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The cultural context of leadership

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Title:
The cultural context of leadership ethnic culture, leadership development and Colorado chicanas and chicanos
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Martinez Martinez, Deborah
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xvi, 284 leaves : illustrations ; 28 cm

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Mexican American leadership -- Colorado ( lcsh )
Mexican Americans -- Politics and government -- Colorado ( lcsh )
Civic leaders -- Interviews -- Colorado ( lcsh )
Mexican Americans -- Social life and customs -- Colorado ( lcsh )
Leadership -- Effect of ethnicity on ( lcsh )
Leadership -- Dissertations ( lcsh )
Education -- Dissertations ( lcsh )
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bibliography ( marcgt )
theses ( marcgt )
non-fiction ( marcgt )

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Thesis:
Dissertations (Ph. D.)--University of Colorado at Denver, 2001.
Bibliography:
Includes bibliographical references (leaves 264-284).
General Note:
School of Education and Human Development
Statement of Responsibility:
by Deborah Martinez Martinez.

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University of Colorado Denver
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Auraria Library
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66463520 ( OCLC )
ocm66463520
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LC1192.E48 M27 C85 2001 ( lcc )

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Full Text
THE CULTURAL CONTEXT OF LEADERSHIP:
ETHNIC CULTURE, LEADERSHIP DEVELOPMENT, AND COLORADO
CHICANAS AND CHICANOS
by
Deborah Martinez Martinez
B.A., University of Southern Colorado, 1976
M.A., University of Northern Colorado, 1992
A thesis submitted to the
University of Colorado at Denver
in partial fulfillment
of the requirements for the degree of
Doctor of Philosophy
Educational Leadership and Innovation
2001


2001 by Deborah Martinez Martinez
All rights reserved.


This thesis for the Doctor of Philosophy
degree by
Deborah Martinez Martinez
has been approved
by
Date


Martinez Martinez, Deborah (Ph.D., Educational Leadership and Innovation)
The Cultural Context of Leadership: Ethnic Culture, Leadership Development, and
Colorado Chicanas and Chicanos
Thesis directed by Professor Nadyne Guzman
ABSTRACT
The purpose of this grounded theory research was to discover the relationship
between ethnic culture and leadership development within a cultural context.
Chicanas/os of southern Colorado were selected as the study group. Interviews were
conducted with ten participants selected by reputational sampling. Interviews were
recorded and transcribed, producing text. Content analysis was used to determine
commonly emerging themes. The learning of leadership, for these Chicana/o
participants, relied on human interaction guided by interpersonal respect, intercultural
respect, in a group setting that is process-oriented, spurred on by occasions of crisis.
Common background factors are home environment, religion, school and
community environment, ethnic identity, parental characteristics, higher education
experience, and personal attributes and experiences. Both cultural awareness and
religious upbringing emerged as filters for the potential leaders experiences, moving
on a lifespan continuum toward leadership.


This abstract accurately represents the content of the candidates thesis. I recommend
its publication.
Signed_
Nadyne Guzman


DEDICATION
I dedicate this thesis to my husband Michael for his unfaltering support while I was
writing this, and to my daughter Natasha for her patience and kindness. May the
effort of the family benefit the family. I thank them for their understanding of my
utter fascination with the academic side of learning.


ACKNOWLEDGEMENT
Many thanks, muchas gracias, to my advisor Nadyne Guzman, for her understanding
and her patience with me during these past four years. I also wish to thank professor
Rod Muth for his invaluable editing and input on my evolving thesis. I wish to
acknowledge L. A. Napier and A1 A. Martinez for the big footsteps they left for me to
follow.


CONTENTS
Figures..............._........................................xiv
Tables.........................................................xv
Use of Dual Surnames .........................................xvi
CHAPTER
1. INTRODUCTION....................................................... 1
Background of the Problems.......................................2
Cultural Context of Leadership...................................5
Ethnic Minority Leadership......................................11
Summary Description of Study Group..............................12
Research Framework.............................................17
Conceptual Framework............................................23
Overview of the Literature-.....................................24
Research Questions..............................................26
Significance of the Study......................................28
Limitations................................................... 30
Methodology................................................... 34
Structure of the Dissertation
35


2. LITERATURE REVIEW
.37
! Leadership...........................................................37
i
Culture..............................................................51
Cross-cultural Leadership............................................63
| Leadership Development...............................................72
Ethnic Identity and Ethnicity........................................79
Chicana/o Leadership and Leadership Development......................82
Chicana/o Leadership.................................................83
Background....................................................84
Stage 1 Research: Counting Chicana/o Leaders..................92
Stage 2 Research: Who Are the Chicana/o Leaders?..............94
Stage 3 Research: Chicanas/os Studied as Disadvantaged.......98
Stage 4 Research: Chicanas/os Studied On Their Own Terms.....112
Chicana/o Leadership Development....................................118
Culturally Determined Behaviors.....................................119
Minority Status..............................................120
Cooperation..................................................120
; Respect.......................................................120
! Oratory.......................................................121
| Interpersonal Relationships...................................121
i
Nonverbal Communication......................................122
IX


Roles
123
Famiiialism.................................................124
Supportive Behaviors........................................124
Acculturation...............................................125
Shame.......................................................125
Sample Population: Chicanos as a Cultural Group....................126
3. METHODOLOGY............................................................129
Description of Research Methodology................................130
Sampling Procedures................................................130
Identification..............................................130
Stratification..............................................134
Rep lacement................................................134
Data Collection.............................................135
Other Consideration in Cross-Cultural Research.....................136
Human Research Committee...........................................137
Instrument Development.............................................139
Pilot Interviews...................................................142
Confidentiality....................................................144
Data Collection and Preparation for Analysis.......................145
Analysis...........................................................146
Summary............................................................151
x


4. DESCRIPTION OF FINDINGS...............................................153
Review of the Process.............................................155
Demographic Variables.............................................156
Common Background Factors.........................................158
Religion....................................................159
School and Community Experience.............................163
Ethnic Identity.............................................165
Humility....................................................170
Relationships and Connections...............................171
Respect.....................................................172
Sense of Responsibility.....................................172
Regard for the Maverick.....................................175
Personal Attributes and Experiences.........................176
Parental Characteristics....................................177
Home Environment............................................180
Higher Education Experiences................................182
Leadership and Leadership Development.............................184
Compromise as Leadership....................................186
"Not a Leader"..............................................187
Change as a Leadership Task.................................188
Helping as a Leadership Task................................188
xi


Activism as a Leadership Task
Power With, not Power Over...
189
189
Teaching as a Leadership Task..............................190
The Price of Leadership....................................191
Persuasion as Leadership...................................192
Leadership as a Group Function.............................195
Leaders as Leadership Developers...........................197
Leadership Development Experiences.........................199
Summary....................................................202
5. CONCLUSIONS AND IMPLICATIONS..........................................205
Study Questions Related to the Findings...........................212
Question 1.................................................213
Question 2.................................................216
Question 3.................................................218
Implications of the Study for Future Research.....................219
Summary of Conclusions............................................220
Conceptual Framework.......................................221
APPENDIX
A. COVER LETTER REQUESTING REFERRALS..................227
I B. INFORMANT WORKSHEET................................228
j
i
i
Xll


C. COVER LETTER REQUESTING PARTICIPANTS.........229
D. CRITERIA FOR INTERVIEW PARTICIPANTS..........230
E. HUMAN SUBJECT PROTOCOL.......................231
F. PARTICIPANT CONSENT FORM.....................236
G. BACKGROUND QUESTIONNAIRE.....................237
H. INTERVIEW QUESTIONS..........................239
I. RESPONSES TO QUESTIONS.......................239
J. SAMPLE: CODING...............................244
K. MEXICAN AMERICAN LEADERSHIP..................245
BIBLIOGRAPHY.........................................264


FIGURES
Figure
2.1 The Influence of Culture on Behavior from Adler (1986, p. 9).........62
5.1 Conceptual Framework.................................................223


TABLES
Table
1.1 Terms for Research.......................................................4
1.2 Stages of Research on Ethnic Minority Leadership........................19
2.1 History of Leadership Thought...........................................38
2.2 Definitions of Culture..................................................55
2.3 Process Versus Form.....................................................57
2.4 Characteristics of Stages of Research...................................86
xv


USE OF DUAL SURNAMES
This study represents a synthesis of a body of literature written by scholars,
who, coincidentally, have two surnames. American convention has dictated that only
one surname is used per reference, however, if the two surnames are hyphenated, both
are used. APA guidelines do not address this global issue, allowing each academic
institution to define whether style or convention will prevail. In the Mexican
academia, the names are not hyphenated and both are used as one surname,
alphabetizing the names by the first of the two surnames.
I would consider it a denial of ethnic and historical identity to use only one
surname for each of these people. The choice to use one name or two, to artificially
insert hyphens, or to eliminate one surname is not mine to make. Maxine Baca Zinn,
the famous sociologist is Baca Zinn, and her name reflects who she is.
Therefore, if the author presented the name as Mary Parker Follett, I have
alphabetized the reference under P and indicated her name as Parker Follett, M. I
have used this mechanism throughout the text and the references.


CHAPTER 1
INTRODUCTION
In the 1980s and 1990s, the number of studies of cross-cultural leadership exploded
globally. An unforeseen result has been that more is known about cross-cultural
leadership in other countries than is known about multi-ethnic leadership in America
(Hooijberg & DiTomaso, 1996; House, Wright, & Aditya, 1997). The problem is,
then, that leadership studies do not inform our understanding about multi-ethnic
Americans and their leadership of multi-ethnic America. This is the existing state of
research at a point in time when the numbers of non White ethnic Americans is
expanding (Baca, 1996). Therefore, as a society, the knowledge must be available to
encourage and engage leadership in demographically diverse groups not previously
represented in either the ranks of national leadership or in the research of leadership
in general.
As questions about culture, gender, and ethnicity in leadership have emerged,
scholars have become concerned about the limitations of a singular perspectivethat
of the White male (Olesen, 1994; Rost, 1991; Schuster & Van Dyne, 1984;
Shakeshaft, 1989; Stanfield, 1994). In a rapidly expanding world with a global
economy, the reality of a diverse workplace generates these questions: Could theories
1


of leadership emerging from White-male consciousness be inadequate for explaining
leadership behavior of minority males and females? Does the research explain the
broad range of human beliefs and values? Does research that excludes minorities and
women represent the complete range of leadership theory (Hooijberg & DiTomaso,
1996; Olesen, 1994; Schuster & Van Dyne, 1984; Shakeshaft, 1989; Stanfield, 1994)?
In the beginning of scholarship relative to leadership, the Ohio State
University leadership studies approach (Stogdill & Coons, 1957) included elements of
group culture: group-centered achievement, integration, survival, history, and
structure, to name a few. Individual values, attitudes, and responses to environment
(elements of culture), were included in the schematic model for the study of
leadership (Stogdill & Coons, 1957, p. 3). "Leader behavior" at this point was
described as "What he does," and "How he does it" (p. 3). The scholars at Ohio State
University thus developed the framework for representation of a complete range of
leadership. However, the body of research which followed did not include as research
participants either White women or non-White women or men. This, then, became a
problem for understanding ethnic minority leadership.
Background of the Problem
A plethora of terms emerged over the past 50 years to describe leadership. In
Table 1.1, the varied language used in the literature is discussed. In the Table, the
terms, the scholar most frequently associated with the term, and the definition used by
2


the scholar are presented. In addition, the column labeled Limitations briefly
addresses concerns noted in the literature, with appropriate attribution.
The term "ethnic minority leadership" (EML) is seldom used in the research
on leadership (Table 1.1). More commonly used terms are "cross-cultural" leadership
(House, Wright, & Aditya, 1997), "cross-nation" or "cross-border" leadership (Hunt
& Peterson, 1997), or "leadership of demographically diverse groups" (Hooijberg &
DiTomaso, 1996).
The term "culturally competent" leadership (DelCastillo, 1991; Guzman,
1997) has been used in leadership development and may be more of a type of
development than a type of leadership. Guzman uses the concept of culturally
competent leadership to suggest that,
While typically applied to training in business and industry, the application of
this concept is clear within the milieu of the learning community. When
actualized, it becomes a set of behaviors that translate exclusivity into
inclusivityacceptance rather than toleranceand a focus on the common
good: full preparation for citizenship and lifelong learning, (p. 5)
More recently, "transcultural leadership (Simons, Vazquez, & Harris, 1993)
was added to describe "... a new paradigm of synergy arising from diversity"
(Guzman, 1997, p. 5). "Cultural" leadership, as a term, is used to describe a focus on
shared norms, values, and assumptions in organizations, such as an "excellence
culture" in schools (Brooks, 1996; Cunningham & Gresso, 1993). These terms
represent a movement toward inclusivity in leadership practice in environments that
3


