Executive Summary



centercenterNorthwestern University24 November 2013The Composition of an Ultimate Leader-An Analysis ofCollin’s Hierarchy of Leadership and Other Leadership TheoriesFinal Paper 481-DL Foundations of LeadershipMaria C. Almacen100000100000Northwestern University24 November 2013The Composition of an Ultimate Leader-An Analysis ofCollin’s Hierarchy of Leadership and Other Leadership TheoriesFinal Paper 481-DL Foundations of LeadershipMaria C. AlmacenTable of contents TOC \o "1-3" \h \z \u Executive Summary PAGEREF _Toc373081779 \h 2Introduction PAGEREF _Toc373081780 \h 3Collin’s Five Levels of Leadership and Other leadership theories PAGEREF _Toc373081781 \h 4Level 1 – The Highly capable individual PAGEREF _Toc373081782 \h 4Level 2 - The Contributing team member PAGEREF _Toc373081783 \h 6Level 3 – The competent manager PAGEREF _Toc373081784 \h 6Level 4 – Effective leader PAGEREF _Toc373081785 \h 7Level 5 – The Executive PAGEREF _Toc373081786 \h 10Application of Leadership Theory PAGEREF _Toc373081787 \h 12Reflection PAGEREF _Toc373081788 \h 13Executive SummaryWhat is the highest level of leadership? What makes a leader transformational? An ultimate leader is one whose accomplishments transcend social, economic, and political barriers, whose legacies withstand the test of time. These attributes define the highest level of leadership as exemplified by the ultimate leader. The makeup of an ultimate leader is like fulfilling the Maslow’s hierarchy of needs. He must possess all five levels of leadership (Collins, 2001):Level 1 – The Highly Capable Individual: Makes productive contributions through talent, knowledge, skills, and good work habits.Level 2 – The Contributing Team Member: Contributes to the achievement of group objectives; works effectively with others in a group setting.Level 3 – The Competent Manager: Organizes people and resources toward the effective and efficient pursuit of predetermined objectives.Level 4 – Effective Leader: Catalyzes commitment to and vigorous pursuit of a clear and compelling vision; stimulates the group to high performance standards.Level 5 – The Executive: Builds enduring greatness through a paradoxical combination of personal humility plus professional will.Level 5 hierarchy highlights that a leader must have the will and humility to lead. For humility to exist, one must be authentic (true) and willing to be a servant of others (selfless). Humility is a virtue. Therefore moral and ethical values are vital for a level 5 leadership. A level 5 leader is more concerned about the long-term success of his organization beyond his lifetime and not just the success of his organization during his tenure. Level 5 leaders are more capable of achieving the long term success of his organization even beyond his lifetime. Level 5 leaders put his organization first before his own needs (fame, fortune, power, adulation). Humility from leaders sends a signal to employees that learning, mistakes, uncertainty, and false starts are anticipated and considered a normal growth process thus inspiring innovation (Ghosen, 2011). Level 5 leadership, the “pinnacle leadership,” is also concerned about leaving a legacy within the organization (Maxwell, 2011). Leaders should take the “opportunity to make an impact beyond [their] tenure and possibly beyond [their] own lifetime […] by developing a generation of leaders who will develop the next generation of leaders” (Maxwell, 2011). Humility, according to many authors, may be the missing piece of an ultimate leader. IntroductionWhat is the essence of leadership? What are the attributes of a leader? Are these attributes innate or acquired? What makes a leadership transformational, transcendental, and perpetual? For thousands of years, humans have embraced the idea that enduring and thriving social groups necessitate the guidance of leaders: visionaries who conceive inspiring goals and ennobling ideas that collectively spur members to action. History is replete with people who led others either to glory or destruction, to great wealth or abject poverty, to greatness or mediocrity, and to lasting or fleeting legacies. This paper seeks to discuss the theories and concepts about leadership, its attributes, levels, and styles. It will also analyze the catalysts that result in the highest level of leadership, leadership that acts as an agent of transformational change, leadership that transcends social, political, economic and other barriers, and leadership that leaves legacies that withstand the test of time.Theory of LeadershipWhat is a leader? Many authors described leaders in many ways. While others say that a leader needs to possess certain traits, some say people can be trained to be leaders. However, Dan Rockwell (2012) underscored that “leadership is first about character than about skills.” According to Jim Collins (2013), the author of “Level 5 Leadership - The Triumph of Humility and Fierce