Organizational behavior i essential theories of motivation and leadership by john b miner

ABOUT THE AUTHOR
John B. Miner has a professional practice in Eugene, Oregon. He held the Donald S. Carmichael
chair in human resources at the State University of New York–Buffalo and was faculty director
of the Center for Entrepreneurial Leadership there. Previously he was Research Professor of
Management at Georgia State University. He has written over fifty books and over 135 other
publications.



Copyright © 2005 by M.E. Sharpe, Inc.
All rights reserved. No part of this book may be reproduced in any form
without written permission from the publisher, M.E. Sharpe, Inc.,
80 Business Park Drive, Armonk, New York 10504.
Library of Congress Cataloging-in-Publication Data

Miner, John B.
Organizational behavior I. Essential theories of motivation and leadership
/ by John B. Miner.
p. cm.
Includes bibliographical references and index.
ISBN 0-7656-1523-1 (cloth : alk. paper)
1. Employee motivation. 2. Leadership. 3. Organizational behavior. I.
Title: Organizational behavior one. Essential theories of motivation and
leadership. II. Title: Organizational behavior. 1, Essential theories of
motivation and leadership. III. Title: Essential theories of motivation and
leadership. IV. Title.
HF5549.5.M63M5638 2005
302.3'5—dc22

2005003746

Printed in the United States of America
The paper used in this publication meets the minimum requirements of
American National Standard for Information Sciences
Permanence of Paper for Printed Library Materials,
ANSI Z 39.48-1984.

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DEDICATION
To the intellectual leaders who coined the ideas and much of the research that made this book
possible:
J. Stacy Adams
Bernard M. Bass
Fred E. Fiedler
George B. Graen
Stephen G. Green
J. Richard Hackman
W. Clay Hamner
Frederick Herzberg
Robert J. House
Arthur G. Jago
Steven Kerr
Robert Kreitner
and the many who worked with them.

Gary P. Latham
Edward E. Lawler
Kurt Lewin
Edwin A. Locke
Robert G. Lord
Fred Luthans
David C. McClelland
Terence R. Mitchell
Greg R. Oldham
Lyman W. Porter
Victor H. Vroom
Philip W. Yetton

CONTENTS
List of Tables and Figures
Preface
Acknowledgments

ix
xi
xv

PART I. SCIENTIFIC INTRODUCTION
Chapter 1.
Chapter 2.

Science and Its Theory
The Conduct of Research and the Development of Knowledge

3
18

PART II. THEORIES OF MOTIVATION
Chapter
Chapter
Chapter
Chapter

3.
4.

5.
6.

Chapter 7.
Chapter 8.
Chapter 9.
Chapter 10.
Chapter 11.

From Social Psychology and Personality Theory: Kurt Lewin
Achievement Motivation Theory: David McClelland
Motivation-Hygiene Theory: Frederick Herzberg
Job Characteristics Theory: Richard Hackman, Edward Lawler, and
Greg Oldham
Expectancy Theories: Victor Vroom, and Lyman Porter and Edward Lawler
Operant Behavior and Organizational Behavior Modification:
Clay Hamner, and Fred Luthans and Robert Kreitner
Equity Theory: J. Stacy Adams
Goal-setting Theory: Edwin Locke and Gary Latham
Attribution Theory—Managerial Perceptions of the Poor Performing
Subordinate: Terence Mitchell and Stephen Green

37
46
61
75
94
114
134
159

184

PART III. THEORIES OF LEADERSHIP
Chapter 12.
Chapter 13.
Chapter 14.
Chapter 15.
Chapter 16.
Chapter 17.
Chapter 18.
Chapter 19.

Normative Decision Process Theory: Victor Vroom, Philip Yetton,
and Arthur Jago
Contingency Theory of Leadership: Fred Fiedler
Vertical Dyad Linkage and Leader–Member Exchange Theory:
George Graen
Information Processing Theory of Leadership: Robert Lord
Substitutes for Leadership: Steven Kerr
Role Motivation Theory: John Miner
Charismatic Leadership Theory: Robert House
Transformational Leadership Theory: Bernard Bass