Table 1.1: TERMS FOR RESEARCH
Term Definition Limitation Scholar
Cross-culiural leadership Study of leadership by comparing management style, behaviors, actions from one culture to another, Comparison studies are limited to known variables; Comparisons assume importance of same" or different," House, Wright & Aditya, 1977
4 Cross-nation or cross- border leadership Study of leadership by comparison of national cultures; examines the applicability of Western LD theory in multiple national settings. Assumes that people in nations exhibit similar cultural qualities, US instruments may not fully capture non-Wcstcrn/non- US conceptualizations of LD. Hunt & Peterson 1997; Haire, Ghiselli & Porter. 1966
Ethnic minority leadership Leadership enacted by ethnic minorities, Generally described the negative impact of discrimination on the person and its impact in the workplace. Questions applicability of Western leadership theorv. Study of ethnic minority experience assumes "static" quality of the culture, Insiders express difficulty in describing "culture," Samora, 1953 Davis, 1997 Badillo, 1984 Camarillo, 1971
Culturally competent leadership Leader is aware of cultural elements (shared norms, values, and assumptions) and uses them to enhance leadership development, Emphasis on respect for culture, not one best culture, Outcomes of culturally competent LD are empirically unproved, DelCastillo, 1990
Transcullura! leadership Related to culturally competent leadership because transcultural leadership is focused on a new set of competencies that help create a new synergy emerging from diversity, Cannot occur without a conscious process of identifying personal and group assets and holds, Guzman, 1997 Simons, Vasquez, & Harris, 1993
Leadership of Demographically Diverse Groups The effects of demographic diversity (sex, race, nationality) on leadership outcomes. Potential global application. Leadership examined and interpreted through the lens of culture, Perception of limited applicability, Hooijberg & DiTomaso, 1996
Cultural Lcadership/Culture in Organizational Studies Focus on culture as the shared norms, values, and assumptions in how organizations function,Also used for leadership of visual or performing arts. Although a broadly applicable definition of culture is used, this genre continues to discount effects of ethnic culture on leadership. Bates, 1994; Cunningham & Gresso, 1993; Schcin, 1996


are increasingly culturally aware and moving toward cultural integration. Within this
context, an examination of ethnic minority leadership is one step forward in a
conscious process of identification of a fuller range of human experience.
Cultural Context of Leadership
Exploring the cultural context of leadership is important not only from a theoretical
perspective but also from an applications perspective. From a theoretical perspective,
the cultural context of leadership is proposed as the next research frontier (Bums,
1978; Dillard, 1995; Hallinger, 1995; Napier etal., 1997; Rost, 1993). Hallinger
(1995) proposes that, "What remains is to make the cultural context explicit so we can
explore its impact on the social and institutional system in which leadership is
exercised" (p. 5). He adds that leadership should be approached as a culturally
dependent variable. From an applications perspective, knowledge of the cultural
context of leadership is proposed as the additional standard for leaders to serve
followers who are multiracial, multilingual, and multicultural (Montes-Ramos, 1996,
p. 30). In other words, culturally relevant leadership should not be approached as a
phenomenon unique to in-group leadership but should be an element of culturally
competent leadership.
In 1980, Hofstede, a Dutch psychologist, published Cultures Consequences:
International Differences in Work-related Values as part of the Sage Publications
series on cross-cultural research and methodology. Hofstede's taxonomy for cross-
5


cultural studies in leadership is used extensively as a conceptual framework for
quantitative studies (Gerstner & Day, 1994; House, Wright, & Aditya, 1997; Peterson
& Hunt, 1997).
Hofstede analyzed over 116,000 questionnaires from employees of one
multinational business organization operating in 40 countries. Hofstede (1980b)
proposes four dimensions which affect human blinking, organizations, and
institutions: power distance, individualism/collectivism, uncertainty avoidance, and
masculinity/femininity. He added a fifth dimension, long-term orientation, in 1993.
Hofstede alerted researchers specifically to the dangers of ethnocentrism and
disciplinary parochialism. His taxonomy for understanding national culture suggests
that countries cluster with respect to leadership, motivation, and organization on these
dimensions.
As multiple comparison studies of different nations emerged, many of them
used all or part of the Hofstede taxonomy. Bass (1990) reviewed over 337 of these
cross-cultural studies in 1990. Another 70 cross-cultural studies were published
between 1990 and 1996 according to House, Wright, & Aditya (1997).
However, scholars began to question the applicability of a leadership theory
built upon westem-European values in multinational settings (Gerstner & Day, 1994;
Hofstede, 1980b; House, Wright, & Aditya, 1997). Gerstner & Day refer to a
leadership theory built upon westem-European values as Western leadership theory.
In fact, Peterson and Hunt (1997) declared that it has been easier to apply Western
!
6


leadership theory abroad than in the United States. House, Wright, & Aditya, pointed
out that many studies had used "existing standardized U.S. instruments, which may
not fully capture non-Westem or non-U.S. conceptualizations of leadership" (p. 550).
Hofstede (1980) suggests a reason for this potential failing:
Ethocentricism is already present in the instruments used for the collection of
data. The 1960s and 1970s have seen an increase in comparative research on
values by industrial social psychologists and business Ph.D. candidates, which
consists of taking a questionnaire designed and pretested in the United States
on students or business manager, sometimes translating it, and administering it
in other countries, (p. 32)
Hofstede also points out that such tools for the collection of data usually address
questions about issues relevant to the U. S. designers, and, for which the American
language has words (Hofstede, 1980a, p. 32).
Another criticism is that American researchers used homogenous sample
populations, often college students, male members of the military, or employees of
multinational corporations to create and to verify leadership tools. Often, the research
participants were primarily White, upper or middle class, male, and often college
students with the cultural values of individualism, materialism, and intellectualism
(Hooijberg & DiTomaso, 1996; House, Wright, & Aditya, 1997; Hunt & Peterson,
1997, Shakeshaft, 1989). Stanfield (1994) further criticizes qualitative research for its
Eurocentric interests and ontology that rarely touch upon racialized ethnic diversity
issues (p. 177). He notes that orthodox norms of social science communities
contributed to the forging of conservative ethnic models which seem to reconfirm
7


dominant pathological assumptions about people of color (p. 178). Such studies
created the body of leadership knowledge as we know it today.
In reviewing a number of statements by scholars, theories that address the
ethnic cultural context of leadership are limited, although institutional culture
(business or school, for example) has been included in the definition of leadership for
a number of years. The effects of national culture on leadership, for example, are
recognized as essential in leadership effectiveness, organizational change, and
productivity (Dorfinan, Howell, Hibino, Lee, Tate & Bautista, 1997; House, Wright,
& Aditya, 1997; Hofstede, 1993; Triandis, 1995). For example, Dorfinan et al. (1997)
state:
It has become an axiom among international researchers that effective
management and leadership processes must reflect the culture in which they
are found. Unique cultural characteristics such as language, beliefs, values,
religion, and social organization are generally presumed to necessitate distinct
leadership approaches in different groups of nationspopularly know as
culture clusters, (p. 234)
In addition, Schein (1996) was adamant that organizational studies must include
culture-shared norms, values, and assumptionsin order to advance. Schein (1996)
warns that culture has not been taken seriously enough, suggesting that the lack stems
from methods of inquiry that emphasize abstraction (quantitative analysis) instead of
careful observation (ethnographic methods).
Rosen (1984) includes the cultural context of leadership in this definition:
Put simply, leadership is a role that is understood in terms of the social and
cultural context within which it is embedded and which shapes the particular
8


forms it takes in any society. Following Banton, I understand roles to be sets
of rights and obligations that are tied to social positions. In this analytical
sense the concept of role is a normative construct, distinct from the actual way
in which rights and duties may be carried out in concrete social situations.
Both leadership roles as well as the specific institutional supports and
constraints within which leadership roles function constitute what I term the
leadership system [italics added] {italics and note added by Rosen}, (pp. 39-
40)
To paraphrase Rosen, leadership is a role embedded in a culturally laden context.
Within this culturally laden context, Rosen believes that the concept of role extends
far beyond the meaning implied in role hierarchy. Together these scholars (Hallinger,
1995; Rosen, 1984; Schein, 1996) represent the wide acceptance of culture as, at
least, a tenet of leadership. However, the writings of these scholars mention culture
but give no indication of the role of culture in leadership or its development, give no
suggestion of how to objectify or operationalize culture in order to study its effects,
relationships, or constructs.
Typologies and taxonomies have been developed in sociology, anthropology,
and psychology to define culture. In 1952, Kroeber and Kluckhohn cataloged more
than one hundred definitions of culture. Kroeber and Kluckhohn's (1952)
comprehensive definition of culture is still quoted today:
Culture consists of patterns, explicit and implicit of and for behavior acquired
and transmitted by symbols, constituting the distinctive achievement of human
groups, including their embodiment in artifacts; the essential core of culture
consists of traditional (i.e., historically derived and selected) ideas and
especially their attached values; culture systems may, on the one hand, be
considered as products of action, on the other as conditioning elements of
future action, (p. 181)
9


Culture is often seen as the collective programming of the mind influencing
the way people perceive their environment, including their particular set of processes
for leadership development. However, human need drives the culture development,
and there is some suggestion that a human need varies by culture (Hofstede, 1980a;
Triandis, 1990). Maslows (an American) hierarchy of human need categorized in a
familiar pyramid form beginning at the pyramid base with the need for security, social
needs, esteem, autonomy, and finally to self-actualization. Hofstede suggests that in a
particular study of 14 countries (Haire, Ghiselli, & Porter, 1966), contrary to
Maslows theory, security is the least important to some countrys inhabitants, while
self-actualization is the most important. Triandis (1995) describes culture as
composed of objective and subjective elements. The objective elements are "tools
and roads" that could also be called the structure of leadership. Subjective elements
are concepts, beliefs, attitudes, norms, roles, and values that could also be called the
processes of leadership. Process has been identified as important for its role in
creating the overall picture. With regard to process, Freire (1997) wrote:
Never does an event, a fact, a deed, a gesture of rage or love, a poem, a
painting, a song, a book, have only one reason behind it. In fact, a deed, a
gesture, a poem, a painting, a song, a book are always wrapped in thick
wrappers. They have been touched by manifold whys. Only some of these are
close enough to the event or the creation to be visible as whys. And so I have
always been more interested in understanding the process in and by which
things come about than in the product itself, (p. 16)
Culture is also related to a group's psychohistorical experience. In other
words, the historical experiencewhat happenedis interpreted through the person
10


and creates the individual memory of how it happened. In relation to this ethnic
groups experience, the psychohistorical experience is one of conquest and
subjugation, of ownership wrongfully taken away (Acuna, 1981; C de Baca, 1998;
Falicov, 1996). Nieto (1990) explains the relationship of culture to the historical
moment:
Culture is not static; neither is it necessarily positive or negative. The cultural
values and practices of a group of people represent their best strategies, at a
particular historical moment, for negotiating the environment and
circumstances in which they find themselves, (p. 279)
In this sense, culture can be a survival mechanism for the group in hostile
circumstances. Harris (1974) categorically said, Our primary mode of biological
adaptation is culture, not anatomy (p.84).
F-thnic Minority Leadership
Leadership is a process as complex as human development itself. The dearth of
research on leadership in ethnically diverse groups speaks to its complexity. This
study is intentionally descriptive rather than comparative because the limited research
available does not warrant comparison but rather exploration. The intent here is to
represent a fuller range of human experience by studying the role of ethnic culture in
the leadership development of one American ethnic group. The description will
represent the ethnic minority leadership (EML) of Chicanas/os in Colorado
11


communities. Chicanas/os were selected as the study group because their
underrepresentation in high school graduation, college graduation, upper management
positions, and political positions mean they are not fully participating in society
(Abernathy Bennett, 1994).
Summary Description of Study Group
Due to wide in-group diversity, the particular group of Hispanics chosen for
study is described at length. The terms Chicano, Mexican American, Mexican, and
Hispanic are often used interchangeably although they are not synonymous. The U.S.
government imposes the term "Hispanic" to cluster Mexican American, South and
Central American immigrants, Cuban Americans, and Puerto Ricans for census
purposes. The use of the term Chicano began in the 1960s (Gonzales, 1988) when
politically active Hispanics who rejected assimilation chose to call themselves
"Chicana/o." The use of a or o is a gender-related suffix; the a designates a
female, and the o designates a male. However, no assumptions are made for the
inclusivity of the male suffix. Therefore, Chicana/o will be used to denote both
genders within the group.
In her dissertation, Marcella Lucero Trujillo (Lucero, 1981) defined what
Chicano meant to her:
"Chicano" also meant Mexican Americana mestizo, an offspring of the
Spanish and Indian; politically, it stood for an agent of social change; socio-
economically, it meant an identification with the grassroots people struggling
12


to survive in society; historically, it meant an awareness of past and present
conditions and an active involvement in militant action and/or through the
creation of social protest literature. Some Chicanos viewed "Mexican
American" as an escapist termthose who used it had "made it," and some
tended to ignore the problems of the poor people. Also to call oneself
"Chicano" is to remind oneself of the daily conditions of the poverty of their
people who had not been able to integrate into the mainstream, not by choice,
but by design, (p. 52)
Acuna (1981), on the other hand, states that the California Mexican American student
movement, in manufacturing nationalist symbols to unite activist groups, adopted the
name Chicano. According to Acuna, the term had historically been used as a
pejorative applied to lower-class Mexicans. In other research, Esquibel (1992)
conducted a longitudinal study of professionals in higher education. His study
reviewed several issues including self-identity for more than 1000 professionals in the
Southwest. Esquibels study revealed that the professionals chose to call themselves
"Chicano" as opposed to "Mexican American."
Ethnic labeling is difficult among ethnic minorities, and is a separate issue
(Guzman, 1976). Guzman noted that descendants of Spanish colonials from Colorado
insisted on the term Spanish-American with federal agencies and view themselves
as non-Mexican. The problem of ambiguous ethnic identity may derive from
differing conditions of social contact (Guzman, 1976). Generationalism may account
for other differences in ethnic labeling:
Only the young, the majority of whom are not yet old enough to vote, seem to
have clearer sense of ethnic identity. The young who call themselves chicanos
(sic) cut through the maze of uncertainty that paralyzes political action among
older Mexican Americans. Among these young chicanos (sic) the question is
13


less who are we? and more what are we going to do? (Guzman, 1976, p.
187)
Social scientists described the Hispanos and Mexican immigrants as
exhibiting "strong traditions of religious faith, mutual assistance, civic activism, and
local participatory democracy with a communal work ethic regulating grazing rights,
cleaning irrigation ditches" (C de Baca, 1998, p. xv). A review of characteristics
associated with Chicano behavior based on empirical research is included in the
literature review.
Chicanas/os as a cultural group are described as reluctant immigrants (Ogbu,
1990). This quality has influenced the rate of acculturation and is demonstrated in the
lack of assimilation by this group into the general population (Ramirez & Casteneda,
1974; Rodriguez, 1994). After the Mexican American War of 1846, the border of the
United States moved from the Fountain River (Pueblo, CO) to the Rio Grande River
(El Paso, TX); the border essentially moved across the backs of two million
conquered people who had very little choice in citizenship. For the next 22 years,
Chicanos retained some political leadership due in part to sheer numbers and
competencies. However, by the mid 1870s, this leadership in major governmental
institutions disappeared in Colorado. Casimiro Barela, of Trinidad, was the lone
exception, serving in the Colorado Senate from 1876 to 1912. Ken Salazar, Colorado
State Treasurer, who sought the position in 1998, was the first Hispanic elected to a
statewide office in 76 years (C de Baca, 1998).
14