Resolve,” those who have transformed good to great companies possess all the five levels of leadership. The “Level 5 hierarchy” (Collins, 2001) of leadership are: Level 5-Executive, Level 4-Effective Leader, Level 3-Competent Manager, Level 2-Contributing Team Member, and Level 1-Highly Capable Individual.Collin’s Five Levels of Leadership and Other Leadership TheoriesLevel 1 – The Highly Capable Individual: Makes productive contributions through talent, knowledge, skills, and good work habits. Level 1 may be called the expert. The expert is one with various knowledge, experience, and skills either to run machines or work activity. Skills are obtained through years of experience in a particular work or activity. Knowledge may be obtained through education such as undergraduate degree, graduate degree, and/or certifications or self-studies. One may have the inborn talent or may possess a developed talent that enables him to be capable of leading. The level 1 leader covers the skills approach and trait approach to leadership. Skills are not necessarily inborn but can be developed or enhanced, not just merely a potential ability but shown in performance. “The skills approach suggests that knowledge and abilities are needed for effective leadership” (Northouse, 2013). Katz stated that a leader must possess three basic administrative skills which includes technical and conceptual. Expertise in a specific type of work in an organization, experience in a specialized area, analytical and critical thinking skill, and/or knowledge of or ability to use appropriate tools and techniques will aid the leader in understanding the way business is run (Northouse, 2013). Conceptual skills, “the ability to work with ideas and concepts, are fundamental “to creating a vision and strategic plan for an organization” (Northouse, 2013). Conceptual skills may entail one to undergo undergraduate, graduate, and other certifications. A well-informed leader has developed “many mental structures with which to organize the facts of organizational life” (Northouse, 2013). A leader that has the necessary education will have the information needed to confront future problems of his organization. Knowledge is the mental organization of accumulated variety of information (Northouse, 2013). An expert is one who possesses a comprehensive knowledge or skill of a specific area. Having the experience of working in a particular area or studying a particular domain may help one become an expert. However, if one stops studying or stops practicing a particular expertise, then he may no longer be called an expert. Practice helps one become an expert as he develops keen perceptual skills and motor skills. Experience will enable one become familiar with mental skills such as problem solving activities. Analytical skills come with those who had the practice through experience and education. Talent, on the other hand, may be inherent or developed. While one may be inherently introverted but can be trained to lead, one may be an extrovert with the talent to lead. The inborn talent to lead makes this level 1 leadership similar to the trait explanation to leadership. Trait approach to leadership means that one has the innate characteristic of a leader which includes the cognitive and social intelligence, self-confidence, determination, and integrity (Northouse, 2013). Emotional intelligence, the ability to appropriately perceive, manage, and express emotions within self and with others, interplays with leadership traits (Northouse, 2013). Lastly, good work habits, an important feature carried by Level 1 leaders, can be achieved through experience, observation, and reading. Level 1 hierarchy of leadership states that not only leadership traits are possessed, but it helps if a leader has earned skills and gained knowledge to manage an organization especially if that organization is his area of specialty. Level 2 - The Contributing Team Member: Contributes to the achievement of group objectives; works effectively with others in a group setting. This level requires that the leader is comfortable in working with a group of people. The ability for one to work well with others emphasizes the importance of emotional intelligence. It will be quite difficult for one to work with others if one does not know himself well. According to Goleman (2004), emotional intelligence is twice as important as cognitive and practical or technical skills. Developing emotional intelligence will help the leader become aware of his strengths, weaknesses, needs, drives, and its impact on others (Goleman, 2004). This self-awareness may bring about self-regulation that will improve social skills. A calm leader means a calm team. Most organizations are “rife with ambiguity, pressures, and change” (Turner, 2012). Leaders who are able to self-regulate are “models of resiliency” and produce “an environment of trust and fairness” that could be key to the success of