1/18/2023

Introduction to leadership:
principles and concepts
Dr. Elizeus Rutebemberwa
Department of Health Policy, Planning and Management

Learning objectives

By the end of this session, you should be able to:

1) Describe leadership
2) Discuss theories of leadership
3) Describe the principles of leadership
4) Discuss leadership functions

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1) What is leadership?
"The pessimist complains about the wind. The optimist expects it to change.
The leader adjusts the sails.” -John Maxwell

Examples of leaders
• Who are some of the leaders you know?
• How do people become leaders?

They stood for

a cause,
They fought for
a cause,
They died for a
cause

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What is leadership?

“Art of influencing, guiding and managing effectively” (McMahon Rosemary, Barton

Elizabeth, Piot Maurice, 1980, On Being in Charge, World Health Organization, Geneva)

“Leadership is the process through which an individual attempts to

intentionally influence another individual or a group in order to
accomplish a goal” (Shortell SM & Kaluzny, 2000, Developing Management Skills, Delmar, Albany)

What is leadership?

A process whereby and

individual intentionally
influences followers towards a
goal.

Paradise

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2) Leadership theories
No theory is completely irrelevant. It depends on the context in which it
is applied.
Zakeer Ahmed Khan et al., Leadership Theories and Styles: A Literature
Review; Journal of Resources Development and Management, 2016

Exercise
• Why do certain people become great leaders and others do not
become leaders?

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What do leadership theories do?

1) Explain how and why certain people become leaders (focus on
characteristics that leaders exhibit)
2) Recently – what are the behaviours that leaders could adopt to
improve their leadership abilities.

Individual: hard work Nurture: Upbringing,

and commitment environment

Situation: emergency
or not, with seniors or Nature: natural
not endowment

1) The Great man theory: Context

➢Around mid 1800s – early 1900s
➢Based on kings and being born into leadership
➢Ignored great women such as Joan of Arc and Catherine the Great
➢Studied people who were already great leaders; mostly aristocrats
➢Led to belief that in time of need, a great man would arise: Moses,
Churchill etc.

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The Great Man theory: Assumptions & discussions

➢Leaders are born and not
made
➢Leaders have natural abilities
of power and influence,
courage, charisma
➢Great leaders will arise when
there is great need

❑Focussed on characteristics
and being born in leadership

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Some leaders with roots in ruling clan

A Xhosa, Mandela
Leadership in
Researchers at the New
was born to the families England Historic
Thembu royal family 1) Jomo and Uhuru Genealogical Society,
in Mvezo, British Kenyatta founded in 1845, said :
South Africa 2) Thambo Mbeki’s
father was Chairman Obama, the son of a white
of ANC – Oliver woman from Kansas and a
Mugabe was a chief Thambo black man from Kenya, can
3) George Bush and call six US presidents his
George W. Bush cousins: both Bushes, Gerald
4) Nana Akufo- Ford, Lyndon Johnson, Harry
The father of Julius Addo’s father was Truman and James Madison.
Nyerere was the chief Edward Akufo-Addo, The society, a non-profit
of the small Zanaki former President of organisation, found he is also
tribe. Ghana related to Churchill.

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Genealogy
➢“What do Barack Obama, Thomas Jefferson, George W. Bush and the
other past U.S. presidents have in common? Besides holding the
coveted title of commander-in-chief, it appears that all of them but
one are cousins. The remarkable discovery was made by 12-year-old
Bridge Anne d’Avignon, of Salinas, California, who created a ground-
breaking family tree that connected 42 of 43 U.S. presidents to one
common, and rather unexpected, ancestor: King John of England.”
-Mail on line

Don’t you think they can connect the commanders-in-chief to

some notorious criminals like rapists and murderers?

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2) The Trait theory: Context and Assumptions

➢Was around 1907 – 1947
➢People are born with inherited traits
➢A leader has superior or endowed
qualities
➢Certain individuals have a natural
ability to lead
➢Leaders have traits which separate
them from followers
➢emergent traits (those which are
heavily dependent upon heredity) as
height, intelligence, attractiveness,
and self-confidence and effectiveness
traits (based on experience or
learning), including charisma,

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The Trait theory: Discussion

➢Many agree on the saintly qualities needed to be a leader
➢The problem has been identifying characteristics that differentiate
leaders from people with the same traits who are not leaders
➢Scholars studied traits of military and non-military leaders exposed
the significance of certain traits developing at certain times
➢Situational factors have been considered more realistic as reasons for
people acquiring leadership positions.