The effects of colonization created a sense of powerlessness and lack of
control over institutions such as schools, political system, and the conduct of
commerce (Chavez, 1984; Mirande & Enriquez, 1979). The people's psychohistorical
experience became one of subjugation despite a treaty granting them use of the
Spanish language and protecting cultural identity, religiosity, ancB wholeness.
Historically, "Mexican Americans lost eighty per cent of their original land grants,
some to conniving lawyers and land developers" (Delgado & Ste:fanic, 1999, p. 721)
after the Mexican-American War ended and Colorado became pairt of the United
States territories.
In the 1920s, Colorado was taken over by the Ku Klux KB an. Klan
membership was estimated between 50,000 and 55,000 (Delgadoo & Stefanic, 1999).
Governor Johnson, elected by the Klan machine, prodded enforcement in Denver of a
law prohibiting Greek, Japanese, Chinese, Mexican, and African American
businessmen from employing White women. In 1936, Governor Johnson ordered
Mexican workers and others (20,000 people) deported to Mexico*, although many
were U.S. citizens. Between 1936 and 1956, sizeable deportatiorns of people
continued. Adding to this climate of intolerance, the Colorado laaw against interracial
marriage was not rescinded until 1957. In more recent history, thne Voting Rights Act
of 1975 was extended to the Southwest, including Colorado, becsause a pattern of
discrimination against Chicanas/os was used to keep them out of-significant political
offices (de la Garza & Vaughan, 1984; Delgado & Stefanic, 1999).
15


This conquered population exhibited characteristics of inferiority, low self-
worth, hostility, apathy, apparent indifference, and lack of motivation for the goals of
dominant society. These are not cultural characteristics but rather characteristics of
an oppressed internal colony (Rodriguez, 1994). However, these characteristics were
interpreted by social scientists in the 1950s, 1960s, and 1970s as those of Mexican
Americans (Guerrero, 1987). More recently, however, ethnic cultural characteristics
were identified as distinct from survival or assimilationist characteristics. In other
words, poverty was not a characteristic of the Mexican American people but rather an
effect of their colonization (Acuna, 1981).
Rodriguez (1994) calls the accuracy of portrayals of the Chicana an empirical
and conceptual question for social scientists (Rodriguez, 1994). However, she was
not the first to question the portrayals of ethnic cultural women. Maxine Baca Zinn
(1975), a sociologist, questioned the characterization of Mexican American women as
passive, and submissive, suggesting instead that women control family activities
despite the patriarchal orientation of their lives. These scholars and others
characterized earlier social science research as classist or as applicable only to the
socioeconomic status (SES) of the particular group studied, where ethnicity was
confounded by SES rather than as applicable to the group as a whole (Andrade, 1982;
Graham, 1992; Stanfield, 1994). Indeed, Graham (1992) suggests that many studies
did not acknowledge SES as significant by gathering the SES as data and may have
confounded research results because of this lack.
16


Demographically, the study group represents a youthful and expanding
population. From the March 1994 census, the Latino population was 13%, which
reflects 151,000 people (N = 8 million people). Because Chicana/o is apolitical
referenced term, it was not used in the census. It is unknown which descriptor
Chicanas/os chose to use, although there has been some concern about the large
number of Other Hispanics in the Census.
Although the exact numbers of Chicanas/os in Colorado is unknown, the
following information reflects the population as a whole. The population of Latinos
is expected to double by 2020 according to the Latin American Research and Service
Agency (1997). Those under the age of 20 years represent 40% of the Latino
population compared with 29% of the total Colorado population. In 1990, 54% of the
Latino community was 20 to 64 years old (work force ages) and is projected to
increase to 59% by 2010. The high school graduation rate for Hispanic versus non-
Hispanics is 46.7%:83.4% (LARASA, 1997). In 1987, the number of Chicanos in
state prisons (951) was twice as many as those who received a bachelor's degree (477)
from a Colorado state college or university (Sandoval, 1987).
Research Framework
In a literature review, all previous research conducted on a topic is brought together to
provide a background for new research. Such a literature review should be like a
map, providing a clear visualization of the point of origination as well as its proposed
17


destination, with landmarks along the way, providing the direction of the research
topic; the conclusion section of research often states where the research topic is now
headed. In order to better understand the current state of research on ethnic minority
leadership, the following typology, or intellectual road map, Stages of Research on
Ethnic Minority Leadership [EML] (See Table 1.2), will provide the research
framework or direction. The literature review (Chapter 2) will reflect the EML stages
more clearly. Rather than using a chronological organization for literature on
Mexican American leadership, each reference will demonstrate its contribution to
knowledge as part of a stage of research.
As a table, the Stages of Research on Ethnic Minority Leadership (See Table
1.2) is a visual tool to clarify what research has preceded this dissertation and what
may follow. This road map uses stages of research development adapted for the study
of ethnic minority leadership from Shakeshaft (1989) and Schuster and Van Dyne
(1984).
These stages successfully describe the research of women in the curriculum
(Schuster & Van Dyne, 1984) and women in educational administration (Shakeshaft,
1989). In each of these efforts to chart the way in which theory changes process with
regard to the inclusion of women, nondominant groups were also considered.
18


Table 1.2: STAGES OF RESEARCH ON ETHNIC MINORITY LEADERSHIP
Staae Ouestions ADDroach Outcome Incentives Literature
1. Absence of ethnic minority leaders (EML) documented. How many? What positions do they hold?Who are the great thinkers in history? Surveys, Add on to existing data within conventional naradiems. Documentation of numbers by position Maintaining standards of excellence according to the existing oaradiems Problem: Missing EMLs are assumed to resemble leaders Criteria remains unexamined.
2, Search for ethnic minority leaders in various positions. What characteristics do EMLs demonstrate?What is the history of EMLs. Surveys. Document research, historical research, great EML research. Demographic, altitudinal descriptions of EMLs.. Affirmative Action/ compensatory Invisible paradigms become visible.
3, Ethnic minority leaders as disadvantaged or subordinate. Why are there so few EMLs in community? In state leadership? Surveys of attitudes, experiences.Experi- mental and quasi- experimenlal studies of discrimination. Identification of barriers for recognition of EMLs. Anger, Social injustice Grounded theory, ethnographic biographies, exploratory
4. Ethnic minority leaders studied on their own terms, How do EMLs describe their experience and lives? Surveys, interviews, and observational studies of EML's, Qualitative and content analysis. World view from the ethnic minority community perspective. Intellectual cxploratory/outside existing paradigms; develop emic perspectives
5. Ethnic minority leaders as challenge to theory. How do EMLs change construction of general leader theory? Analysis of theories and methods as appropriate, Acknowledge that theories not appropriate to ethnic minorities. Epistemology Testing the current definitions; Gender/EM as category of analysis
6. Transformation of theory. How are theories of human behavior impacted by this new knowledee? Different approaches as appropriate, Reconceptualiza- tion of theory to include experience of EMLs. Inclusive vision of human experience redevelopment of theory, reconceptualized inclusive theory
From C. Shakeshaft. (1989). The gender gap in research in educational administration. Educational AdminisliiilitmjQuariedy, 25(4), 324-337,
and from M. Schuster & S, VanDync, (1984), Placing women in the liberal arts, Harvard Educational Review, 54 (4), Nov '84,413-428,


Application of these stages to ethnic minorities, therefore, was predetermined.
Shakeshaft (1989) observes that
The funding of research, the objects of study, and the use of research have to
date been dominated by white males. Not unexpectedly, they have forged
forms of thought within an all-male world and, perhaps without realizing it,
have mistaken it for a universal reality. As a consequence, these outcomes
have become the standards and norms by which all experience is measured
and valued, with women as but one of the nondominant groups that have
remained unrepresented, (p. 324)
Schuster and Van Dyne (1984), and later Shakeshaft (1989), describe research
as a sequence of stages to trace the development of knowledge and to outline the
evolution of research efforts. Although the stages are built one upon the next
(Shakeshaft, 1989), they have fluid boundaries and may not be defined as a linear
progression (Schuster & Van Dyne, 1984). In this application of research stages to
ethnic minority leadership, the concepts of stage, questions, approach, and outcome
(Shakeshaft, 1989) are combined with stage, questions, incentives, means, and
outcomes (Schuster & Van Dyne, 1984) and phrased for EML. Stage 1 research is
described as the documentation of the absence of EML. Stage 1 is represented by
quantitative studies. Such studies rely heavily on surveys based on the existing
paradigm of the White male experience. The Stage 1 questions are, "How many
ethnic minority leaders are there," and "What positions do they hold with which types
of organizations," and "Do these ethnic minority leaders look like the leaders in the
existing paradigm?"
20


Stage 2 research searches for EML at the extreme range of possible leadership
positionsthe great leaders. Questions asked at this stage are, "What are the
characteristics of the great ethnic minority leaders?" and, "Who are the great ethnic
minority leaders?" According to Shakeshaft (1989), the research method used at this
stage continues to be surveys in addition to historical research. Schuster and Van
Dyne (1984) suggest that the incentive for this stage of research is "affirmative
action/compensatory" (p. 419). The knowledge gained in Stage 2 adds to existing
data but is still within the confines of conventional paradigms.
The incentive for Stage 3 is social justice, and research begins to protest and
question the existing paradigms (Schuster & Van Dyne, 1984). The questions asked
at this stage recognize EML as disadvantaged and ethnic minority leaders as a
subordinate group. "Why are there so few ethnic minority leaders?" is asked. The
outcome of Stage 3 is identification of barriers to EML.
Stage 4 research offers a view of the world from the perspective of the ethnic
minority leader. Surveys, interview, and observational studies characterize this stage.
Ethnic minority leaders are asked to describe their leadership experience. These are
studies of people on their own terms; the incentive is intellectual. An insider
perspective is developed at this stage to describe the parameters of personal and group
EML. This study is Stage 4 research because of its insider perspective.
At Stage 5, EML is approached as a challenge to theory. Shakeshaft (1989)
suggests the questions at this stage might be, "How must theory change to include the
21


experience of EML," and "What effect does ethnic minority identity have on behavior
and effectiveness in organizations?" Schuster & Van Dyne (1984) suggest these
questions: "How valid are current definitions of historical periods, greatness, norms
for behavior? How must our questions change to account for the ethnic minority's
[italics added] leadership experience" (p. 419).
Transformation of theory is reached at Stage 6. This stage represents an
inclusive vision of the broad, human experience. The Stage 6 goal is to understand,
not generalize, ethnic minorities together with non-minorities in the world we live in.
This stage is characterized by a variety of research approaches that will transform the
paradigms. Use of the stages to define leadership research also identifies the
framework within which the thinking and work occurred.
Research must go beyond simply documenting past and present conditions
and history but must begin by looking into the world of the ethnic minority leader
through their eyes. Schuster and Van Dyne (1984) suggest that the outline provided
by the stages reveals parallels in the direction of scholarship. Shakeshaft (1989) notes
that the questions at one stage often provide the spark for the questions at the next
stage. In other words, the accumulation of new data at Stage 1 generates new
questions for Stage 2. The stages illustrate that certain phenomenon are often
associated, and that raising a set of questions leads to similar outcomes in research
(Schuster & Van Dyne, 1984). Chapter 2 demonstrates that this research is a Stage 4
22


research effort with the accompanying objectives of this stage of research for ethnic
minority leaders.
Conceptual Framework
The perspective chosen for the study of Chicana/o leadership is that of qualitative
inquiry. According to Patton (1990), In qualitative analysis, rather than a linear,
causal explanation, researchers seek a more holistic perspective that speaks to
interdependence and relatedness of complex phenomena (p. 424). The use of the
word context in the title implies this perspective.
Bateson (1980) encourages the use of relationship concepts as the basis for all
definitions. How we define something is a powerful motivator for how we respond to
it (Bateson, 1980). In his analysis, he notes that the understandings used in the
structure of the English language do not encourage the concept of "relatedness" as
part of definitions. Other cultures take the concept of relatedness even farther than
the American common definition. Amae is a Japanese word meaning the
fundamental connectedness between all living things (Hunt & Peterson, 1997).
Wheatley (1992) expresses the same concept. "Connectedness" is a
fundamental element in the new science (p. 10). She said many concepts are not
either/or questions; she warns about the danger of polarizing inquiry. Is the system or
the individual the most critical in organizations she asks? Based on the new science,
she responds:
23


What is critical is the relationship created between the person and the setting.
That relationship will always be different, will always evoke different
potentialities, (emphasis in the original, p. 34.)
The conceptual framework describes the background factors under
investigation and their relationship to the construct of leadership to ultimately provide
a description of the cultural context of ethnic minority leadership. In the conceptual
framework, each of the seven factors that constitute the person and the persons
environment are related, and each interacts with the others. Religion, parental
characteristics, home environment, ethnic identity, school and community
environment, higher education experiences, and personal attributes and experiences
are the seven factors under scrutiny. Cultural awareness and religious upbringing are
visualized as twin filter through which the person is constantly viewing the world and
those who people the world.
Overview of the Literature
Julian Samora conducted one important study with Hispanics in bi-cultural
communities in 1953 in southern Colorado. Samora (1973) investigated a small, rural
community and its network of leaders in various organizations. He concluded that
more popular Hispanic leaders were defined by their willingness to assist others
during interactions with non-Hispanics. Ramirez (1976) discusses the disadvantages
which Mexican American chief administrators attribute to ethnicity in selected
community colleges and public schools. His study reveals that these administrators
24


possessed all competencies, except they had less experience, and they hold higher
degrees. He notes that these chief administrators perceive less problems with the
communities they serve in Texas.
A longitudinal study of Chicana/o leaders of the early Chicano movement
compares objectives and attitudes from the 1960s to the 1990s (Valle, 1996). In this
study, the researcher concludes that women first acted on issues relating to children
and education. Chicana leadership in the early movement was characterized as
subservient to Chicanos. However, by the 1980s, Chicanas acted autonomously in the
organization of action to change education (Valle, 1996).
A survey of specific studies on ethnic minority leadership and leadership
development focus on the differing socialization experiences of Chicanas/os.
Socialization for this group includes touching patterns as acts of friendship but which
invade the space of others (Hall, 1969; Levine & Adelman, 1982). Hughes (1988)
describes the double bind of living in two cultures. Hughes claimed that the distress
of the double role is manifested by the attachment to the ethnic community.
Ortiz and Venegas (1978) describe the threat posed by Hispanic administrators
to male colleagues. When Hispanic females in leadership positions display
independence and motivation, male colleagues are critical and unsupportive. A
decade later, Hughes (1988) supported this finding.
Ohde (1991) investigated how minority women acquire the behaviors
necessary for them to become credible leaders within the school organization. Ohde's
25