everyone and the team (Turner, 2012). Ability to manage one’s negative emotions may lead to one’s ability to manage relationship with others. Level 2 leaders believe that nothing gets done alone. Level 2 leaders have the potential to be good persuaders in moving people to the desired direction.Level 3 – The Competent Manager: Organizes people and resources toward the effective and efficient pursuit of predetermined objectives. Level 3 leadership delves on the need to possess management skills. To lead effectively may mean to also possess the basic skills to manage. Management, in contrast to leadership, means the ability to plan, organize, and budget time and resources; and the ability to control activities and solve problems (Kotter, 2001). Having the basic knowledge or experience to manage will also help the leader understand the managers under his headship.Level 4 – Effective Leader: Catalyzes commitment to and vigorous pursuit of a clear and compelling vision; stimulates the group to high performance standards. Level 4 encompasses the style approach, situational approach, contingency theory, path-goal theory, and the SWEATT model leadership application.“The style approach focuses exclusively on what leaders do and how they act” (Northouse, 2013). It is about “the action of leaders toward subordinates in various contexts” (Northouse, 2013). In studying the style approach of leadership, researchers determined that leadership is composed of two general kinds of behaviors: task and relationship behaviors (Northouse, 2013). Task behaviors help leaders facilitate the achievement of group member’s objectives. Whereas, relationship behaviors help group members “feel comfortable with themselves, with each other, and with the situation in which they find themselves” while working on reaching their goals (Northouse, 2013). The style approach offers leaders a means to assess or change their leadership style (task or relationship oriented) depending on its effectiveness or impact on others (Northouse, 2013). The situational approach, on the other hand, allows leaders to change their leadership approach (directive or supportive) depending on the demands of the situation. Researchers based this approach on the assumption that employees’ development (skills and motivation) change over time (Northouse, 2013). Situational leadership calls for leaders to match their style to the development of the subordinates (Northouse, 2013). Leadership style lies on the person’s manner of behavior in his attempt to influence others (Northouse, 2013). Northouse (2013) classified leadership styles into four distinct categories: S1, S2, S3, and S4. The first style (S1), also called directing style, is high directive-low supportive style. Being goal oriented, the leader utilizes communication skills in the achievement of goal by giving clear instructions on what and how goals can be achieved by subordinates and careful supervision of subordinates (Northouse, 2013). The second style (S2), also known as coaching style, is high directive-high supportive style. Communication in this style is focused on meeting subordinates socio-emotional needs in achieving group goals. This methodology entails a leader to solicit employee’s input and provide motivation in meeting group goals. However, the leader still has the last say on what and how goals are to be accomplished (Northouse, 2013). The third style (S3), also known as supporting style, is high supportive-low directive style. This approach is less focused on goals but more focused on how to use supportive ways in bringing out the best in employees toward the achievement of goals. The leader in this approach is quick to praise, patient to listen, thirsty for employee input, and generous in giving his people “control of day-to-day decisions,” yet “available to facilitate problem-solving needs” (Northouse, 2013). The fourth style (S4), delegating style, is low supportive-low directive style. This style allows the leader facilitate employee motivation and confidence in the identification of the need for change, the goals of change, the planning, the implementation, and the evaluation of attainment of goals (Northouse, 2013).The development levels (D1, D2, D3, and D4), a second major part of the situational leadership model, describes “the degree to which subordinates have the competence and commitment necessary to accomplish a given activity” (Northouse, 2013). “It indicates whether a person has mastered the skill to do a specific task and whether a person has developed a positive attitude regarding the task” (Northouse, 2013). Low competence-high commitment employees (D1) are those who are excited with the task, however, usually new to a task and do not know exactly how to do it (Northouse, 2013). Some competence-low commitment employees (D2) are those who have learned something about their tasks on the job but lost some of their initial motivation about the