Professional Documents
Culture Documents
RUSS MARION
409 Tillman Hall
School of Education
Box 340710
Clemson University
Clemson, SC 29631
Marion2@clemson.edu
MARY UHL-BIEN*
Department of Management
University of Central Florida
PO Box 161400
Orlando, Florida 32816-1400
(407) 823-2915
mary.uhl-bien@bus.ucf.edu
*
Names listed alphabetically
Complexity v. Transformation: The New Leadership Revisited
Abstract
Bass (1985), and others, has proven to be one of the more important macro perspectives
perspectives of leadership. For this reason, Bryman (1996) labeled it the “new
perspectives to emerge out of the “new science” (Wheatley, 1999). While both models
several basic constructs underlying transformational theory (its relationship to control, for
key differences between Transformational and Complex Leadership. We argue that the
differences between the two are consequential--so much so that we propose Complex
leadership can be more fully realized within a context of network interdependency, and
Bass (1985), and others, has proven to be one of the more important macro perspectives
perspectives. The transformational leader “looks for potential motives in followers, seeks
to satisfy higher needs, and engages the full person of the follower” (Burns, 1978, p. 4) in
an effort to transform followers into self- motivated “leaders” and to create a culture of
organizational effectiveness. Bryman (1996) has labeled this, “the new leadership,” to
theory explores the dynamics of social network behavior, focusing on the products of
activity is certainly important, but it is couched within the broader context of interactive
dynamics.
as a new “new leadership.” This paper will discuss what is meant by Complex
Leadership and will describe the leader’s role in the development of effective
theory (its relationship to control, for example); more generally, we argue that
Finally, we will argue that Transformational leadership can be more fully realized within
Complexity theory is the study of self- reinforcing interdependent interaction and how
such interaction creates evolution, fitness, and surprise (Arthur, 1989; Bak, 1996;
complex dynamics are impelled more by such interaction than by leadership action (e.g.,
that recursively interact with, and mutually affect, one another, and in so doing generate
novel behavior for the system as a whole (Marion, 1999; Regine & Lewin, 2000).
In this way, Complexity theory moves away from linear, mechanistic views of the
world, views that seek simple cause-and-effect explanations for physical and social
seeks order and stability, complexity science sees nature as too dynamic, unpredictable
organizational events. This interactive dynamic can be described as recursive; that is, it
exhibits interdependent, multi- way chains of causality, non- linear behaviors, and
nature of, or enable, the emergence of complex networks. To discuss this more fully,
Marion & Uhl- Bien (2001, 2002) developed the concept of Complex Leadership.
Complex Leadership states that rather than looking to influence systems directly,
Complex Leaders need to foster the conditions that enable productive, but largely
unspecified, future states. They do this by feeding the natural bottom-up dynamics of
emergence, innovation, and fitness. They think broadly in terms of systems, of nonlinear
effects, and of network forces, and they understand the patterns of complexity and learn
Complex leadership occurs on two levels: micro and macro. On the micro- level,
Micro- level Complexity Theory (Marion & Uhl-Bien, 2001) describes how organizations
arise, and leaders emerge, through a process of correlation (Poincare, 1992, as elaborated
by Prigogine, 1997, and Marion & Uhl-Bien, 2001) that leads to aggregation. Correlation
compromise a measure (but not all) of their individualistic need-preferences to the needs
that it is a function of interaction among the basic units of a system, although the milieu
in which it occurs is typically influenced (for better or worse) by leadership decisions. In
this way, micro- level Complex Leadership behaviors involve negotiating through
1997) at the local level in ways that help establish correlational bonds (Marion & Uhl-
At the macro-level, Complexity Theory is about structures and behaviors that emerge
Aggregation is the structuring of agents into forms and ideas; it is the result of recursive
interaction (e.g., autocatalysis, Kauffman, 1993; Marion, 1999) and correlation at the
micro- level. Structure and behavior at the macro-level emerge from the uncertainty,
also elude control and prediction. Therefore, macro- level Complex Leadership involves
creating conditions that enable the interactions through which the behaviors and direction
determining or directing what will happen within the organization; rather they seek to
This is not to say that direction and determination does not occur. Complex
Leadership involves direct and indirect leadership behaviors. Direct leadership behaviors
are broadly defined as deliberate efforts to influence; they provide direction, and
influence and control the direction of behaviors. Indirect leadership behaviors do not
directly influence; rather they may foster innovation and fitness through such activities as
stimulating conditions that simultaneously create conflicting constraints and enable their
resolution, and by providing unifying symbolic meaning that serve to spark bottom- up
activity.