study focus was the interaction of cultural values and the minority woman's
leadership role. Her findings support the "double bind" effect found in previous
research. Double bind refers to constraints in behavior or performance due to either
the gender or ethnic culture of the supervisor and the employee.
Women use more single sex organizations and networks to accomplish tasks
in the community than men (Keefe, 1976). Ethnic women are more likely to
collaborate with women of different ethnic groups but not groups in general. Officer
(1973) explored the joining habits of Mexican Americans in general. He mentions
several organizations in Tucson, AZ, where he conducted his fieldwork. Politics
played out across beauty parlors, saloons, the local drug store, and church groups.
Research Questions
This research reflects a cross-disciplinary approach for the study of leadership
(Kellerman, 1984). Citations include scholars from organizational studies, individual
and group psychology, anthropology, sociology, human communications, and
linguistics. The methodology combines ethnographic biographies from the discipline
of anthropology and case studies from sociology. The analysis utilizes content
analysis from literature.
Hooijberg & DiTomaso (1996) proposed a research agenda for
demographically diverse groups. They suggested that researchers ask whether leading
demographically diverse groups requires a different type of leadership than leading
26


demographically homogenous groups. Another suggested question is: What impact
does sex, race, nationality have on the leadership of homogenous and heterogeneous
groups? (Hooijberg & DiTomaso, 1996).
The specific problem and research questions are generated from this
suggestion, as well as from the questions suggested for Stage 4 research. Therefore,
the purpose of this study is to represent a fuller range of human experience by asking
members of an American ethnic culture, Chicanas/os, to describe their perception of
leadership. I will be searching through the background factors, including ethnic
culture, also called social structures and processes, identified by the participants as
affecting their leadership and leadership development. The primary question is:
"Does a relationship exist between background factors and leadership development
for Colorado Chicanas and Chicanos?" Questions to be considered are:
1. Do certain background factors emerge as common to participants?
2. Does a relationship exist between participants' ethnic culture and their
leadership development?
3. Do activities, experiences, processes and/or structures emerge as
significant for inclusion in future leadership development programs for
Chicanas/os?
Gandara (1982) describes background factors broadly as: demographic
variables, religion, parental characteristics, child-rearing practices, physical
environment of home, school variables, peer relations, community influence, health
27


factors, ethnic identity, acculturation, personal attributes, and experiences. This study
will not use child-rearing practices, physical environment of home, health factors, or
peer relations. These factors did not emerge in the data.
Significance of the Study
Hooijberg and DiTomaso (1996) describe two reasons why the study of culture and
diverse groups is important to the general understanding of leadership. First, future
trends suggest that leaders and followers will be more diverse than they have been in
the past. Second, they encourage the study of diverse groups because diversity in
various contexts has an impact on leadership outcomes (Hooijberg & DiTomaso,
1996). At present, the only conclusion with respect to the effects of cultural influence
on leadership are that the magnitude of cultural influence varies by kind of leader
behavior (House, Wright, & Aditya, 1997).
The effects of diversity on higher education have emerged as a major factor in
the learning outcomes among students who experience the most racial and ethnic
diversity in classroom and informal settings (Gurin, 1999). Gurin conducted an
extensive series of empirical analyses concluding that diversity in the classroom at a
significant point of development (ages 18-21) impacts students' ability to participate
in an increasingly heterogeneous and complex democracy. Students educated in this
diverse environment are better able to understand and consider multiple perspectives
28


and to appreciate the common values while searching for the common good (Gurin,
1999).
Another reason this study is significant is that assimilationist theory has been
proven false; ethnic Americans will not "melt down" as predicted (Denzin & Lincoln,
1994). At the turn of the century, the concept of melting the ethnic groups together
was important because it supported the view that American immigrants would lose
their ethnic cultures, languages, and ethnohistorical perspectives and would become
the amalgamated American. Sociological research supported the assimilationist
perspective on race and ethnic relations through the latter part of the 19th century and
into the first half of the 1920s. However, in the 1960s sociological and
anthropological research on the immigrant communities such as the Jewish, Letoyant
Creoles of Louisiana, and Chinese determined that these groups had failed to
assimilate as predicted. Anthropologist Robert E. Park, the authority on American
"ethnic minorities," predicted three phases of integration ending in complete
assimilation. Instead, a long overlooked work by Marcus Lee Hansen offered the
"law of third generation return," which described an ethnic group's return to old-world
customs every third generation. Hansen's theory has been proven over time in many
different ethnic communities, while Park's theory of assimilation developed
significant inconsistencies (Denzin & Lincoln, 1994).
A final significance of this study is to inspire ethnic minority leaders to
continue working toward equality while learning to integrate a cultural style in
29


different environments with homogenous and heterogeneous group members.
Diversity, and its predecessor multiculturalism, have not gained the focus of
discussion because it is a concept that is right, or true, or just, or moral, but it has
gained attention because it has become economic, and being economic, is now a
discussion of survival. Enrique Guardia, Group Vice President of Kraft General
Foods USA, said, Weve got to stop talking about Latinos as moral obligations, and
start selling ourselves as a business asset (Failde & Doyle, 1996, p. 97). He suggests
using leverage to emphasize the effects of ethnic influence on everyone, even
Peoria, Illinois. General Foods, he admits, missed the boat because they did not
commit to ethnic marketing and ethnic products earlier.
In addition, Helgesen (1990) states that certain leader behaviors threaten not
only the economic survival of American industry but also the survival of the human
race. Behaviors such as aggression, single-minded devotion to an ideal,
conceptualization of the other as the enemy, and the driving desire to prove oneself in
contest may be reflecting outdated values that are counterproductive. According to
Helgesen, companies are reconsidering their dedication to old cultural values because
of global competition and a fast-changing technology.
I,imitations
One limitation of the study may be the participants self-repression on issues of
culture in a culturally repressive society (Falicov, 1996; Ramirez & Casteneda, 1974).
30


An illustration of this problem is the study by Trevino Gulley (1995) who conducted
interviews with four participants, asking a series of 25 questions. One of the questions
was "What cultural factors allowed and helped you develop the leadership traits that
distinguish you?" Of the five participants, none acknowledged "cultural factors."
Neither in the sequence of questions, nor in the narrative, nor summary did the
researcher define cultural factors. Participants' responses were: stubbornness, role
models, high expectations by parents, and cultural pride. Several responded, I dont
know.
Another theory to explain the responses in the Trevino Gulley (1995) study is
that since the interviewer and the subject were both Hispanic, the subject may not
have felt the need to explain culture to the interviewer. It may be that the interviewer
was not skillful. Napier (1997) developed an interview protocol specifically designed
to encourage and acknowledge ethnic cultural elements at the beginning of the
interview session.
In the study conducted by Ohde (1991), the respondents frequently cited
cultural issues while discussing their leadership style. These interviews were
significantly longer than those conducted by Trevino Gulley (1995). Ohde's
participants discussed culturally laden topics such as values, gender-determined
behaviors, conflict with males of the same culture, time, clothing, food, and
expectations. Ohde used the social systems model that has a cultural dimension as
well as the nomothetic and idiographic dimensions. The ethnicity or race of the
31


interviewer is not known, and the impact of the same or different race interviewer is
not addressed in the narrative. The limitation will be addressed by giving participants
multiple opportunities to identify cultural issues. In the Trevino Gully study, the
question was asked once, not probed, and not restated. To reduce the impact of these
limitations, the interviewer will encourage use of the Spanish language with
translation to English, and will use appropriate interviewing methods (Patton, 1990;
Rubin & Rubin, 1995; Seidman, 1991).
Another limitation is the possible impact of the Hawthorne effect (Issac &
Michael, 1990). The Hawthorne effect is the tendency of a study participant to give
answers that she feels the investigator wants to hear rather than information on
personal experiences and perceptions. In this study, I plan to explain that very little is
known about how Chicanos develop and enact leadership to encourage the participant
to value their own insights.
The study used the follow-back, retrospective method describe by Garmezy
(1974) to gather data through semistructured interviews. The retrospective method
itself presents limitations. Garmezy described these as the distorting role of the time
interval, the influence of contemporary adaptation (changing sociopolitical
environment) on the recall of past actions or behaviors, and the operation of
nonrandom effects (Hawthorne effect) (p. 15). In Garmezys study of a medical
condition, these factors were significant limitations such as reporting based on
participants perception of good patient and bad patient. However, in reflection
32


on leadership, each of these potential limitations can be an asset. The time interval
permits reflection on the source of ones leadership. The effects of changing social
values, and their educational levels, from the reporting time to the present time affect
participants verbiage. Garmezys third limitation, nonrandom effects, is not an
anticipated concern because these participants will not receive compensation for their
information. The retrospective method could be replaced by intensive scrutiny of
school records, newspaper reports, meeting minutes and other documents, but that is
outside the scope of this study. The retrospective method did render a text of some
depth for analysis that is appropriate to Stage 4 research from the insider perspective.
Another limitation is my ethnicity as the interviewer and as the researcher.
My ethnicity has the potential to affect the data gathering and the data analysis. This
poses a problem brought out in the literature. First, assumptions not based on fact are
more likely to emerge on both the part of the interviewer and on the part of the
participant. For example, the participant (or the interviewer) may use a term
assuming that the other person knows the term's meaning. Depending on the flow of
the discussion, a claim for definition may not emerge.
Several approaches were used to limit the effects of researcher ethnicity on the
study. First, audiotaping and transcription froze meaning within its context, or at
least in a form available for later verification. Second, the participant reviewed the
transcript for clarity of meaning. Third, the study is based on the work of other
scholars. Fourth, key words were not prepared in advance but emerged from the text
33


analysis. Taken as a group, these approaches prepared for a scientifically based and
implemented study.
Methodology
Qualitative research is recommended for use with more complex questions, especially
when processes such as culture, effectiveness, and growth are under study (Abernathy
Bennett, 1994; Patton, 1990; Whitt, 1991). The principles of qualitative research
support a study of more complex issues that require distinction in nuances and details
(Whitt, 1991). Those principles include the idea of understanding, rather than
generalization, and an emic (insider) perspective gathered from fieldwork in a natural
setting. The qualitative data are context sensitive, and analysis requires induction
rather than deduction; qualitative research encompasses these qualities of research.
Since the stated purpose of this study is to represent a fuller range of human
experience, qualitative research is indicated. (Kroeber & Kluckhohn, 1953; Peterson
& Hunt, 1997).
In an effort to define indigenous qualitative research methods, Stanfield (1994,
p.182) observes that Eurocentric logics of inquiry reduce the production of knowledge
to only the measurable or linear variables. He further notes the narrow focus of
researchers of oppressed groups who are unaware of the cultural limitations of the
34


conception of voluntary action (i.e., reality construction) when applied to oppressead
populations.
Non-Eurocentric research paradigms, Stanfield says, must include culture
bound phenomenon such as time, space, spirituality, and relationships with nature.
For example relationships with dead ancestors has not been viewed as appropriate
issues for serious research. In grounded theory methodology, then, the goal is to
allow a culture bound researcher to continuously strive toward statements of
relationships among culture bound concepts. This is done throughout data collection
(Strauss & Corbin, 1990). This process avoids comparing the data to Eurocentric
theories that may not be applicable.
Stanfield suggest the operationalization of indigenous qualitative methods
must be grounded in holistic rather than fragmented notions of human beings.
Stanfield suggests, Operationally, this would be done through the collection of oral
histories that allow the examined people of color to articulate holistic explanations-
about how they construct their realities (p.185). In addition, Stanfield suggests thiat
the academic distaste for the topic of religiosity and spirituality must be discarded in
this type of indigenous qualitative research.
Structure of the Dissertation
The dissertation is organized in five chapters. Chapter 1 introduces the dissertation!
problem and methods. Chapter 2 provides a review of the literature, including the
35


history of leadership thought, the cultural context of leadership, leadership
development, and Chicana/o leadership and leadership development. The
methodology, including selection of participants, instruments, and methods of data
analysis, compose Chapter 3. Chapter 4 describes the data and findings as they relate
to answer the research questions, and reflects the voices of ethnic minority leaders.
Chapter 5 summarizes the findings and assesses the implications of the study for
practice and future research.
36


1
k
CHAPTER 2
LITERATURE REVIEW
This literature review is divided into four sections. The first section, Leadership,
reports the history of leadership studies, leadership in general, and leadership from a
cross-disciplinary approach. The second section, Cross-cultural Leadership, presents
the concerns, and limitations, researchers encounter in cross-cultural, cross-border,
and cross-discipline studies. The third section presents a brief overview of leadership
development. The final section of the theoretical framework examines general and
demographic information on the specific American ethnic group selected for research.
A brief summary concludes each section.
Leadership
Human fascination with the topic of leadership is reflected throughout history, from
oral traditions to written treatises, represented by such literary works as the Old
Testament (Middle East, to 33 A.D.), Beowulf (Western European, circa 1400),
Machiavelli (Central European, 1500 A.D.), and the Ramayana (India, after 200
B.C.). What is leadership? Who is a leader? How does a leader become a leader?
(See Table 2.1).
|
i
37


Table 2.1: HISTORY OF LEADERSHIP THOUGHT
Theory Or Approach Year Scholar/ School Characteristics Potential Fallacies
Rosen Leadership is a role that is understood in terms of the social and cultural context within which it is embedded ..
1931 Westburgh, E.M. First suggested that to effectively research leadership, both individual and specific environments should be studied simultaneously. Cited in Denmark. 1993
Situational Leadership 1939 Lewin, Lippitt, & White 4 styles of leadership: Democratic, Autocratic, Laissez Faire. Dictator. Overgeneralized
Cattells Theory of Syntality (as applied to leadership! 1946 Raymond Cattell Group theory: if any two are known the third can be predicted: population traits, syntality traits, internal structure.
Ohio State Leader Scales 1947-1957 Fleishman Developed Leadership Opinion Questionnaire and Supervisory Behavior Description Questionnaire Focused on end product: Productivity
Power/Influence ADoroach 1948 1976 H.D. Lasswell
Contingency Theory 1952-1988, 1983 Fiedler, F. Leader motivated by interpersonal relationships and task-goal accomplishment. Theory of work group performance. Methodological shortcomings of research; fails to specify how leader-member relations develop and change over time. Bass (1997) called this a saw-toothed theorv"
Fiedlers Theory of Social Distance 1953 Fred Fielder Focused on narrow-distance or wide-distance leaders; is a situational theory variation overgeneralized; only two kinds of leadership
Expectancy Theory 1957 Georcopoulos Path-goal approach to productivity