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3) Situational theories: context

➢1950s – early 1980s
➢Hold that leadership is based on the situation in which it is being
exercised
➢Stogdil - proposed that leadership is a matter of situational demands
emergence of a leader is a result of time, place, and circumstance

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Situational theories: assumptions

➢Leaders act differently
depending on the situation
➢The situation determines who
will emerge as a leader
➢Different leadership behaviours
are required for different
situations
➢There may be different styles
required at different levels in the
same organization

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Situational theories: Discussion

These theories bring out the influences on the leaders in their decision
making:
1) forces in the situation,
2) forces in the followers
3) forces in the leader
4) importance of the task: in critical conditions, a leader may be
directive in style due to failure implications

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Which leadership style do you apply here?

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4) Behavioural theory: Context

➢Prospered around 1950s and 1960s
➢Included: managerial grid model (Blake and Mouton), university of
Michigan studies, Ohio state studies.
➢Had a great following in the USA. Psychologists like BF Skinner
influenced it greatly.

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Behavioural theory: Assumptions

➢Leaders can be made, rather
than being born
➢Successful leadership is based
on definable, learnable
behaviour
➢There is a best way to lead, “the
best way approach”
➢One can become a leader
through teaching, learning and
observation

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Behavioural theory: Discussion

➢These concentrate on what leaders actually do rather than on the
qualities they possess.
➢It opens opportunities to many of those who may have never been
leaders
➢It seems to answer the question: “What are the different styles of
leadership and how effective are these styles?”

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Did these leaders have to learn?

“Leaders aren’t born, they are made. And they are made just like anything
else, through hard work. And that’s the price we’ll have to pay to achieve that
goal, or any goal.” – Vince Lombardi

Where was the

school they
studied
leadership
from?

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5) Reciprocal theories: Context

➢1978 – present
➢Stress mutual goals of leaders and followers
➢Examples: Transforming leadership by Burns, Servant leadership by
Greenleaf, Kouzes and Posner – 5 Practices of leadership, Social
Change Model of Leadership, Leader – Member Exchange (LMX)
theory

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Reciprocal theories: Assumptions

➢Leadership is a relational
process
➢Emphasis is on follower-ship
➢People are motivated by reward
and punishment
➢Prime purpose of a subordinate
is to do what the leader tells
them
➢People will follow a person who
inspires them

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Reciprocal theories: Discussion

➢Human beings are not simply motivated by money and reward. Such
evidence was based more on experiments in animals in a laboratory
set –up. Life is more complex with emotional and social intricacies
➢In real life this can be linked to employment where the employees
commit themselves to execute the will of their employers in exchange
for wages and benefits.

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The LMX theory

➢Describes how leaders in groups maintain their position through a
series of tacit exchange agreements with their members
➢Leaders have a special relationship with an inner circle of trusted
lieutenants to whom they give high levels of responsibility, decision
influence and access to resources
➢This inner group pay for their position & work harder.
➢The leader has to balance the power he gives them not little to fail to
implement and not much to be free

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Kitchen cabinets
The Kitchen Cabinet was a term used by political
opponents of President of the United States Andrew
Jackson to describe his ginger group, the collection of
unofficial advisors he consulted in parallel to the
United States Cabinet (the "parlor cabinet")

The Kitchen Cabinet is the term used to refer to the

advisers and other staff at Number 10 who form the
so-called 'inner circle' around the Prime Minister. ...
Often the advisers that make up a Kitchen Cabinet use
their position at the heart of government as a
springboard for a Parliamentary career.

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The LMX theory: the process

1) Role taking
▪ The member joins the group and the leader assesses their abilities
and talents.
▪ The leader gives the person the opportunity to demonstrate the
talents.
▪ Both parties discover how the other likes to be respected.