Within Complex Leadership, the most appropriate direct leadership behaviors are
usually localized in nature and primarily impact immediate conflicting constraints and
local dynamics, e.g., micro- level Complex Leadership. Because this type of leadership
acts largely for selfish (locally focused) reasons, however, this self- interest may result in
constraints at the macro- level. These conflicting constraints can be resolved for the good
of the whole system, but require the use of indirect leadership behaviors, e.g., macro-
network structures that present complexly interactive challenges, create atmospheres that
“empower” workers to deal with constraints, and enable network relationships that can
Another type of indirect leadership behavior is the “tag” (Marion & Uhl-Bien, 2001).
Holland (1995) introduced the concept of tag based on his observations of the emergence
of specialized catalytic forms in his neural network simulations. Generally, tags are
catalytic “things” (as opposed to events; a terrorist bombing is a catalyst but a bomber is
a tag catalyst) that lend overt, even deliberate, symbolic meaning to an emergent event.
Tags perform two specific catalytic functions. First, by providing unifying symbolic
meaning, they delineate their systems from their environments, give them identity, and
help bond constituent parts. Thus a tag can be (among other things) an idea, a physical
symbol of a system such as a flag, a common enemy, or a belief. Second, tags can
perform leadership functions. As such, they serve to spark bottom- up activity rather than
Leadership tags function as unifying symbols of a movement, they articulate its goals,
and they embody its meaning. Tags (including leaders) emerge out of, and owe their
existence to, interactive dynamics. They rarely (and we suspect, never) initiate an
interactive dynamic themselves; rather they are produced by the broader dynamic.
several key issues. First, Complex Leadership argues that organizations and their leaders
are products of interactive dynamics. That is, leaders do not create the system; it is
that leadership behaviors permeate the complex system. Third, Complex Leadership
argues that complex systems are better led by indirect than direct leadership behaviors.
At the micro- level, Complex Leadership may involve direct leadership behaviors, but
leadership is still not intended to control but rather to negotiate through conflicting
constraints and create linkages that contribute to aggregation, emergence, and innovation.
Finally, Complex Leadership at the macro- level can more effectively impact the fitness
connectivity among diverse agents; enabling effective coupling of structures, ideas, and
innovations to ensure they are neither too loose nor too tightly interdependent; and
stimulating systems toward emergent surprises (Marion & Uhl- Bien, 2001).
Transformational Leadership
approach and suggests more direct attempts at leadership influence. It does this through
its emphasis on vision (e.g., direction) and getting people to “buy into” and follow the
vision (e.g., control). At the macro- level, Transformational leadership views the leader’s
role as a manager of meaning, providing a strong link between the leader’s behavior and
emphasizes the emotional reactions of followers to the leader’s vision, and focuses on
leaders understanding and managing followers’ reactions so they can know best how to
As noted by Conger (1999), with Transformational leadership the “heroic leader has
given the transformational leader’s strong orientation toward the development of others”
(p. 149). Burns (1978) described the “transforming” leader as one who raises the
aspirations of his or her followers such that the leader’s and follower’s aspirations are
vision of the future that can be shared, make sure it is communicated and intelligible to
followers, and in this way transform followers and often organizations in correspondence
with their vision. According to Tichy and DeVanna (1986), by defining the need,
creating new visions, and mobilizing commitment to these visions, leaders can ultimately
transform organizations.
At the micro- level, transformational leaders motivate their followers to commit to and
realize performance outcomes that exceed their expectations (Bass, 1985). In Bass’
(1985) theory, three primary processes are involved: 1) leaders heighten followers’
awareness about the importance and value of goals and the means to achieve them; 2)
leaders induce followers to transcend their self- interests for the good of the collective and
its goals; and 3) leaders stimulate and meet followers’ higher order needs (as reported in
Conger, 1999, p. 151). They do this through the use of four behavioral components: a)
central activity of the leader, and aims to empower and to promote high task
accomplishment (Conger, 1999). With charisma, leaders challenge the status quo and get
followers to do the same. Through intellectual stimulation, leaders provide a new flow of
ideas and perspectives that challenge follower’s thinking concerning organizational tasks.
followers, assist their development by promoting growth opportunities, and show trust
and respect for them as individuals. The role of individualized consideration is to build
Finally, with inspiration, transformational leaders influence followers’ motivation and get
These approaches advocate the transformational influence of leaders, where the main
goal is to change followers’ core attitudes, beliefs, and values rather than induce only
vision, developing a deep collective identity, and heightening individual and collective
to attitudes changes among followers, identification with the leader, and internalization of
From this discussion, we can see sharp differences between Complexity perspectives
Leadership is its movement away from control (Stacey, Griffin, & Shaw, 2000;
Streatfield, 2001). While Transformational theory is also said to move away from control
(e.g., away from compliance and toward empowerment), the impetus for control in
Transformational leadership still lies with the leader. In Complexity perspectives, control
lies not with the leader but within interactive dynamics of the system. More specifically,
Transformational leadership sees control as top down, and at the discretion of the leader;
Complexity theory sees control as bottom- up and imbedded within the dynamics of the
system.