Table 2.1 (Cont.)
Theory Or ADDroach Year Scholar/ School Characteristics Potential Fallacies
Expectancy Theory 1957 Georgopoulos Mahoney & Jones Path-goal approach to productivity
Leader Behavior Description Questionnaire (LBDQ) 1957 Hatpin Leader Behavior Description Questionnaire (LBDQ)
LBDO 1963 Stoedill revised LBDO
Leadership Effectiveness Theory 1964 Fiedler Hersey & Blanchard Defined two categories of leadership effectiveness: Task behavior, relationship behaviors
Michigan Leadership Studies 1966 Lickert Defined leadership behaviors
Michigan 4-Factor leadership scales 1966 Bowers & Seashore To measure subordinates perception of supervisors leader behavior. Focused on behavior rather than traits; goals, task-oriented leadershiD
Least-preferred Coworker (LPC) 1968 Fiedler, F Esteem for the least preferred co-worker is identified as the leaders most important characteristic. Criticized by Baron & Bryne (1991) Cited in Denmark (1993).
Situational leadership 1969 Hersey & Blanchard Model of situational leadership contingent on followers maturity, A variation of a contineencv theorv. Bass 1997 said little empirical evidence
Leadership Flexibility 1970 Reddin, W. J. Developed leadership flexibility scales to assess along three dimensions: situational sensitivity; style flexibility, situational management skills. Cited in Ruiz (19951.
Path-Goal Theory 1971 House, R.J, Leaders function is a supplemental one, Did not meet 5-points of


Table 2.1 (Cont.)
Theory Or ADDroach Year Scholar/ School Characteristics Potential Fallacies
Multiple Linkage Model of Leader Effectiveness 1971 Gary Yukl The motivational impact of specific leader behaviors is determined by the situation, Theory is intended to explain the relationship between leader behavior & motivation of subordinates, Brought situational and intervening variables into research: Subordinate efforts, role clarity, task skills, resources & support services, group cohesiveness & teamwork, leader-subordinate relations adequacy as outlined by Filley, House, & Kerr (1976) as cited in Larsen Bass (1997) suggested, supporting evidence is mixed.
Charismatic Leadership 1976 1995 House, R.J. 60-Nation study Construct validity of the U. of Michigans Four Factor scales challeneed.
Theory-in-Use Model 1976 Argyris Double loop learning theory model of: discovery, invention, production, Generalization
Transformational Leadership 1978 Burns Political schooling, values; leadership changes the organization Does not consider ethnicity, spirituality, mores
4 Universals 1980 Lonner, W. J. Describes 4 regularities in leader/follower relations that transcend cultures: simple, variform, functional, systematic. Bass added 5lh in 1997: Variform functional universal.
Great Man Theory (uses trait approach) 1985 Bennis, Nanus Espoused visionary message Explored what traits leaders have, how leaders differ from followers, Approach abandoned for lack of internal consistency, general izability due to Stogdill.


Table 2.1 (Cont.)
Theory Or Approach Year Scholar/ School Characteristics Potential Fallacies
Big Bang Theory 1985 Bennis & Nanus A situation combined with followers to create exceptional leader
Myers-Briggs Type Indicator 1985 Myers & McCaulley Fourfold classification of the thought processes of leaders
Multifactor leadership Questionnaire (MLQ) 1985 Bass The effects of transformational leadership (based on Burns, 1978) composed the 141 statements on the MLQ: 1. eliminated motivation 2. moved followers beyond self-interest 3. raised consciousness (from Bass. 19971
Functional Leadership 1985 Johnson & Johnson Any member of a group or organization may become a leader by taking actions that serve group purpose. Any leadership function can be served bv different members.
Charismatic Leadership 1989 Conger Charisma of leader Low tolerance for status quo leader is a transformational agent
Principle-Centered Leadership 1991 Covey, S. R. Leaders manage their relationships according to internal sources of strength: Security, guidance, wisdom, power.
Servant Leadership 1991 Greenleaf, R, Emphasis is on the followers
Cooperative Leadership 1991 Astin & Leland members of a group are empowered to work together synergistically toward a common goal or vision that will create change, transform institutions, and thus improve the quality of life. P. 8


Table 2.1 (Cont.)
Theory Or ADDroach Year Scholar/ School Characteristics Potential Fallacies
Multicultural 1991 Ramirez, M Instrument test for 4 components of cultural
Experience Inventory HI, flexibility; values/beliefs, crossover ability;
(MEI) integration toward multicultural styles, identification with traditional & modern settings. 20 years of research. Identified 4 characteristics in culturally flexible individuals that are pertinent to leader effectiveness.
Great Man Theory 1993 Gardner Based on occurrence of event to create exceptional personality Importance of physical appearance, work ethic, mentions followers
Zeitgeist Determined ? ? Environmentalists proposed a situational
Leadership theory; Zeitgeist, or the spirit of the times, determines leadership. A situational theory variation. Mentioned in Denmark, (1993, p, 344)
Grassroots Leadership 1997 Delgado Bernal, Dimensions include: Organizing, developing
D. consciousness, networking, holding an elected or appointed office, and acting as an official or unofficial SDokesrierson (d. 124-1261
Transactional leadership Blau based on Exchange theory
5 Universal 1997 Bass Bass added 5th regularities in leader/follower relations that transcend cultures: Variform
functional universal. Lonner, W. J,(l980) identified the first 4 universals; simple, variform, functional, svstematic.


Bums (1978) offered a definition of leadership widely accepted in the discussion on
leadership.
Leadership is the reciprocal process of mobilizing, by persons with certain
motives and values, various economic, political, and other resources, in a
context of competition and conflict, in order to realize goals independently or
mutually held by both leaders and followers, (p. 425)
This definition was an important turning point in the study of leadership.
Leadership research prior to 1945 involved trait identification, behavioralism, and
personality patterns intended to search out differences between leaders and non-
leaders (Fiedler, 1996; Fiedler & House, 1994). However, both Rost (1991) and
Hallinger (1995) considered the failure to include culture as a variable in general
leadership theory as a significant gap in the research. Bass (1990) reviews some 3000
studies on leadership, dating from 1927 through 1990. However, Rost's early work is
not represented with an entry, and the scholar Bums is represented by only one entry
(Bums, 1978).
Another turning point in leadership study was 1991 when Rost removed
followers from the definition of leadership. He made the argument that leadership
cannot be undertaken as a single person but rather as a group of two or more; the act
of leadership is based on the relationship between those in the group. Rost declared,
Leadership is an influence relationship among leaders and their collaborators who
intend real changes that reflect their mutual purposes (Rost, 1993, p. 99).
43


Leadership research is represented by four approaches to leadership. They are
the trait approach, the power/influence approach, the behavior (or functional)
approach, and the situational approach. Also, three styles of leadershipdemocratic,
autocratic, and laissez fairehelped define the parameters of different leaders (Lewin,
Lippitt, & White, 1939) and reflect political and power variables of leadership. This
typology influenced many scholars but eventually lost credibility as an
overgeneralized and overly simplistic analysis of leadership (Hunt & Larson, 1977).
Also, the typology was discovered to lack universal applicability. Although, from the
Western perspective, the authoritarian style was "dysfunctional," from the cross-
cultural perspective, Negandhi (1975) noted that it is not necessarily a poor choice of
leadership style in developing counties.
Organizational studies of leadership (from a business perspective) discussed
leadership as one of several internal variables including organization size, technology,
workflow, managerial strategies, and behavioral patterns (Negandhi, 1975).
Negandhi (1975) proposed an integrated model with the inclusion of closed system
variables, environmental factors, and sociocultural variables. The model,
recommended by Chemers (1984), was one of cultural effects on organizational
structure. A much more thorough presentation of the effects of culture in the
workplace reiterated the strength of the open system as opposed to attempts to negate
diversity (Chemers, Oskamp, & Costanzo, 1995).
44


In 1985, the functional theory of leadership emerged from organizational
studies and group theory. Johnson & Johnson (1985) proposed that any member of a
group may become a leader by taking actions that serve the group functions. In
addition, different members of the group may fulfill leadership functions.
According to Bass (1990), the study of leader traits, or personal qualities, was
pursued from 1904 through 1947. Such studies were characterized by observation of
group behavior or by case history data. Qualities under scrutiny included intelligence,
physique, fluency of speech, height, introversion-extroversion, persistence, integrity,
and self-confidence among many others. Researchers eventually questioned which
traits were innate and which were socially conditioned to a high degree (Cattell,
1946). These trait investigations contributed to the "Great Man Theory" (Bennis &
Nanus, 1985) because they rested on the study of persons of great historical
importance. These studies fell into disrepute as the social and political climate of the
1960s began to cast doubt on the methods used to identify innate qualities as socially
controlled and conditioned rather than biologically innate (Bass, 1990). Bass also
states that the approach was abandoned for lack of internal consistency and. lack of
generalizability. The "Big Bang Theory" (Bennis & Nanus, 1985) focused on the
importance of circumstance in the creation of greatness in a human being.
For a number of years, the study of leadership focused on issues of power and
authority, or the authoritarian syndrome (Bass, 1990). Beginning with Max Weber
(1947), the study of power included examination of charisma (Conger, 19S9; House,
45


1977), influence (Katz & Kahn, 1968), persuasion (Oppenheim, 1961), privilege
(Lenski, 1966), and legitimate authority (Weber, 1947). All of these elements
clarified the role of "transaction" (Bums, 1978), or the exchange (Blau, 1964) of one
element for another such as the exchange of leader recognition for a tax cut.
In 1953, Fiedler proposed the theory of social distance focusing on narrow-
distance leaders who are close to their followers and wide-distance leaders who are
remote from their followers. Studies revealed that for some tasks and some
situations, one style was more preferable for effective leadership than others (Fiedler,
1967, 1996). Also, cross-cultural management studies suggested that some cultures
expect leaders to be distant. This approach received criticism as an overgeneralization
(Hunt & Larson, 1977) when applied in isolation from other effects.
During the high point (1947 to 1966) of the power and authority
investigations, several methods of leadership study were initiated. Bowers and
Seashore (1966), scientists at the University of Michigan, developed the four-factor
leadership scales to measure subordinate perception of supervisors' leader behavior.
As a tool, the four-factor leadership scales allowed the researcher to focus on
behavior rather than traits, including task behavior and goal oriented behavior. The
scales were used to study charismatic leadership but fell into disuse as the construct
validity of the scales was challenged (House, 1977).
Leadership studies focused on leadership effectiveness theory, evolved from
investigations of task and goal behaviors and relationship behaviors (Fiedler, 1967;
46


Hersey & Blanchard, 1973). Fiedler (1963) investigated team effectiveness from 1953
to 1963 but redirected his focus to leader effectiveness after 1963. Many studies
using this approach observed subordinates and their performance, subordinates'
satisfaction, and group achievement under task-oriented leader behavior or relations-
oriented leader behavior. Behavioral science contributed "theory-in-use" model to
define leadership qualities (Argyris, 1976). This model has variables such as
achieving the purpose and win at all costs.
Situational leadership (Gardner, 1990) proposed that the circumstances
combined with followers created the exceptional leader. Fiedler (1996) and House,
Wright, & Aditya (1997) were proponents of the situational leadership model,
considering the motivation of the leader for the first time. Fiedler (1996) suggested
that groups may move from no leader in a secure, closed environment to the
exceptional leader for exceptional times in an open environment. The situational
leadership model continued as a theoretical framework into the 1980s (Bennis &
Nanus, 1985).
The situational model evolved into the contingency theory (Fiedler, 1963).
The contingency theory proposes that the leader is motivated by interpersonal
relationships and task-goal accomplishment. However, House (1977) criticizes this
theory for methodological shortcomings as it fails to specify how leader-member
relations develop and change over time.
47


Servant leadership studies (Greenleaf, 1977) investigate the leader by
emphasis on the followers and on the leaders' ethical positioning. The servant
leadership embodied by Christ in the New Testament (Jones, 1995), as well as the
models in T Ching are referred to as the basis for this leadership approach. Bums
(1978) mentions
the reciprocal influence of the leaders who may modify their leadership in recognition
of their followers' preference. Gardner (1995) also affirmed that leaders are intuitive
and respond to the desires of their followers.
Transformational leadership (Bums, 1978) addressed the persistent
observance by leadership researchers that followers' values and behaviors changed
over time due to the influence of some leaders.
Leaders can also shape and alter and elevate the motives and values and goals
of followers through the vital teaching [italics in original] role of leadership.
This is transforming [italics in original] leadership, (pp. 425-426)
In additional theory development on transformational leadership, four
behavioral factors have been identified (Avolio, Waldman, & Yammarino, 1991; Bass
& Avolio, 1994). They are referred to as the four Is and are displayed by
transformational leaders to realign subordinates; values and norms, promote both
internal and external changes if necessary and help subordinates perform beyond their
initial expectations (Jung, Bass, & Sosik, 1995, p. 5). The four behavioral factors are
idealized influence, inspirational motivation, intellectual stimulation, and
48


individualized consideration. Each of these behaviors also aligns with behaviors of
collectivistic cultures (Jung, Bass, & Sosik, 1995).
More recently, a move to "learning organizations" and "learning communities"
propelled the notion that leaders, followers, and managers were constantly changing
and moving on a continuum from worker to leader (Guzman, 1995; Murray, 1996;
Senge, 1990a, 1990b). The term "work leader" came into use as Murray (1996)
promoted the idea that in successful organizations "every leader works and every
worker leads" (p. 3).
Another issue in leadership research is the false compartmentalization by
academic discipline. A cross-disciplinary research approach is indicated in the
continued study of leadership (Kellerman, 1984). Kellerman says
the individual disciplines, because they inevitably focus on their own
questions and conceptualizations, are simply too narrowly based to undertake
a broad enough investigation. As much as anything else that comes to mind,
leadership is a subject that demands an interdisciplinary approach. It has been
our inability to recognize the need for a multidisciplinary and even cross-
cultural effort that has fostered our persistent ignorance in this truly critical
area. (pp. x-xi)
References from the fields of anthropology, communications, sociology, and
linguistics are necessary and will be used to frame the research and the analysis of
this study. Anthropology theory and methods are necessary because this field
provides a grounding in culture and society, as well as demonstrates the best of
qualitative field methods (Buraway, et al., 1991). Henrickson (1989) supported this
approach. He said the use of a single disciplinary frame resulted in the unacceptable
49


definition of leadership as a single set of variables. He proposed a cultural
framework, informed by anthropology, as a whole process containing a complex set
of interdependent variables (p. 4).
The fields of human communication and linguistics are necessary
considerations in understanding the role of leadership in a society. In fact, Whorf
(Carroll, 1956) believed that behavior is shaped by the structure of language. Since
the specific American ethnic group selected for research is bilingual, considerations
addressed in linguistics theory potentially may contribute to analysis of the study.
In addition, the concepts of "structure" and "process" will be used to frame the
research. Structure and process are not new lenses with which to view leadership.
Bums (1978) and Gardner (1995) used social structures, such as political education
and the biological family structure, to analyze leadership. In Guzman (1988), both
process and structure emerged as key components to describe community building.
Scholars have demonstrated awareness of the contextual nature of leadership for the
past two decades. For example, Bums (1978) writes, Leadership....is a function of
complex biological, social, cognitive, and affective processes, that it is closely
influenced by the structures of opportunity and closure around it (p. 426). Bums'
but that "local, unofficial, unrecognized leaders of opinion" (p. 442) may lead quite
wellsets the tone for a wider view of leadership.
ithat leadership is not limited to a few mighty men
50