job (Northouse, 2013). Employees with moderate to high competence but lack commitment (D3) are those who may have the necessary skills for the job but unsure with their ability to accomplish the task independently. The uppermost in employee development is high competence-high commitment degree to getting the job done wherein employees have the skills to do the job and the motivation to get it done (Northouse, 2013). Appendix 1 shows the relationship of leadership styles with the development levels of followers, the byproduct of situational variables of leadership. Situational leadership expects that an effective leader is able to scan the development degree of an employee and apply the type of leadership prescribed for that situation (Northouse, 2013).Level 4 leadership is also applicable with the theory of contingency and path-goal theory. Contingency theory, a leader-match theory, is concerned with styles and situational approach and with providing the framework for effectively matching the leader and the situation in order to effectively motivate others to work on the common goal (Northouse, 2013). Like contingency theory, path-goal theory is about how one can effectively lead others toward reaching common goals. But unlike the others, path-goal theory is heavily focused on enhancing employee performance and satisfaction by way of employee motivation (Northouse, 2013). It highlights the relationship between the leader’s style and the characteristics of the subordinates and the work setting. Path-goal theorists understand that if employees think that they are capable of performing their work, their efforts will have an outcome. And when the payoffs are worthwhile, then motivation is at play (Northouse, 2013).All of the preceding theories are only some of those guiding principles Level 4 leaders can utilize in influencing change or motivate others towards organizational goals. However, many Level 4 leaders are just temporarily successful. Collins (2001) indicated that long-term successful organizations have something in common, that is they have a Level 5 leader in transition.Level 5 – The Executive: Builds enduring greatness through a paradoxical combination of personal humility plus professional will. Level 5 touches the application of SWEATT model in leadership, leadership ethics, authentic leadership, servant leadership, and transformational leadership. The SWEATT (Strengths, Weaknesses, Excellence, Actions, Threats, and Team) model, developed by Dr. Russel Roberson (2011), may be utilized in driving a culture change in an organization. The SWEATT model was considered a level 5 because the utilization of the SWEATT process requires a leader to be honest enough to admit that there is a problem, compassionate enough to promote change for the good of the organization, and courageous enough to take action. It takes humility to be honest and compassionate. It takes courage to be humble.Level 5 hierarchy highlights that a leader must have the will and humility to lead. For humility to exist, one must be authentic (true) and willing to be a servant of others (selfless). Humility is a virtue. Therefore moral and ethical values are vital for a level 5 leadership. It emphasizes the necessity to carry the most forgotten virtue of a successful leader – humility. Many leaders may have reached success under their management, but overtime they drop the value of humility. Authentic leadership focuses on a genuine level of service for others developed after a while and may be triggered by life event (Northouse, 2013). Authenticity requires candidness and transparency bringing trust between followers and leaders. When there is trust, there is motivation among employees. People will sense the passion thriving within authentic leaders. Passion becomes contagious, touching others in many good ways. Therefore, one’s passion in leading an organization to success will motivate others to work with the same passion. Showing one’s passion is a way of communicating one’s vision. Passion drives inspiration - motivating others in the organization to move towards the vision.Servant leadership is influenced by the ethical principle of beneficence. Being a servant means putting other people first above himself. It is built with kindness, with caring, listening, and nurturing behaviors (Northouse, 2013). Service to others, like authenticity, is something leaders forget when they are in power. Servitude, other-centered actions, therefore is critical in level 5 leadership.Transformational approach like authentic and servant leadership is influenced by “values, ethics, standards, and long term goals” (Northouse, 2013). Transformational leaders are not just charismatic leaders or change agents, they inspire followers to accomplish great things with the influence of good morals and ethical values. In the article “Humility key to effective leadership,” Bradley Owens survey results were quoted when he claimed