Examination of arguments from critical theorists helps illustrate this point. Critical
theorists argue that all of organizational theory serves the control preferences of a
capitalistic elite (Jermier, 1998). The control agenda is particularly evident in the early
20th century works of Taylor (1911), Fayol (1916), and Weber (1947) and in the
contingency theory literature (Fiedler, 1967; House, 1971). It may also be seen, however,
example, Etzioni (1964) argued that the human relations movement was ultimately about
extending the preferences of elites but does so with a “velvet glove of control” (Jermier,
1998).
Critical theorists have likewise indicted the tools of human relations perspectives,
such as team-based production. Ezzamel and Willmott (1998) believe that “teamwork
in the rhetorics of "clannism" and humanization” (p. 358-359; see also Knight &
Willmott, 1987). Mueller (1994) argued that team-based management strategies seek to
transformational behaviors seek to advance the leader’s control and managerial agendas
ultimately about accomplishing the vision of the leader. What they actually do is to
subtly control workers’ minds and actions by structuring the organization in ways that
forces them to “act out” on the “elite’s” goals. Elites manipulate the language, structure,
and goals of commerce, and workers are deluded into thinking they have freely “bought-
are sensitive to control agendas and to the subtle ways their authority can advance these
agendas. They recognize that fitness, emergence, and innovation are the product of
bottom- up activity, and therefore the potential of emergence can only be limited if
controlled by a central personality. This is not to say that overt control should be
they can take advantage of catalyzing direction by serving as tags (e.g., indirect
and success, while Complexity theory sees the leader as part (albeit an important part) of
an entire social network. Complex leaders foster a general mission for the organization
but treat that mission as a changing, organic entity and avoid using it to limit innovation.
Moreover, they use their authority and charisma as a tag and not as a limiting force.
transformation as inducing followers to transcend their self- interests for the good of the
commitment to innovation and bottom- up productivity from diverse goals and skills
(distributed intelligence).
not be convinced of the need to commit to the higher-order goal. In Complexity theory,
the central dynamic is interactions and interdependencies among diverse goals, needs,
localized within aggrega tes than centralized across the system, and the aggregates are
common purpose and a sense of unity, and while in that sense these leadership tags may
act like transformational leaders, the key dynamic of control is still the interdependence
of diversity. If the tag is so powerful that it subjugates the diversity (as is implied by
compromises the very strength of the system—its ability to innovate and emerge
(McKelvey, in press).
centered around a leader, for that would stifle innovation and emergence. Rather it is
attitudes around a central vision; Complex Leaders transform a social system into a
neural network of diverse, adapting agents. Transformational leaders convert people into
replicas of themselves; Complex Leaders (e.g., tags) convert people into diverse but
Another key difference between the two approaches is in their view of causality.
series of events but defines them as functions of nonlinear, rather than linear, causal
activities. Put simply, outcome (knowledge) is the product and property of complex
interactions rather than the product of an independent variable or chain of such variables.
1996; Smircich & Morgan, 1982). We argue that Complexity theory defines leaders as
recursion. Manage in this sense does not mean control; rather it is better defined as
because of their implications for creativity and organizational fitness and survival. As
the organizational processes that ultimately determine effectiveness are seldom described
in any detail. One essential leadership function is to help the organization adapt to its
environment and acquire resources needed to survive (Hunt, 1991; Yukl, 1998)” (p. 288).
However, the process by which Transformational leadership can do this is not sufficiently
This is where Complexity theory can help. Complexity theory addresses the
processes through which organizations achieve fitness and survival, and Complex
Leadership helps explain leaders’ role in the Complexity process. The practice of
organizational creativity and fitness because it does not focus on organizational processes
but rather on the leader. Complexity theory, by focusing on the organizational process,
unidirectional, and it flows from the leader to the follower” (Yukl, 1999. p. 292). When a
leadership. It does not require an individual who can perform all the essentially
inform regarding a key element in Complexity, the role of the tag. In particular, the
emphasis on collective identification in charismatic approaches speaks to the symbolism
and unifying appeal of the tag. Tags help generate a common purpose and a sense of
unity; they understand catalytic events and use them to mobilize and guide behavior.
motivating leadership behavior, may be able to help Complexity theorists understand how
the role of tags work in complex systems, and how they relate to Complex Leadership.
Conclusion
In this paper we have argued that Transformational and Complexity theories offer
identifying vision and mobilizing followers behind that vision. Complexity provides a
bottom- up model of emergence, with Complex leaders bonding (direct) and enabling
(indirect) rather than controlling the interactive dynamics that lead to creativity and
leadership may be able to fit within a broader theory of Complex Leadership and that by
leadership, with its emphasis on the leader and lack of attention to organizational
processes (Yukl, 1999), could benefit from integration with a process-oriented model of
role would need to be considered from the standpoint of a tag, meaning that
transformational leadership would not be hierarchical and authoritative but rather
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