Gardner's (1995) definition of leadership suggests that next step, A leader is
an individual (or, rarely, a set of individuals) who significantly affects the thoughts,
feelings, and/or behaviors of a significant number of individuals (p. ix). Gardner
further identified six elements consistently demonstrated by outstanding leaders.
These elements are the story, the audience, the organization, the embodiment, direct
and indirect leadership, and the issue of expertise. Although Gardner uses terms such
as "direct" leadership and "the unschooled mind," that are not shared by other
scholars, his work describes context-driven, broad elements that are essential to
modem leadership thought. These elements were used to describe possible research
participants to those nominating them for the reputational sample.
To summarize, the study of leadership moved from the study of trait behavior,
through analysis of power, or situation, to task-goal behaviors. Leader/follower
behaviors were analyzed as social exchange actions. Transactional and
transformational aspects of leadership were analyzed. Servant leadership emerged
from the study of leadership through history. Today's researchers seem focused on a
more inclusive, holistic model of leadership that includes followers as well as leaders.
Culture
Typologies and taxonomies developed over time in sociology, anthropology, and
psychology to define culture. In 1952, Kroeber and Kluckhohn cataloged more than
51


one hundred definitions of culture. Kroeber and Kluckhohn's (1953) comprehensive
definition of culture is still quoted today:
Culture consists of patterns, explicit and implicit of and for behavior acquired
and transmitted by symbols, constituting the distinctive achievement of human
groups, including their embodiment in artifacts; the essential core of culture
consists of traditional (i.e., historically derived and selected) ideas and
especially their attached values; culture systems may, on the one hand, be
considered as products of action, on the other as conditioning elements of
future action, (p. 181)
The most common perceptions of culture are the visible aspects: artifacts,
language, and symbols including the achievement of group and members. These
aspects are misleading as many anthropologists find more in common among groups
than differences (Bass, 1990). Artifacts might be food emblems like tortillas for the
Mexican American. Flat, non-yeast bread-like items are common among world
peoples, however, and may include spring roll wrappers, pita bread, unleavened bread
of the Middle East, or the fry bread of the Native peoples. Tortillas, then, as a round,
unleavened, or non-yeast, bread-like food do not distinguish the Mexican American
group from others, but in fact, make them similar to other groups. The invisible
aspects of culturevalues, language structure, historically derived ideas, survival
mechanisms, rules of interactionbecome the most important variables. In
biographical research, the challenge becomes how to allow the participants to
describe culture without putting words in their mouths.
As anthropologists, sociologists, and psychologists struggled to define culture,
the elementslanguage, kin systems, values, biological adaptationsseem similar in
52


all the definitions. What differentiates definition from definition is the interplay
between each element and the importance each discipline places on the variables.
Ember & Ember (1992), also anthropologists, define culture as The set of learned
behaviors, beliefs, attitudes, values, or ideals that are characteristic of a particular
society or population (p. 346). Additionally, they suggest that cultural elements are
common responses adapted to particular environments. A sociological definition of
culture (Eshleman, Cashion, & Basirico, 1988) is similar. Culture is the system of
ideas, values, beliefs, knowledge, norms, customs, and technology shared by almost
everyone in a particular society (p. 681). However, it is the biocultural view
(Johnston & Selby, 1978) that incorporates concepts of relationship into the
definition: Culture is the set of rules carried by each person that determines how he
or she views and relates to the world (p. 602).
How much of culture can be attributed to the environment? Harris (1974) said,
Our primary mode of biological adaptation is culture, not anatomy (p. 84). Harris
also describes culture as layers of superstructures (symbolic, religious, and
philosophic orders) and infrastructures (the sociocultural practices aimed at
overcoming ecological, chemical, and physical restraints). Culture is the method man
uses to overcome environmental constraints, according to Harris. This is based in
Marxist philosophies and is also called structural determinism.
Hall (1969), an anthropologist working the field of communications, offers
another definition of culture. Hall says that culture is primarily a system of creative
53


sending, sorting, and processing of information. His major contribution was that of
the nonverbal perspective of communications. Hall claims that 80 to 90 per cent of
information communicated is by means other than language. The channels for this
information are olifactics (taste and smell), chronemics (use of time), kinetics (body
movements and gestures), proxemics ( personal space, territory and crowding),
haptics (touching behaviors), vocalics (voice characteristics and qualities), artifacts
(clothing and personal adornment), and body type, shape, and size.
54


Table 2.2: DEFINITIONS OF CULTURE
Keyword Definition Source
Patterns Culture consists of patterns, explicit and implicit of and for behavior acquired and transmitted by symbols, constituting the distinctive achievement of human groups, including their embodiment in artifacts; the essential core of culture consists of traditional (i.e., historically derived and selected) ideas and especially their attached values; culture systems may, on the one hand, be considered as products of action, on the other as conditioning elements of future action, (p. 181V Kroeber and Kluckhohn's (1953)
Learned behaviors "The set of learned behaviors, beliefs, attitudes, values, or ideals that are characteristic of a narticular society or poDulation." Ember & Ember, 19922, p. 346
Common responses "Cultures generally consist of common responses adapted to particular environmental reauirements." Ember & Ember, 19922, p. 342
Shared ideas, values, beliefs "The system of ideas, values, beliefs, knowledge, norms, customs, and technology shared by almost everyone in a particular society. Eshleman, Cashion, Sc. Basirico, 1988, p 681.
Common rules "The set of rules carried by each person that determines how he or she view and relates to the world." Johnston & Selb^, 1978, p. 602.
Information Culture is primarily a system of creative sending, sorting, and processing of information. Hall (1969)
Characteristics Characteristics of culture: (1) culture is learned, (2) culture is transmissible, (3) culture is dynamic, (4) culture is selective, (5) the facts of culture are interrelated, and (6) culture is ethnocentric (d. 131. Samovar & Porter, 1997, p.13-15
Language as a transmitter of culture A way of life of a group of people, the configuration of all of the more or less stereotyped patterns of learned behavior, which are handed down from one generation to the next through the means of language and imitation. Bamouw, 1963, p
Holistic that complex whole which includes knowledge, belief, art, morals, law, custom, and any other capabilities and habits acquired by man as a member of society. Tylor (1871, p. 1)
55


Keyword Definition Source
Group nature Culture as the ultimate, self-contained, super reality with a will and a design of its own. Culture has a group nature and is independent from individuals who become passive agents subject to the swav of culture Kroeber, 1917
As adaptive systems Cultures are systems of socially transmitted behavior patterns that serve to relate human communities to their ecological settings. Cultural change is primarily a process of adaptation similar to natural selection. The most adaptively central realms of culture are technology, subsistence economy, and elements of social organization tied to production. Kessing, 1974, pp. 75- 76
Layers of structure Culture is layers of infrastructures (the boundary across which the environmental restraints interact with sociocultural practices aimed at overcoming those restraints), and superstructures (symbolic, religious, and philosophic orders). This is based in Marxist philosophies and is also called structural determinism. Harris, 1979
Filter Culture is a filter for vast amounts of data audio, visual, spatial, sensory, non-verbal helping to reduce information down to a manageable level. Stanfield (1994)
9 properties Culture is an adaptive, evolutionary, and ethical process through which people form groups that create socially shared meaningful structures by utilizing social, political, linguistic, symbolic and learning resources to meet human needs. Henrickson (1989)
Another way to understand culture is to review the characteristics of culture.
Samovar & Porter (1997) describe these characteristics of culture: (1) culture is
learned, (2) culture is transmissible, (3) culture is dynamic, (4) culture is selective, (5)
the facts of culture are interrelated, and (6) culture is ethnocentric (p. 13). This
definition of culture differs from others because it recognized that culture is dynamic
56


or, in other words, culture is changing constantly through invention and diffusion as
opposed to being static. Earlier anthropologists approached specific cultures as if
they were static, closed-system environments.
Henrickson (1989) also sought to understand culture by reviewing the
characteristics of culture. He conducted an analysis of culture using anthropological
data, isolating the essential properties of culture. His review studies the role of both
process and form in establishing a framework for analysis. He defined process, By
process, I mean that reality is to be viewed as becoming rather than being, as ongoing
movement and change rather than solid structure, as a fluid dance of existence rather
than stasis and permanence (p. 7). Another way of understanding his approach is to
see the dichotomy of process and form as oppositional.
Table 2.3: PROCESS VERSUS FORM
Process fof understanding realitvl Form (a state)
Becoming Being
Ongoing movement Solid structure
Life is a verb Life is a noun
57


Henrickson concluded that theories of culture were also articulated in terms of form
rather than process (p. 544), a problem he resolved by synthesizing the multiplicity
of definitions into one containing nine critical properties.
Bamouw (1963), an anthropologist, describes culture as a way of life of a
group of people demonstrating patterns of behavior learned from previous generations
by means of language and imitation. Although language is a critical factor in any
cross-cultural study, it is often not mentioned as part of the definition of the culture
(See Table 2.2). Edward Sapir, his protege Benjamin Whorf (Carroll, 1956), and
Marcella Lucero Trujillo (1972) viewed the structure, syntax and grammar of the
language as key to understanding the behavior of people. Sapirs classic observation
of foundry workers handling a flammable substance called limerock as if it were a
rock or non-flammable was the spark that triggered linguistic reality theories. Sapir
theorized that because the workers called the substance a rock they treated it as if it
would not bum. Thus, the language guided their behavior.
Because Mexican Americans have a strong connection to the Spanish
language, language structure as an aspect of culture must be addressed. Lucero
Trujillo (1972) said that if language is a code to a social reality, then that reality and
philosophy may be explained through an analysis of vocabulary and syntax (preface,
no page number). Lucero Trujillo based her work on that of linguist Edward Sapir
(1921), a behavioralist who proposed that language structure dictates behavior and
actions, and Landar (1966) who believed that culture defines reality through its
58


language. Lucero Trujillo was a Chicano Studies professor of Spanish and English at
the University of Michigan. She was bom in the San Luis Valley and published on
the topic of Chicano Spanish.
To illustrate, let us take the ordinary kitchen match which logically, we
sometimes call a light. This concept in English carries the same concept as
the French word for match which is illumination, and in French is called
allumenette'' A Spaniard in naming the match is thinking of its ingredient as
he call it fosforo which means phosphorous. The Portuguese have the
same word and the same concept. A German calls it streich-holz which
carries the utilitarian concept of striking a match first and then holding it. An
Italian calls it a flamiferro" which means flamecarrier to him. The
Mexican is thinking of a little candle in calling the match a cemrillo. And
the American in calling it a match may carry the concept that it is so called
because it matches another one in the book or box. And so it goes, that if one
were to hold up an ordinary kitchen match to speakers of these languages,
their concepts would be as different as the concepts that the vocabulary
carries, (pp. 2-3)
Lucero Trujillo proposed, as did Sapir and Whorf before her, that language
structures ideas and the attached values of the essential core of culture. For example,
in Spanish, the word I is frequently omitted. For example, te amo means you, I
love. The sentence object, you, comes first in the order of the Spanish sentence. If
word order suggests importance, then the I is less important than you, implying
traits of humility and reserve (pp. 12-15). In fact, Lucero Trujillo says that using yo
or I constantly in Spanish sounds affected or artificial.
Another aspect of culture is the paradox it creates (Hall, 1976; Stanfield,
1994). At any given moment, vast amounts of dataaudio, visual, spatial, sensory,
non-verbalare presented to every human. Culture helps to filter the data to a
59


manageable levela very positive feature. Yet, few anthropologists can agree on
what constitutes the rubric of culture (Hall 1976).
Hall describes the work of William Condon from the early 1960s who used
16-millimeter film to analyze movement between two speakers and the comparability
in their brain waves. In this research, a camera was focused on each of two speakers
and on the EEG recording pens for each speaker. When the two conversationalists
talked, the two EEG recording pens moved as one. As a result of this work, Hall
(1976) says it no longer makes sense to view humans as isolated entities sending
discrete messages to each other. He says:
Rather, it would be more profitable to view the bond between humans as the
result of participation within shared organizational forms. This means humans
are tied to each other by hierarchies of rhythms that are culture-specific and
expressed through language and body movements, (pp. 63-64)
In later work, Condon (1982) declared that interactional synchrony is learned
from birth, occurs with a fraction of a second, and can be found in virtually all
cultures. Interactional synchrony in nonverbal communication is the heartbeat of the
culture but is difficult to teach to an outsider (Lustig & Koester, 1999).
When strong family ties and identity is discussed in relation to Chicanos,
often the point is made that familialism is not unique to Mexican Americans but
exists among other ethnic groups as well. What is important about Chicano
familialism, in Halls perspective, is the rhythms that are culture-specific within the
60


shared organizational forms. Thus, asking study participants about family should
reveal aspects of culture.
The negative side of culture is that it limits what we see and how we see to a
narrower range of possibilities. This aspect is reflected in the multiple of times
ethnocentricity is noted as an aspect of culture (see Table 2.2). Ethnocentricity is
The view that one's own culture is superior to others and should be used as the
standard against which other cultures are judged (Eshleman, Cashion, Basirico, 1988,
p. 682). It may not only filter researcher perceptions but it may skew judgments
(Simons, Vazquez, & Harris, 1993; Stanfield, (1994).
Henrickson (1989), in an effort to define culture, identified nine properties
synthesized from the many different definitions available in the literature. He felt that
leadership can only be understood as a cultural expression. After he defined culture
as a combination of the nine properties, he then compared them to critical properties
of leadership. In this way, Henrickson said, leadership can be defined as universal.
To develop the nine properties of culture, Henrickson consulted personally
with two of the major scholars of his time and reviewed the work of 15 leading
scholars whose primary focus was culture. Rost supervised Henricksons work as his
dissertation chair. Henricksons definition of culture is:
an adaptive, evolutionary, and ethical process through which people form
groups that create socially shared meaningful structures by utilizing social,
political, linguistic, symbolic and learning resources to meet human need. (p.
124)
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The nine properties of culture are: bio-basic, adaptive, resourceful, political,
group development, structural web of meaning, linguistic and symbolic, ethical, and
generative. Bio-basic means that humans need culture to develop biologically.
Culture is never in a state of stasis; this is its adaptive property.
In summary, the culture of a group reflects the complex interactions of
behaviors, values, and attitudes demonstrated by the group members. Adler (1986)
affirms the dynamic nature of culture in Figure 2.1. Culture influences values which
in turn mold attitudes. Attitudes are acted upon in the behavior of the group
members, and continually changing behaviors and adaptations to environment
influence the groups culture and the cycle begins again.
Figure 2.1: The influence of culture on behavior from Adler (1986, p. 9)
62