Name Index
Subject Index

207
232
256
280

300
319
337
361
387
400

vii



LIST OF TABLES AND FIGURES
TABLES
3.1 Methods Used to Create Leadership Climates
4.1 Development of the Power Motive and Managerial Performance
4.2 Relationships Between Socialized Power and Promotion Among Non-technical
Managers
5.1 Pre- and Post-Measures of Job Satisfaction for Job Enrichment Projects
6.1 Correlation Between Motivating Potential Score and Outcome Variables
Moderated by Growth Need Strength and Context Satisfactions
7.1 Percentage of Those with Various Instrumental Perceptions Who Are High Performers
7.2 Multiple Correlations for Seven Outcomes of Effort–Reward Probabilities Alone
and in Combination with Value of Reward (Valence) as Predictors of
Job Effort and Performance
8.1 Strategies for Shaping and Modeling
9.1 Possible Inputs to and Outcomes from an Employment Exchange
9.2 The Amount of Inequity Experienced Under Various Input and Outcome Conditions
9.3 Errors Detected per Page and Number of Pages Proofed Under Varying Conditions
of Equity
11.1 Managerial Attributions Regarding Poor Group and Individual Performance

Hypothesized from Theory at Link #1 of the Attributional Model
11.2 Significant Correlations Between Attributions for Performance and Corrective
Actions Recommended
12.1 Feasible Sets of Leader Behaviors for Each of Fourteen Group Problem Types
12.2 Correlations Between Aspects of the Problem Situation and the Degree of
Participativeness of the Reported Leader Behavior
12.3 Validity Evidence from Six Studies Representing Normative Tests
13.1 Fiedler’s Early Classification of Interactive Task Groups
13.2 Contingency Theory Variables, Level of Analysis, Measures Used, and Sources
of Data
14.1 Normative Model for the Development of Dyadic Career Realities
14.2 Relationships Between LMX and Outcome Variables
14.3 The Development of Dansereau’s Dyadic Approach to Leadership
15.1 Comparison and Evaluation of Information Processing Models
15.2 Potential Means That Can Be Used by Executives to Influence Organizational
Performance
16.1 Neutralization Effects of Substitutes for Leadership on Two Types of Leader
Behavior
16.2 Effects of Various Organizational Characteristics on Members’ Task-relevant
Information and Motivation in Mechanistic and Organic Organizations
ix

40
51
56
68
86
102

104

121
136
137
142
192
197
212
218
220
236
242
260
268
272
284
288
303
305


x

LIST OF TABLES AND FIGURES

16.3 Effective Coping Strategies That Might Be Used to Deal with Specific
Leadership Problems
17.1 Schema of Strategic Factors That May Contribute to Ineffective Performance
19.1 Mean Corrected Correlations Between MLQ Scales and Effectiveness Criteria
With (Subordinate Ratings) and Without (Organizational Measures) Common
Method Bias

309
322

374

FIGURES
1.1
3.1
6.1
6.2
7.1
7.2
8.1
8.2
8.3
9.1
9.2
10.1
10.2
10.3
10.4
11.1
11.2
12.1
12.2
13.1
13.2
13.3
14.1

15.1
15.2
16.1
17.1
17.2
18.1
18.2
19.1
19.2

The Components of Theories and How They Function
Kurt Lewin’s Force-field Analysis of the Change Process
The Complete Job Characteristics Model
Links Between the Implementing Principles and the Core Job Characteristics
The Original Porter-Lawler Model
Lawler’s Portrayal of the Basic Expectancy Theory Model
A Model of the Social Learning Process
The 1980s Expanded Model of Organizational Behavior Modification
Reversal Analysis of the Effects of Organizational Behavior Modification
Intervention on the Number of Defective Products Produced
Model of the Psychological Processes Involved in Referent Selection
Theoretical Roads to Understanding Organizational Justice
Model of How Feedback Leads to Action
Model of the High Performance Cycle
Model of the Relationships Among Goals, Plans (Task Strategies), and
Performance
Model of the Motivation Sequence
The Basic Attributional Model
The Attributional Model of Leader Response to Subordinate Poor Performance
Decision Tree for Arriving at Feasible Sets of Leader Behaviors for Different

Group Problem Types
Decision Tree for Arriving at Feasible Sets of Leader Behaviors for Different
Group and Individual Problem Types
Effects of Leadership Training on Subsequent Performance as Moderated by
Situational Favorableness
The Octants of Contingency Theory
Decision Tree for Cognitive Resource Theory
Description of the Role-making Process
Model of Information Processing Directed by Cognitive Schema
Catastrophe Model of Changing Social Perceptions
Causal Model Showing the Roles of Leader Behaviors, Moderators, and Mediators
Steps in the Control Process as Applied to Instances of Ineffective Performance
Outlines of the Four Forms of Role Motivation Theory
The Initial Model of Charismatic Leadership
Model of the Charismatic Leadership Process
Outline of the Work Pursued by Bernard Bass Until the Early 1980s
Transactional and Transformational Leadership

