researchers to exert a great deal of control over extrinsic and intrinsic variables, strengthening the validity of causal inferences (internal validity)Experiments enable researchers to control the introduction of the independent variable so they may determine the direction of causationDisadvantages:External validity is weak because experimental designs do not allow researchers to replicate real-life social situationsResearchers must often rely on volunteer and self-selected subjects for their samples. Therefore, the sample may not be representative of the population of interest, preventing researchers from generalizing to the population and limiting the scope of their findings

Cross-Sectional and Quasi-Experimental DesignsAdvantages:They allow researchers to carry out studies in natural, real-life settings using probability samples, thus



increasing the external validity of their studiesThey do not require the random assignment of individual cases to comparison groups. While this limits the internal validity of studies employing these designs, it does enable researchers to study situations where the assignment of individuals to either a control or an experimental group might be unethical or impossibleDisadvantages:The lack of adequate control over rival explanations makes it difficult for researchers to make unambiguous inferencesBecause researchers often cannot manipulate the independent variable, the direction of causation must be logically or theoretically inferred

Preexperimental DesignsAdvantages:They may allow researchers to gather information when no other research design can be applied, or may allow researchers to show that further, more valid, research would be valuableDisadvantages:They are very weak on both internal and external validity and do not allow researchers to make causal inferences

Measurement (Ch. 7)

The Four Levels of MeasurementNominal level: At the nominal level, numbers or symbols are used to classify objects or

observations. Phenomena in one classificatory category are equal to each other, but not to phenomena in any other category (i.e., categories at the nominal level display the properties of exhaustiveness and internal equivalence).

Ordinal level When variables exhibit some relation to each other, they can be measured at the ordinal level. Such relations can be designated by the symbol > (greater than) or < (less than). The ordinal level of measurement also has the property of internal equivalence.

Interval level When the exact distance between each of the observations is composed of fixed and equal units, measurement is carried out at the interval level. Phenomena at this level also display the property of internal equivalence within each group, and one observation can be greater (or lesser) than another.

Ratio level When variables have natural, absolute, and fixed zero points, they can measured at this level. The ratio level also has the property of internal equivalence within a group, relations in which one variable can be greater than another, and a fixed interval. Because of the precision of their numerical measures, variables at this level can undergo the most powerful statistical manipulation.

Three Kinds of ValidityContent validity The relevance of an instrument to the characteristics of the variable it is meant

to measure is assessed by face validity- the researcher’s subjective assessment of the instrument’s appropriateness-and sampling validity-the degree to which the statements, questions, or indicators constituting the instrument adequately represent the qualities measured.

Empirical validity If a measuring instrument is valid, there should be a strong relationship between the results it predicts and the results it obtains when measuring the same or related variables. Empirical validity can be supported by comparisons with measurements by other instruments.

Construct validity This kind of validity is established by relating the measuring instrument to a general theoretical framework.



Survey Research (Ch. 10)

Advantages and Disadvantages of Mail QuestionnaireAdvantages:The cost is low compared to other methods.Biasing error is reduced because respondents are not influenced by interviewer characteristics or techniques.Questionnaires provide a high degree of anonymity for respondents. This is especially important when sensitive issues are involved.Respondents have time to think about their answers and/or consult other sources.Questionnaires provide wide access to geographically dispersed samples at low cost.

Disadvantages:Questionnaires require simple, easily understood questions and instructions.Questionnaires do not offer researchers the opportunity to probe for additional information or to clarify answers.Researchers cannot control who fills out the questionnaire.Response rates are low.

Advantages and Disadvantages of the Personal InterviewAdvantages:Flexibility in the questionnaire process: interviews can range from highly structured to non-structured depending on the research problem under examination.Control of the interview situation: interviewers determine who answers questions, where the interview is conducted, and the order in which questions are answered.High response rateFuller information: Interviewers are able to collect supplementary information from respondents, including background information and spontaneous reactions.

Disadvantages:Higher cost: interview can be expensive to implement, especially when respondents are widely dispersed geographically.Interviewer bias: innate characteristics of interviewers and differences in interviewer techniques may affect respondents answers.



Lack of anonymity: the presence of the interviewer may make the respondent feel threatened or intimidated.