that humility cannot be faked (Ghosen, 2011). This implies that authentic leadership will reap humility. And humility from leaders sends a signal to employees that learning, mistakes, uncertainty, and false starts are anticipated and considered a normal growth process thus inspiring innovation (Ghosen, 2011). If it is easy for one to lose humility in success, it is more important to maintain humility amidst success (Fisher, 2010). In the article “Finding Humility in Leadership” Fisher (2010) also quoted Charles Montesquieu that to become truly great one must stand with and not above people (Fischer, 2010). Ron Edmondson states that the attributes of a humble leader as follows: one who “readily admits mistakes,” easily forgives, “gentle but strong,” “diverts attention” to share limelight with others, “remains thankful,” “recognizes limitations,” and “shares authority” (Edmondson, 2013)Level 5 leadership, the “pinnacle leadership,” is also concerned about leaving a legacy within the organization (Maxwell, 2011). Leaders should take the “opportunity to make an impact beyond your tenure and possibly beyond your own lifetime by developing a generation of leaders who will develop the next generation of leaders” (Maxwell, 2011).Application of Leadership TheoryThe five hierarchy of leadership by Jim Collins can be applied in the healthcare setting. In our Neonatal Intensive Care Unit, Level 1 means that the leader must have knowledge and experience in taking care of babies in the intensive care unit. The more experience the leader possesses, the more it will make him or her expert in NICU. It will also help if the leader has a college degree such as Bachelor’s in Nursing, Certification in NICU, or a post graduate degree such as an MBA in Healthcare. Level 2 means that he or she can communicate well with others, work with others in a group, and can contribute in achieving group goals. If the leader is able to conquer dealing with oneself, then he can move to conquering oneself in dealing with others. Charisma, social skills, and emotional intelligence are vital in working with people. Working in NICU entails dealing with various kinds of people, from housekeeping to physicians, from parents to caregivers, from poor to wealthy, from male to female, with various emotions such as sadness, grief, anxiety, or joy. The third hierarchy of leadership calls that the leader must know how to manage resources. Managing time, organizational finances, human resources, space, and others are needed for the survival of the NICU. Organizational or management skill is imperative at this level. In NICU, this means properly budgeting unit finances in order to pay loans, pay current bills, or plan for future expansion. Managing human resources mean properly staffing the unit with enough nurses with the ideal patient-nurse ratio in mind. Anticipating family medical leave of absences due to nurses giving birth, disabilities or illnesses, or retirement may entail the need to hire more nurses as full-time or temporary. Leadership in the fourth hierarchy means applying the principles needed to move people, to bring about change, to work toward a common organizational goal. It may mean that the nurse leader will use path-goal theory or transformational leadership while utilizing the SWEATT model in bringing about change. Last, but not the least, is that the nurse leader, being in power to hire or fire, to promote or demote, will maintain and uphold the highest moral and ethical values expected of a leader. The level 5 leader must always remember the importance of humility in conjunction with the will power to persist in bringing about the positive change for the good of the organization and its people. When the level 5 NICU leader understands, supports, and defends the needs of his people, the level 5 NICU leader stands by his people and not above his people. This is only accomplished with the presence of humility to connect with his people and the will power to lead his people.ReflectionSimilar to the Maslow’s hierarchy of human needs, a great leader must complete all the levels described by Collin’s Hierarchy of Leadership. To be the ultimate leader, one must traverse the five levels of leadership hierarchy. Level1 is the basic makeup. Having the basic skills, knowledge, and experience are fundamental to understanding the organizational process. Level 2 is the social factor. To have charisma, one needs to have good communication skills. Level 3 is the managerial makeup. Level 4 is everything that it takes to bring about change or anything that will bring about others to work on the common or organizational goals. Level 5 is the icing. It is the one that brings value that will make one’s leadership last and treasured beyond one’s tenure and organization. Authenticity helps. Humility has frequently reverberated in my mind as I find it often true that humility is often neglected when leaders are in