8
41
78
80
99
101
123
123
126
146
152
166

168
169
170
188
190
211
214
240
243
249
261
282
286
307
323
325
340
344
362
364


PREFACE

xi

PREFACE
Essential Theories of Motivation and Leadership is the third in a series of books dealing with
microlevel organizational behavior theories, spread unevenly over a twenty-five-year period. The
predecessors were Theories of Organizational Behavior (1980), and Organizational Behavior:

Foundations, Theories, and Analyses (2002).
All of these books presuppose some prior work in such fields as organizational behavior,
management, and the like. Given an introduction of this kind, readers should find little in this
book that overlaps with their prior learning. The reason for this is that basic courses typically take
a content- or problem-centered approach. In contrast, this book takes a different tack, focusing on
the best theories in the field of micro-organizational behavior and the contributions these theories
have made to understanding organizations. Dealing with these theories and the research on them
requires not only some basic study in the area, but also an introduction to statistics. With this kind
of preparation, readers should have no difficulty comprehending the material presented here,
even though some of the theories are by their nature quite demanding.
WHY THEORY?
There are several advantages to being exposed to a book that focuses on theory, as this does. One
is that theories become the nodes for ideas around which knowledge is concentrated. This concentration of knowledge surrounding theories makes for a comprehensive, yet more parsimonious, coverage of the subject matter of a field. Good theories tend to attract research, and
consequently much of what we really know about motivation and leadership within organizations
is encompassed within the theoretical framework. In short, casting a net that catches only theories, and then only those theories that have been shown by research to be the better ones at the
present time, provides an ideal perspective on organizational behavior subject matter.
A second point is that concentrating on theories permits a degree of insight into how organizational
science really operates that is not possible otherwise. This is so because the interplay between theory
development and research is at the very heart of any scientific discipline. To understand this process
one has to approach the subject matter of a field through its theories. This becomes particularly important for a field like organizational behavior, where the ties between professional school education and
practice are not as close as they are in medicine, for instance. To bring the educational process and
actual practice closer together, there needs to be a reciprocal relationship and thus mutual understanding. Much has been written on how academics need to understand the practitioner perspective better,
and I applaud such efforts; but if the relationship is to be truly reciprocal, practitioners also need to
understand how knowledge is generated in organizational behavior. This book, with its emphasis on
theory, provides a unique window to look inside the science of organizational behavior.
WHY THESE THEORIES?
The theories presented in this volume were selected from a larger listing of thirty-eight theories of
motivation and leadership originally created to include the most significant theories of the field, if
xi

xii

PREFACE

not necessarily the most valid. This larger listing was developed from existing books devoted to
surveying the organizational behavior theoretical literature. These thirty-eight were reduced to
the nineteen presented here by applying criteria specified in the following manner:
Importance rating. The seventy-one organizational behavior experts who responded to a survey
rated the thirty-eight theories on a 7-point scale (with 7 as the high value) with regard to the theory’s
importance to the field. For the nineteen selected theories, the mean such rating was 4.82, while the
mean rating for the theories not included in this book was 3.80. The criterion applied to ensure
inclusion in this volume was a rating of 5.00 or above; eight theories met this criterion.
Institutionalization. An institution may be defined as a cognitive, normative, or regulative
structure or activity that provides stability and meaning to social behavior. Thus, theories that
have the backing of institutionalization are widely known and endorsed. The distribution of importance ratings for each theory was analyzed to determine whether or not the frequencies in the
upper half of the distribution departed from normal curve expectations, and if so, whether or not
this deviation represented an exaggeration of the frequencies sufficient to produce statistical significance. Those theories that achieved significance were said to be institutionalized; all five of
them are included in this book.
Estimated validity. Validity was determined by the author based on an assessment of the research on the theory, both as to its quantity and the support it provided. The “goodness” of the
theoretical statements was considered as well, as were evaluations by other reviewers including
meta-analyses. These summary ratings were made on a 5-point scale (with 5 as the high point).
The mean estimated validity for the nineteen selected theories was 4.05, and for the theories not
included here, it was 2.26. Any theory with a rating of 4 or 5 was automatically selected, and there
were sixteen of these.
Estimated usefulness. Usefulness in practice was also established by the author depending on
the extent to which such applications existed, the extent of the research on these applications, and
the support for practical use provided by this research. Endorsements by practitioners provided in
the literature were considered, too, but no attempt was made to establish the facts regarding the
extent of actual use in practice; the latter were believed to be so subject to faddism as to be