The question that begs a response is: How can culture be identified enough to
establish a relationship between study participants ethnic culture and their leadership
development? In Table 2.2, the keyword column for definitions offered by
anthropologists, sociologists, linguists, and communication experts will serve as a
framework or search mechanism to explore the data. Learned behaviors, beliefs,
attitudes, and values can be identified by characteristics of the text. Common rules,
shared ideas will be repeated themes from case to case. Language or language forms
can be identified even in an English transcription. Although culture is more than
clothing or food, people can be extremely articulate about an abstract concept.
Cross-cultural Leadership
The field of industrial and organizational psychology contributed to the domain and
scope of cross-cultural leadership research. At present, the only conclusion (empirical
research) with respect to the effects of cultural influence on leadership are that the
magnitude of cultural influence varies by kind of leader behavior (House, Wright, &
Aditya, 1997). House, Wright, & Aditya review selected definitions of culture, then
suggest that
Such broad definitions virtually preclude consensus among scholars on the
way cultural variables can and cannot be appropriately operationalized. As a
consequence, the empirical culture literature is inconsistent and confusing
with respect to what has been discovered or verified and quite incoherent with
respect to theoretical generalizations, (p. 538)
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They conclude that the extent of culture's influence on leadership may be determined
by the specific leader behaviors being studied. In other words, some leader behaviors,
styles, or actions are global, and some are "differentially influence by cultural forces"
(House, Wright, & Aditya, 1997, p. 614).
In his dissertation, Henrickson (1989) theorized that there is a dynamic
relationship between culture and leadership. The opposite of dynamic is static; the
term dynamic also suggests constant change and motion. He stated that the form of
leadership varies according to the culture, but he felt that the process of leadership
was universal. By calling the relationship between culture and leadership dynamic,
he implies that each can exist only in the presence of the other.
A concern voiced in the literature is that models of leadership developed on
generalized American values, or Western leadership theory (House, Wright, &
Aditya, 1997), are limited in their applicability to cross-border or cross-cultural
settings (Dorfinan et al., 1997; Gerstner & Day, 1994; Hooijberg & DiTomaso, 1996;
Hunt & Peterson, 1997). This limitation is described by Hooijberg & DiTomaso
(1996):
The leadership literature, in general, has tended to presume a homogeneous
population and, thus, has tended not to address demographic diversity issues,
except in very limited ways. (p. 1)
With these issues in mind, a review of the cross-cultural leadership literature
is appropriate. In his review of leadership in different countries and cultures, Bass
(1990) concludes that the unit of study for leadership could be clusters of countries
64


with "cultural affinities" *{p. 768), individual countries, or subgroups within countries.
The unit used for study,' he states, may affect conclusions. In preface to an
exhaustive review of cross-cultural leadership, Bass comments about leadership in the
United States. Bass says that the U. S. cultural emphasis on individualism is not
reflected in the diversity of relationships reported in other countries. In reviewing
Black/White leader differences, he discusses research that confounds this focus on
"individualism." For example, Black leaders exhibited more dedication to personal
values of group advancement rather than individual advancement. Bass summarizes
the questions posed of cross-cultural leadership research:
Given the containing internationalization and the observed cross-cultural
difference, this cfcnapter will try to answer such questions as, How much is it
possible to generalize the results of leadership research from one country to
another? How transferable are managers with experience and education from
one country to another? How do managerial decision-making practices and
leadership styles 'vary in different cultures? Are some dimensions of
leadership universally relevant while others are culturally relative? (p. 761)
Another problem reflected in the literature is that of the insider/outsider
phenomenon. The phenomenon was observed from scholars in the fields of
anthropology and linguistics (Headland, Pike, & Harris, 1990). According to Peterson
and Hunt (1997), who relferenced the Pike/Harris debates (Headland, Pike, & Harris,
1990), insiders may be umable to explicitly identify or explain the reason for their
behavior. In other wordss, the insider has been socialized to the extent that the reason
for the behavior is unknoown, unclear or misstated. The researcher too has been
65


socialized and may not have internalized the reason for certain behaviors. Stanfield
(1994) added to the discussion with these insightful comments about the researcher:
What is at least implicit in the insider/outsider researcher debate is that the
autobiographies, cultures, and historical contexts of researchers matter; these
determine what researchers see and do not see, as well as their ability to
analyze data and disseminate knowledge adequately, (p. 176)
In other words, even the most scientific modes of thought are fundamentally ethnic
products (p. 175).
One of the first utilizations of the insider viewpoint in an urban environment
was the Whyte (1943) studies of ghetto dwellers. Rather than the investigator
creating a taxonomy of life in this environment, keywords were allowed to emerge
from the insider's perspective. Leibow in Tallys Comer (1967) also utilized the
insider viewpoint while acknowledging that his Whiteness was a burden as a
researcher.
The study by Trevino Gulley (1995) illustrates another aspect of the
insider/outsider phenomenon. Trevino Gully conducted interviews asking a series of
25 questions. One of the questions was, "What cultural factors allowed and helped
you develop the leadership traits that distinguish you?" Of the five participants, one
acknowledged cultural factors. Those cultural factors were stubbornness, role
models, high expectations by parents, and cultural pride. Most responses were I
dont know.
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The role of survival mechanisms such as culture in an ethnic minority group
as opposed to other cultural characteristics is unclear. For example, in the Trevino
Gully study, stubbornness was cited as a cultural factor. However, is this a trait
encouraged in a hostile environment because it enhances the chances for group
survival? Identification of stubbornness as a cultural characteristic may be
acknowledgment that the minority person is involved in a struggle for survival, either
emotionally or professionally. Stubbornness may stand as a reason for the lack of
cultural disintegration of this ethnic group or as a survival mechanism built into the
socialization to preserve the culture (Falicov, 1996).
Another problem in cross-cultural leadership investigations rests in the
reliance on quantitative comparative research (Peterson & Hunt, 1997). "The risk,"
say Peterson and Hunt, "comes in extrapolating how parties will interact in
intercultural situation based solely on an analysis of their respective within-culture
dynamics" (p. 210). Additionally, Silverman (1993) identifies the confounding
research resulting from investigator attraction and fascination for the unknown rather
than the importance of the unknown element within a culture. Silverman relates the
attitude of "tourist" to a social science researcher who begins qualitative research
without a hypothesis and searches for "new and different" to the exclusion of some
"ordinary" behaviors in different contexts. Silverman also calls this the romanticism
of studying "new and different," and is critical of social science research of this genre.
67


In the last 50 years, seven elements were identified in the literature for intense
scrutiny: emergent leadership, leader effectiveness, leader behaviors, charismatic
leaders, and stress and control over group process and outcome (Fielder, 1996). Of
the seventh element, gender and race differences, Fiedler wrote, "Other things being
equal, men and women and those of different racial and ethnic backgrounds are
equally effective as leaders" (p. 243). This statement represents the complete text of
Fiedler's attention to this element. Research on African American and White
leadership concluded that there are not differences among upper level management in
efficiency and performance, but suggests there may be differences at lower levels in
scope, responsibility, and focus (Katz & Kahn, 1968). The problem with this
comparative approach is that research on women and the glass ceiling of advancement
demonstrates that hiring agents only employ those persons most like themselves
(Trujillo Sanchez, 1992). If only persons with similar characteristics are hired,
despite race, how would a researcher uncover "differences" when the employees were
hired for "similarities?"
A research agenda for investigating demographically diverse groups was
proposed by Hooijberg and DiTomaso (1996). They suggested that researchers ask
whether leading demographically diverse groups require a different type of leadership
than leading demographically homogenous groups. Another suggested question is:
"What impact does sex, race, nationality have on the leadership of homogenous and
heterogeneous groups?" (p. 14). However, these questions move rapidly through
68


research stages 4, 5, and 6 without sufficient evidence on what impact does sex, race,
nationality have on leadership to on leadership of homogenous and heterogeneous
groups. This study will focus on the context of culture in leadership including its role
and impact as voiced by ethnic leaders themselves.
Hooijberg and DiTomaso (1996) describe two reasons why the study of
culture and diverse groups is important in the general understanding of leadership.
First, future trends suggest that leaders and followers will be more diverse than they
have been in the past. Second, Hooijberg and DiTomaso encourage the study of
diverse groups because diversity in various contexts has an impact on leadership
outcomes. Gerstner and Day (1994) also noted the need for cross-cultural leadership
research. They conducted a comparison of leadership prototypes from Hofstede's
(1980b) taxonomy for understanding national culture. Gerstner and Day (1994) wrote
One of the difficulties with this process in a cross-cultural context is that
perception is not solely an innate, physiological function of sensory systems.
Instead, it is a subjective process reflecting the self, including its cultural
background, (p. 123)
Bass (1990) presents a comprehensive review of literature up through the end
of the 1980s. Bass offers a chapter on "Leadership, Blacks, Hispanics, and Other
Minorities" (pp. 738-759). In this chapter, Bass, commenting on ethnic minority
groups, states that they face systematic differences in the likelihood of their emerging
as leaders and in the probabilities of their success as leaders. His summary of
empirical research includes 151 studies of cognitive abilities, subordinate/supervisor
69


issues, education, socioeconomic status, family life, and African American values
with African American, Asian American, Native American, Jewish American, older
American, Hispanic, and physically disabled participants.
However, the study of American ethnic group leadership has been approached
differently than international cross-cultural leadership (Hooijberg & DiTomaso,
1996). An example is the study of intelligence. Intelligence is seldom addressed in
cross-border research but was the focus of some research on American ethnic
participants. Bass' (1990) chapter on "Leadership in Different Countries and
Cultures" (pp. 760-803) cites more than 300 cross-border studies but does not
reference any studies which include differences in intelligence across national
borders.
Cross-cultural leadership theory and models are in short supply, according to
Chemers (1984). However, Chemers recommended one model of cultural effects on
organizational structure by Negandhi (1975). Negandhi argues that organizational
structure and managerial policy outweigh the importance of cultural factors in
determining behavior. Negandhi's integrated model is an enlarged perspective on
contingency theory and includes closed system variable, environmental factors, and
sociocultural variables. He suggests that these variables provide a comprehensive
understanding of the structures and functions of complex organizations.
Nieto (1990) developed a multicultural model that suggested how
multiculturalism and diversity may impact leadership styles. The model identifies
70


four multicultural perspectives with varying levels of attitudes and behaviors:
tolerance, acceptance, respect, and affirmation/solidarity/critique. The model
identifies seven characteristics of multicultural education that can be descriptive of a
development process: "monoculturalism, cross-cultural contact, cultural conflict,
educational interventions, disequilibrium, awareness, and multiculturalism" (pp. 276-
277).
Hofstede (1980b) proposes four dimensions which affect human thinking,
organizations, and institutions: power distance, individualism/collectivism,
uncertainty avoidance, and masculinity/femininity. He added a fifth dimension, long-
term orientation, in 1993. Hofstede's taxonomy for understanding national culture
with respect to organizations suggests that countries cluster with respect to leadership,
motivation, and organization on these dimensions. Hofstede's taxonomy for cross-
cultural studies in leadership is used extensively as a conceptual framework for
quantitative studies (Gerstner & Day, 1994; House, Wright, & Aditya, 1997; Peterson
& Hunt, 1997).
Although literature on American ethnic minorities is not as well known as that
of cross-border research, it does exist. In fact, ethnic identity was the topic of
extensive research by Susan Keefe and her colleagues (Keefe, 1976, 1992; Keefe &
Padilla, 1987). Keefe argues that there are three dimensions of ethnicity: ethnic
culture, ethnic group membership, and ethnic identity. Keefe's (1992) model of
ethnicity distinguishes between cultural, structural, and symbolic dimensions.
71


In summary, the role of culture probably lies somewhere between the view of
the narrow closed system approach of Negandhi (1975) and the broad statements of
Rosen (1984). The cultural context of leadership is undeniably seen as a culturally
dependent variable. Generalized American values cannot be used in global research
or in the research of American ethnic cultural groups because they proved to inhibit
generalization. Some models emerged which have successfully operationalized
cultural variables through their identification as structures and processes.
l eadership Development
The premise of leadership development is that leadership is learned and is practiced
among a wide range of people. Recent researchers (Bennis & Nanus, 1985; Gardner,
1995; Gardner, 1990; Rost, 1993) agree that leaders are built, taught, trained, or
developed rather than solely possessing innate traits that rise to the surface, unbidden.
Bass (1990) attributes transformational leadership to differences in individual
development into adulthood. In this study of cultural influences, leadership
development is an important aspect because exploration of these cultural and social
structures and processes may begin to describe leadership of ethnic cultural groups.
In general, leadership development is a well-researched field with many
different theoretical approaches. Most modem approaches focus on the development
of the individual child, offering extensive, and often abstract explanations on the
impact of heredity and environment. Erikson (1982), however, proposed that human
72


personality is a lifespan process evolving as the individual survives psychosocial
crises. Erikson proposed eight stages of psychosocial development including industry
versus inferiority when the 6 to 12 year old child gains the skills that society expects,
and identity versus role confusion when the 12 to 18 year old child separates self from
parent and gains clarity about their personal identity.
A new perspective involving personality development is presented by
Ambrose (1991). Ambrose states that there is a growing sentiment among both profit
and non-profit organizations to consider leadership as a central part of a well-rounded
individual. This perspective view leadership as a series of skills and intuitions that
can be encouraged.
Bass (1990) describes the following cultural and social structures and
processes: family influences, birth order, family size, treatment by parents, parents as
role models, single parenting, parental standards, opportunities in childhood,
educational issues, and career issues. Gandara (1995) includes a family-created
"culture of possibility," cultural capital, and frequent parent-child conversations as
structures and processes valuable to Mexican American families.
Bums (1978) uses both structure and process to define leadership:
We have seen that leadership, as we have defined it, is a function of complex
biological, social, cognitive and affective processes, that it closely influenced
by the structures of opportunity and closure around it at different stages in
different peoples fives, that it manifests itself in a variety of processes and
arenas, (pp. 427-428)
73