Advantages and Disadvantages of Telephone InterviewsAdvantages:Moderate costSpeed: telephone interviewers can reach a large number of respondents in a short time.High response rate: telephone interviews provide access to people who might be unlikely to reply to a mail questionnaire or refuse a personal interview.Quality: high-quality data can be collected when interviewers are centrally located and supervisors can ensure that questions are being asked correctly and answers recorded properly.

Disadvantages:Reluctance to discuss sensitive topics: respondents may be hesitant to discuss some issues over the phone.The “broken-off” interview: respondents can terminate the interview before it is completed.Less information: interviewers cannot provide supplemental information about the respondent’s characteristics of environment.

Evaluation of Three Survey MethodsCriterion Personal Interview Mail Telephone

Cost High Low ModerateResponse rate High Low HighControl of interview situation High Low ModerateApplicability to geographically dispersed populations

Moderate High Moderate

Applicability to heterogeneous populations

High Low High

Collection of detailed information

High Moderate Moderate

Speed Low Low High

Questionnaire Construction (Ch. 11)

Three Types of QuestionsClosed-ended questions: respondents are given a set of responses and asked to choose the one that most closely describes their attribute or attitude.Open-ended questions: respondents are not given a specific set of responses. They are asked to describe their attributes or attitudes in their own words, and their answers are recorded in full either by the respondent or by an interviewer.Contingency questions: a type of closed-ended question applicable to a subgroup of respondents. The subgroup may be identified by a filter question, which directs them to answer or relevant questions, or instructions may be provided that direct members of the subgroup to answer a question or set of questions and non-subgroup members to skip to another question.

Secondary Data Analysis and Sources (Ch. 13)

Unobtrusive Measures Used in Secondary Data AnalysisPhysical evidence Signs of wear on objects (erosion measures) or materials deposited by a

population (accretion measures).



Simple observations Observations made without interacting in any way with the people being observed. Types of single observations include exterior body and physical signs, expressive movements, physical location, and language behavior.

Archival records Sources such as actuarial records, political and judicial records, government documents, the mass media, and private records.

Three Applications of Content AnalysisTo describe the attributes of the message.To make inferences about the sender of the message and about its causes or antecedents.To make inferences about the effects of the message on recipients.

The Univariate Distribution (Ch. 15)

The Three Measures of Central TendencyMode The category or observation that appears most frequently in the distribution.

Researchers find the mode by locating the category with the largest number of responses.

Median The observation, category, or interval that divides the distribution into two equal parts. To find the median for ungrouped data with an uneven number of scores, the researcher lists the observations in increasing order and locates the middle score. If the number of scores is even, the median is located between the middle two scores.

Arithmetic Mean The mean is equal to the sum of all of the observations divided by the total number of observations.

Measures of DispersionMeasure of qualitative variation

An index that indicates the heterogeneity or homogeneity of a population. It is determined by comparing the total observed differences in a distribution to the maximum possible number of differences.

Range The distance between the highest and lowest values of the distribution. The range can provide misleading information to researchers because it takes into account only the two extreme scores in a distribution.

Interquartile Range The difference between the lower quartile and the upper quartile. Because it measures the spread of the middle half of the distribution, the interquartile range is not affected by extreme scores.

Variance Variance is the average of the squared deviations from the mean. It can be calculated using either the definitional formula or the simpler computational formula. These formulas have several variations.

Standard deviation Standard deviation is equal to the square root of the variance. Unlike variance, the standard deviation expresses dispersion in the original units of measurement. Standard deviation can be determined by taking the square unit of the variance.



Bivariate Analysis (Ch. 16)

Measures of RelationshipMeasures of relationships indicate the proportional reduction in error of estimate when the dependent variable is predicted on the basis of the independent variable (rule 1) instead of independently of the independent variable (rule 2).Lambda () Lambda is used for nominal variables.Gamma (y) Gamma is used for measuring the association between ordinal variables.Kendall’s tau-b Tau-b is used for measuring the association between ordinal variables when

there are many tied pairs.Linear regression A method of specifying a relationship between two interval variables using a

linear function of the form Y = a + bx.Pearson’s r Pearson’s r is used for measuring the association between interval variables,

which can be plotted on a graph.Criterion of least squares A method of selecting a regression equation that minimizes the sum of the

square differences between the observed and the predicted Y’s.


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cohort26.weebly.comcohort26.weebly.com/uploads/3/0/2/7/3027149/leadership... · Web viewCensus data are prone to two types of errors: errors in coverage and errors in content. Errors