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The LMX theory: the process

2) Role making
▪ Informally the leader and member take part in unstructured
negotiation. There is a promise of benefit and power in return for
dedication and loyalty
▪ Trust building is necessary at this stage
▪ Relationships are built in at this stage. A member similar to the leader
in various ways is likely to succeed
3) Routinization
▪ A pattern of on-going social exchange between the leader and
member becomes established.

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The LMX theory: Success factors

➢Those similar to the leader
➢Working hard to sustain trust and respect
➢Are empathetic, patient and sensitive
➢Aggression and sarcasm are a ticket to the outside.
➢Size of the group, finance resource availability and workload are
important
➢People at the bottom of an organization can wield influence coz of
circles up the hierarchy

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The LMX theory: implications

➢When you join a team strive to join the inner circle by:
- Taken on more than your share of administrative tasks
- Demonstrate unswerving loyalty
- See your leader’s point of view
- Be supportive to your leader
- Pick your moments carefully
➢As a leader: pick the inner circle with care

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Individual: hard
work and Nurture: Upbringing,
commitment Environment

Situation:
emergency or not, Nature: natural
with seniors or not endowment

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6) Transformational leadership
➢Leader engages followers based
on common values towards a
greater good
➢Set aside personal interests for
the sake of the common good
➢Transformational leaders raise
the motivation and morality of
both the follower and the leader
➢The 4 “i”s: idealized influence,
inspirational motivation,
intellectual stimulation, and
individual consideration.

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Higher
good

We must dare to invent the

future (Thomas Sankara)
Individual: hard
Nurture: Upbringing,
work and
Environment
commitment

Situation:
Nature: natural
emergency or not,
endowment
with seniors or not

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3) Principles of leadership

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Principles of Leadership
Twelve key principles of leadership, “Extreme
Ownership” by J. Willink and L. Babin 1) Lead by example.
1) Extreme ownership
2) Be human and admit mistakes.
2) Believe in the mission
3) Develop leadership skills.
3) Check the ego, admit mistakes 4) Have solid values.
4) Lead down the chain – go to the front line
5) Understand the value of listening.
5) Lead up the chain – support your boss
6) Promote diversity.
6) Decisiveness Amid Uncertainty 7) Leadership is about people
7) There are no bad teams, only bad leaders
8) Work together to achieve more.
8) Team work
9) Help to develop future leaders.
9) Decentralized command 10) Use technology and innovation.
10) Simplify the plans and orders
11) Focus on change.
11) Prioritize and execute
12) Plan

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Principles of leadership
1) Know yourself and seek self-improvement.
2) Be technically and tactically proficient.
3) Seek responsibility and take responsibility for your actions
4) Make sound and timely decisions.
5) Set an example.
6) Know your people and look out for their welfare.
7) Train your people as a team.
8) Develop a sense of responsibility among your subordinates
9) Keep your people informed.
10) Employ your team in accordance with its capabilities.
11) Ensure assigned tasks are understood, supervised, and accomplished.

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How do leaders grow?

Challenge

Feedback Support

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4) Functions of a leader

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Leadership practices
Effective leaders wherever they are perform four essential leadership
functions:
1) Scanning
2) Focussing
3) Aligning and mobilising
4) Inspiring

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a) Leadership practice: scanning

• A leader scans the organization & external environment to
understand patterns and trends.
• Figure out current and future effects of new developments
• Scan sources of information on client needs, expectations, local and
international social and political conditions
• Example: Radars, intelligence etc.

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Self knowledge
• One’s principles: What do you stand for? What are your principles?
What would you want to be remembered for?
• One’s values: What is your moral stand on social issues like capital
punishment?
• One’s strengths and weaknesses: Orator? Mobiliser? Articulate
thinker?
(Moses got a speaker – Aaron)
- Self in relation to others

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Knowledge of the immediate team members

• What are their strengths and weaknesses?
• What are their ambitions, future plans?
• What are their networks?
• What are their interests in being part of the team?
• Who is interested in their skills?