Because process and structure are terms with multiple meanings, the following
definitions are offered. Structures are the manner of organization, the arrangement
and interrelation of all the parts of a whole, put together systematically. In leadership,
Bass (1990) defines structures as "the pattern of role relationships" (p. 17). Structures
can include any of the systemic frameworks of society: family, political system,
educational system, employment opportunities, religion, legal system, communication
preferences, including interpersonal communication preferences.
Process is defined as a continuing development involving many changes over
time or a method of doing something. Bass (1990) referred to the process of
leadership as originating and maintaining the role. Bums (1978) referred to the
biological, social, cognitive and affective processes involved in the enactment of
leadership. Processes include values, beliefs, spirituality, skill building, and use.
In the field of leadership development, little empirical data exists for the
success of the myriad of leadership training models (Bass, 1990; Fiedler, 1996).
"Most of the training programs are untested and, at best, of uncertain value," says
Fiedler (1996, p. 243). This scarcity exists despite the large amount of human
resources invested by multinational organizations in leadership training (Bass, 1990;
Saari, Johnson, McLaughlin, & Zimmerly, 1988).
A meta-analysis of 70 management-training studies was published in 1986
(Burke & Day). This systematic evaluation of research reported that very few
programs could verify the extent to which training contributed to organizational
74


performance. Two training methods that have been empirically validated were
behavior modeling approach (Sorcher & Goldstein, 1972) and "leader-match" training
program (Fiedler & Chemers, 1984).
In education, leadership development methods include interactive training,
mentoring, group process, behavior modeling, opportunities for problem solving as
well as training for conceptual skills (Guzman, 1988; Yukl, 1981). In business,
corporations such as Hewlett-Packard, Fuji, and General Electric are embracing non-
traditional methods such as "musical listening," lessons from LChing, pairing people,
and "thinking outside of the box" or "boundarylessness (Sherman, & Hadjian, 1995).
Lewis, Anderson, Cheng, Craig, Jackson, Jenkins, Jones, Murray, Rosenweig, Scott,
and Wallace (1985) proposed that leadership development programs in education
should include mentorships, team building, group dynamics. Experiential learning
was touted as the best method for leadership development by Johnson and Johnson
(1985). However, Dillard (1995) suggests that an expanded conceptualization of
leadership was necessary in the preparation of school leaders, and preparation should
include diverse ethnic and cultural group settings.
In business, Morrison (1992) identifies limitations in the leadership
development of ethnic cultural people. She notes, The deep emotions with which
many people approach the diversity issue interfere with their ability to share the
information they have, to influence others with logic and sensitivity, and to win over
potential allies (p. 2). Morrison identifies six barriers to persons of color moving
75
i


into leadership positions (defined as top management positions): prejudice or treating
differences as weaknesses; poor career planning; lonely, hostile working
environment; lacking organizational savvy; greater comfort in dealing with one's own
kind; and difficulty in balancing career and family. Morrison's finding are supported
in the work of Pankau (1996) and Montes-Ramos (1996).
Montes-Ramos (1996) also comments on multicultural leadership preparation:
Multiculturalism and diversity as well as cultural backgrounds do impact
leadership styles. Multicultural education could help change non-minority
attitudes toward minority leaders or break down the institutional racism that
excludes minorities from leadership positions. I believe that multicultural
education is crucial to educating both minorities and non-minorities to work
with diverse populations especially as future leaders. In other words,
multicultural education is one means of developing inclusive organizations
that allow minorities to become leaders and provide leaders with the cultural
backgrounds they need for the diverse people in their organizations, (p. 34)
Another leadership development approach is that of Kouzes and Posner
(1995). Their program describes five practices of leadership as commitments:
"challenging the process, inspiring a shared vision, enabling others to act, modeling
the way, and encouraging the heart" (p. 18).
Some leadership development programs have adopted the systems approach.
At West Point, for example, student learning progresses through the individual,
group, leadership, and organizational systems (McNally, Gerras, & Bullis, 1996).
The individual system teaches a general theory of adult development including human
motivation. The leadership system introduces the concepts of transactional and
76


transformational approaches. The group systems curriculum includes lectures on
organizational socialization and group development.
Some scholars have focused on describing the most critical skills for
leadership development. Posner, in the forward to a skills development guide by
Napolitano and Henderson (1998), says:
Leadership is not a position or a place in an organization. It is an attitude and
a responsibility that belongs to everyone. Organizational vitality requires that
leadership be everyone's business, (p. xiv)
The first section of this skills guide (Napolitano & Henderson, 1998) focuses on
values or "qualities of being." The qualities identified are integrity, courage,
optimism and self-confidence, focus and discipline, flexibility, tenacity and
resourcefulness, and humanity.
Nieto (1990) in describing multiculturalism in education suggested that
extracurricular and out-of-school activities contribute to leadership development. She
further posited that out-of-school activities contribute to the development of critical
thinking and group interaction skills (Nieto, 1990). Gurin's (1999) extensive
empirical studies of college students affirms Nieto's position saying that out-of-
classroom, informal exposure to a multiethnic environment is most critical in
breaking preconceived notions about others.
Some leadership studies were specific program plans or evaluations which
were not readily available through interlibrary loan. They are included as examples
of group efforts to develop leadership and to work against social injustice. An
77


example of this is a participatory study (dissertation) of the Calmecac Leadership
Institute, a project of the North Monterey County Unified School District in Moss
Landing, CA (Diaz, 1998). The abstract describes this program as a community
power training for migrant Chicano students, parents, and teachers from Castroville.
Another program plan is the student leadership training conference manual from the
Ysleta Independent School District in El Paso, TX (Ross, 1989). The abstract
describes the conference as leadership training for Mexican American teenage girls
and includes life skills guides. Another intriguing guide for student advocacy is
Resolana: A Self-Defense Manual for Social Change Agents published by
Quetalcoatl but unavailable from any library. Many other reports of programs and
scholarly work about the organizational efforts, particularly political efforts, of
Mexican Americans exist. However, much of the literature does not detail the
characteristics of the leaders or the preparation for leadership which are the topics of
this dissertation. Those listed above are examples of existing literature which
references leadership as a topic.
In summary, leadership development is more about creating challenges to
perception and skill building with individuals and groups than any simple grocery list
of skills, qualities, or enhancements. Development is a process and leadership is a
process.
78


F.thnic Identity and Ethnicity
Both a personal identity and a social identity are integral aspects of leadership as
discussed by Bums (1978). From more recent research (Padilla, 1995; Phinney,
1993), ethnic identity appears to correlate with ego identity. Phinney (1993) argues
for the psychological importance of ethnicity. Since the questions of the study frame
the relationship of ethnic culture to the development of leadership, an understanding
of key concepts of ethnicity and ethnic identity is indicated.
Erikson (1982) introduced the concept of identity at the end of World War II.
He argued that late adolescence and early adulthood are times when both a personal
and a social identity are formed. Such identity development involves at least two
aspects: a persistent sameness within oneself and a persistent sharing with others.
More recently, Phinney (1995) described ethnic identity:
Among the specific components that have been suggested as key elements of
ethnic identity are self-identification as a group member; attitudes and
evaluations relative to ones group; attitudes about oneself as a group member;
extent of ethnic knowledge and commitments; and ethnic behaviors and
practices, p. 58
Self-identification with an ethnic group is a prerequisite for selection as a study
participant because ethnic identity is closely related to ethnic culture as well as adult
development. In addition, some generational studies (Esquibel, 1992; Keefe &
Padilla, 1987; Rosenthal & Feldman, 1992) have suggested that although ethnic
behaviors decline over time, a commitment to ones group may remain high. Keefe
(1992) asserts that cultural awareness is strongly correlated with generation, and is
79


modified by acculturation. Therefore, some interview questions ask about the
influence of parents and grandparents in leadership settings.
Most of the relevant research in the area of ethnic identity has been conducted
with adolescents and youth in school settings (junior and senior high school). The
field traces its theoretical roots to the work of Erikson (1968) and Marcia (1980) in
the field of human development and to their theories of ego identity formation. From
this work, Phinney (1993, 1995) identified three stages of ethnic identity formation:
the initial stage or unexamined, the exploration stage or searchers, and the third
stage of commitment to ones ethnicity or identity achieved. In the first stage, the
person has not explored ethnicity or ethnicity issues. At the second stage, the
individual begins a process of inquiry and observation, possibly study in books,
movies, or taking a course at school, and discussion with peers or significant others.
Some suggestion has been made (Martinez & Dukes, 1997) that the second stage of
ethnic identity formation has crisis as an impetus for the turning point of the
persons interest. The third stage is described as acceptance and internalization of
ones ethnicity (Phinney, 1993, p. 7) or as identity-achieved. Persons at this stage
of ethnic identity formation are said to have completed the search and have reached a
state of clarity and understanding (Martinez & Dukes, 1997). Phinneys (1993) three-
stage model is often cited because empirical research has suggested its applicability
across ethnic groups, because it consolidates previous theoretical and empirical work,
and because it includes longitudinal data.
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Research on the meaning of Mexican as an identity was conducted in
Houston, Texas as focus group encounters and netted results that surprised the
researchers (Niemann, Romero, Arredondo, & Rodriguez, 1999). A group of
predominately low acculturated, first- and second-generation U.S. Mexicans and
Mexican Americans eloquently discussed what their ethnic identities meant to
them. The respondents used the terms Mexican, Mexican American, and Mexicano
synonymously. They exhibited keen awareness of institutional, political, and
individual racism (p. 57), but expressed an expectation of such discrimination as
with Ogbus (1990) voluntary minorities. Both conflict with African-Americans and
Chicanas/os was also expressed.
In another discussion of ethnic identity and, more broadly, ethnicity, Stanfield
(1994) extrapolates a definition:
In this essay, ethnicity denotes the synthesis of biological and fictive ancestry
and cultural elements. As a social phenomenon, ethnicity should not be
confused with tribalism and race, even though it is intrinsically related to the
formation of both culturally and politically constructed categories, (p. 175)
In other words, Stanfield observes race and tribe to be special forms of social
organizations having historical, political, geographical, and economic conditions
whereas ethnicity is a more universal attribute. Everyone has ethnicity, according to
Stanfield, and such multi-dimensionality in the researcher and in the research
participants must be considered part of the product of knowledge generation.
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Chicana/o l eadership and Leadership Development
At first glance, extensive empirical research does not seem to exist on the cultural
group, Chicana/o, although such research may be intermixed with studies on Mexican
Americans or Hispanics. This impression can be misleading if researchers focus on
works identified by Bass (1990). Generally, only articles appearing in scientifically
rigorous journals were included in Bass' handbook. Although Bass included some
unpublished reports in the third edition, the work of minority social scientists was not
included. The third edition included 7,500 references (compared with 3,000 in the
first, 1967 edition); however, names of researchers such as Julian Samora, Irene Baca
Zinn, Susan Keefe, and A1 Camarillo were not included. Journals publishing their
research were not scientific, mainstream publications, although their works reflected
rigorous quantitative methods. Examples of such publications are Caminos (San
Bernardino, CA), South Texas Journal of Research and the Humanities (Brownsville,
TX), Aztlan, El Grito, and Hispanic Journal of Behavioral Sciences (Sage
Publications).
In his comprehensive review of the literature, Bass (1990) recognizes that
Hispanics are a diverse group and cites 13 studies of Hispanics. Of the 13 studies,
three focused on Puerto Rican subjects, one identifies Chicano subordinates of
African American or White industrial supervisors, and the remaining studies identify
subjects only as "Hispanic." Despite the small number of studies, Bass (1990)
concludes that "Hispanics do share cultural commonalties that are likely to affect their
82


emergence and success as leaders, as well as their attitudes and performance as
subordinates" (p. 738). In his introduction to the third edition, Bass expresses
concern that while the research on women increased dramatically since the first
edition, the research on diverse groups (ethnic minorities, the physically challenged,
and older workers) increased only modestly.
Two limitations of Bass' review of the literature have relevance for ethnic
minority leadership. First, eight of the 13 studies are authored by one group of
researchers, Triandis and his colleagues (1981 through 1984). Rather than drawing
from a wide range of researchers and research disciplines, Bass limited his review to
those scholars with whom he was associated (Bass appears as a co-writer on many
references). Second, Bass' use of dissertations is limited in the literature review,
relying only on empirical research published in juried journals. This limitation meant
that the work of emerging scholars was not included in Bass' overview.
Chicana/o Leadership
In a literature review, all previous research conducted on a topic is brought together to
provide a background for new research. To better understand the current state of
research on Mexican American leadership, the Stages of Research on Ethnic Minority
Leadership, as described in Chapter 1 (See Table 1.3), will provide the research
framework. Rather than using a chronological organization for literature on Mexican
American leadership, each reference will demonstrate its contribution to knowledge
83


as a stage of research. Although Shakeshaft (1989) and Schuster and Van Dyne
(1984) deny that the stages are linear, to some extent they must be linear. For
example, a variety of types of research must precede challenge to theory, Stage 5, and
development of new theory, Stage 6.
In this application of research stages to Mexican American leadership, each
piece of literature was scrutinized for the characteristics identified as Stage 1, 2, 3, or
4 according to Shakeshaft (1989) and Schuster and Van Dyne (1984). Table 2.4
illustrates the stage, the type of research questions, and other characteristics of the
stage noted by Shakeshaft and Schuster and Van Dyne. A judgment was made on
each piece of literature based on characteristics of the stage operationalized as
keywords. A chronological outline, showing keywords and stage assignment, is
presented in Appendix K.
Background
Some articles reviewed were not typed as a stage because the knowledge they
conveyed was not a reflection of empirical research. This category includes scholarly
work such as literature reviews and works in popular publications or reports. The
background pieces are invaluable in providing the full measure of the research and
thinking that has been conducted previously although they do not fit the Stage types.
Using the Stages framework has another advantage. To frame and focus research,
i
i
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