office. People often forget why they want to be leaders. Or do people aim to be in position to gain power, money, and fame? I am pretty sure that many do not have this ill self-desires. Those who are well grounded with Level 5 are said to be the ultimate leaders when all four levels are satisfied for they have achieved the elusive goal of putting their organizations in a “long-run sustainable competitive advantage” with a touch of humility and will.Typical examples of great leaders that exhibit Level 5 leadership are some preachers as they represent truth and genuine communication. People who perceive preachers as honest are motivated. It takes courage to be humble. It takes courage to be honest. Honesty is humility. And honesty makes one stand with people and not above people. People are more convinced by humble leaders because humble leaders think of the interests of others before their own. “A humble leader is encouraging and kind, not critical, and looks for the best in others” (Levy, 2013). Because humble leaders are respected and valued more, they produce a strong united organization (Levy, 2013).Humility despite great power is rare. Human nature tends to thrive and survive even if it takes stepping on others. By nature, being a leader means one is at the top of the hierarchy – social, political, and economic. Being on top creates an illusion of being better than the rest, which creates a sense of primacy in entitlement and other privileges. And because of that, the tendency is to put one’s interest first. Leaders often forget that they are put in power to serve others not themselves and that leadership is about others and not about self. Humility is putting others first. Being in power is often confused with being a leader. To achieve great leadership, it is essential to spend more time to develop character with humility first, then work on leadership skills second. Humility and fierce resolve can be the by-products of the application of the SWEATT model and the ethical, authentic, servant, and transformational approach to leadership. Imagine a leader who has almost all of the five levels of leadership, but lacks humility. Now imagine one who is successful in bringing out the best in his people and his organization yet modest in giving credit to his people. Instead of taking glory, he would rather give credit to others. A level 5 leader is more concerned about the long-term success of his organization beyond his lifetime and not just the success of his organization during his tenure. Level 5 leaders are more capable of achieving the long term success of his organization even beyond his lifetime. Level 5 leaders put his organization first before his own needs (fame, fortune, power, adulation). With life’s passing years, the more I get intrigued with virtue and moral values. I realize that one must strive to have better moral and ethical values. In order to thrive in a challenging world, through different personal situations and life experiences one sometimes puts aside ethical and moral values -- humility in particular. Though innately introvert and with humility inherent in me, I am one of those who thought humility should be cast aside to avoid the perception of being weak. However, the leadership class and this paper opened my eyes that humble leaders are greater than skillful leaders. To be a good leader, one must conduct an honest self-examination to find out if one has the will to lead and the humility to serve others. For leadership is not about oneself but about serving the interests of others. Truly, leadership tempered by humility by putting others first is the purest and most effective exercise of privilege and power.AppendixSource: Leadership and the One Minute Manager: Increasing Effectiveness through Situational Leadership, by K. Blanchard, P. Zigarmi, and D. Zigarmi, 1985. New York: William Morrow.ReferencesBlanchard, K., Zigarmi, P., and Zigarmi, D. (1985, 09). Situational Leadership. Retrieved 11, 2013, from , J. (2001, 01). Level 5 leadership: The triumph of humility and fierce resolve. Retrieved 11, 2013, from , C. (2010, 04). Finding humility in leadership. Retrieved 11, 2013, from , D. (2004, 01). What makes a leader? Retrieved 11, 2013, from , J. (2001, 12). What leaders really do. Retrieved 11, 2013, from , R. (1974, 09). Skills of an effective administrator. Retrieved 11, 2013, from , M. (2013, 09). Unity in leadership Part 5: Humility builds unity. Retrieved 11, 2013, from , J. (2011, 08). 3 thins level 5 leaders do. Retrieved 11, 2013, from , P. (2013). Leadership: Theory and Practice (Sixth Edition ed., Vol., pp.). Los Angeles, California: Sage Publications, Inc..Rockwell, D. (2012, 09). Unity in leadership Part 5: Humility builds unity. Retrieved 11, 2013, from , C. (2012, 04). Self regulation and Leadership. Applied Psychology - Grad School Blog. Retrieved 11, 2013, from ................
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