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Scanning the environment: Situation analysis

• Doing a SWOT analysis:
- External/ outside us
a) Opportunities
b) Threats
- Internal within us
a) Strengths
b) Weaknesses

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Scanning: Review

• Read self: to understand oneself is to understand other humans as well

• Read & interpret environment & organization (current situation: needs,

trends, national priorities)

• Look out for opportunities, strengths, weaknesses, challenges/constraints

• Enables you identify challenges, obstacles and strategy to deliver positive

change

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b) Leadership practice: Focusing

• You focus on an organizational response otherwise you waste time
and resources
• You focus on strategic challenges, a vision for the future, strategic
objectives and goals for work
• The way in which their work contributes to the goals of the
organization
Example; How do politicians impress on the electorate that their votes
are needed?

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The urgency and importance matrix

Less important More important

More urgent More urgent

Less important More important

Less urgent Less urgent
urgent
Important

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c) Leadership practice: aligning and mobilizing

• External and internal challenges may detract the members from the
objective; a leader aligns by keeping members aligned on the
organizations strategic direction.
- Motivate individuals
- Recognize and reward good performance
- Mobilize resources through internal allies and external partners

• Example: Guerilla war leaders keep people for years…

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Non-aligned organization

Intended direction

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Aligned organization

Intended direction

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d) Leadership practice: Inspiring

➢To inspire, you “walk the talk”.
➢Leaders inspire the followers through their ethics, behaviour and
values
➢Challenge others to take responsibility, develop their talents and
think creatively.
➢Invest in staff development and learning so as to be skilled in leading
throughout their careers

Example: Leaders in companies, or non-leaders…(no succession)

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What is to inspire?
➢To inspire, you “walk the talk”, you create trust
➢Leaders inspire the followers through their ethics, behaviour and
values
➢Challenge others to take responsibility, develop their talents and
think creatively.
➢Invest in staff development and learning so as to be skilled in leading
throughout their careers

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Key issues in inspiring

1) Coaching:
Develop followers’ talents, enable them to perform
2) Follower-ship:
“A leader without followers ceases to be a leader”
3) Succession:
“A successful leader is one who has got a successful successor”

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1) The leader as a coach

❑Develops technical, personal and interpersonal skills of the followers
❑Encourages others to achieve desired results
❑Creates enthusiasm and commitment in others
❑Knows what motivates his/her followers

➢Develops plans for meeting performance outcomes

➢Keeps track of an follower’s overall performance
➢Creates an environment that nurtures growth

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2) What is follower-ship?
• This is being led by a leader. Having followers is what makes a leader a
leader.
• Followers are different from subjects. Subjects are under a manager
by virtue of office but followers are under the leader for a certain goal
• Subjects comply with the law but followers are committed to the
cause

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2) Followership:
Robert Kelley’s Followership dimensions and styles, adapted from Kellerman (2008)

1) Passive followers – Passive,,

dependent and uncritical
thinkers
2) Conformist – Active,
dependent and uncritical
thinkers
3) Alienated – Passive,
Independent and critical
thinkers
4) Exemplary – Active,
Independent and critical
thinkers

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3) Succession
➢Passing on the mantle of leadership
➢It involves knowing that at one time, one will not be there and the
organization has to continue
➢It is getting somebody to carry on the work
➢Offer challenge, support creativity, initiative, innovation & feedback &
willingness to learn –Motivate
➢Develop others to do the work for “Success without a successor is failure!!!”

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Review

At the end of this session, you should be able to:

1) Describe leadership
2) Discuss theories of leadership
3) Describe principles of leadership
4) Discuss leadership functions

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Resources
D’Souza AA, Leaders for Today, Hope for Tomorrow,, Paulines Publications Africa,
Kolbe Press, Limuru, 2004
Green A, 2001, An Introduction to health Planning in Developing Countries, Second
Edition, Oxford University Press, Oxford
McMahon Rosemary, Barton Elizabeth, Piot Maurice, 2002, On Being in Charge,
World Health Organization, Geneva
Shortell SM & Kaluzny, 2000, Developing Management Skills, Delmar, Albany
Stoner JAF, Freeman RE, Gilbert DR, 1995, Management, 6th Edition, Prentice-Hall
Inc., Englewood cliffs, N.J.)
Wheeten DA & Cameron KS, 2005, Developing Management Skills, Pearson
Education Limited, Upper Saddle River.
The Manager(2001): Developing Managers who lead. MSH.; Vol. 10 Number 3

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