unreliable. Again, the estimated usefulness ratings were made on a 5-point scale (with 5 as the
high point). For the nineteen theories included in this volume, the mean such evaluation was 3.32,
and for the nineteen theories excluded, it was 1.95. The criterion for inclusion was a rating of 4 or
5, and there were eight of these.
In addition to the criteria for a labeling as “essential” provided from these four sources, certain
theories that consistently met the next highest rating category were included as well. These consistently “almost good enough” theories are judged to be worthy of inclusion, not on the basis of
their performance relative to any single criterion, but because of their total summed scores. They
were not institutionalized, but had an importance rating in the 4.00–4.99 range, an estimated
validity of 3, and an estimated usefulness of 3. There were two such theories.1
A point needs to be made regarding the date of origin of these theories. They extend back to
the 1930s and run to the 1980s; yet this is not a history book. Without exception these theories can
be found cited in the current literature, and most of them will be found there many times. Several
reasons exist for this situation. One consideration is that it takes a number of years for a theory to
accumulate enough research to permit an adequate evaluation. Thus, theories of the 1990s and
beyond are almost automatically excluded. Furthermore, during the 1960s and 1970s, a large
number of individuals came to organizational behavior from other disciplines, thus creating new
combinations of knowledge and a particularly fertile ground for theory generation.
Perhaps more important than any other consideration, however, is that organizational behav-


PREFACE

xiii

ior theorists tend to keep revising and developing their theories once they get started, and they
typically do not stop much before they die. A few of those whose theories are considered in this
book have indeed stopped theorizing because they are no longer among us, but most are still at it.
This means that many theories of organizational behavior that began decades ago are also very
current and continue to dominate the field.
STRUCTURE OF THE BOOK

As noted in the contents, this book is divided into three parts. In Part I are two chapters intended
to set the scene for what follows. The objective is to provide the background on scientific method,
theory construction and evaluation, measurement considerations, research design, the nature of
knowledge in organizational behavior, and other considerations needed to truly understand the
theoretical discussions in Parts II and III. Perhaps some readers have a sufficient degree of orientation on such matters so as to be able to skip this introduction and move directly to the theories
themselves. Nevertheless, these two chapters contain a considerable amount of material that is
new; over 40 percent of the references cite publications dated 2000 or later. I recommend at least
a quick skim, and for those who are reasonably new to the field, this should be the needed background to decipher what follows.
Parts II and III take up essential theories of motivation and leadership, respectively. A bit of
leadership can be found in Part II and some motivation in Part III, but do not be too concerned
about this. The boundaries are somewhat artificial at best. Motivation and leadership have always
been closely allied subject matter for organizational behavior, and they appear to be moving
closer to each other over time. Frequently, as theories are expanded and developed by their authors, they move from one content area to the other and ultimately come to bridge both fields.
There are increasing reasons for incorporating both motivation and leadership in a single book or
course of study.
STRUCTURE OF THE CHAPTERS
After the book’s introductory material, the remaining chapters follow a generally consistent format. An outline covering the various headings of the chapter provides a roadmap facilitating
progress through the discussion and a guide to finding a way out should the reader get lost en
route. The introductory material, including what is labeled “Background,” is intended to place the
theory at hand in its context, both intellectual and historical. What are the sources of the theorist’s
ideas, and what sort of environment nurtured them? I have tried here to provide for readers something of a biographical understanding of the theorist as a person. Note in this regard that these are
all men. There was little by way of diversity of any kind within organizational behavior at the time
these theories emerged. It is different now, and I assume that in the future a book such as this will
possess a much more diversified cast of characters.
An important feature at the beginning of each chapter is a box (or in a few cases, boxes) that
presents the ratings of the theory to be considered and its decade of origin. The ratings are those
discussed earlier in this preface—the importance rating, institutionalization if appropriate, estimated
validity, and estimated usefulness—each expressed using a set of stars. This information should
prove helpful going into the discussion, to guide the reader as to what to expect with each theory.
Following the introductory material for each chapter, the theory is presented in developmental

sequence. In a few instances this represents an early comprehensive statement with only a few
changes subsequently, but much more frequently the development of the theory extends over


xiv

PREFACE

years. Some theories are still in transition at this writing. This theoretical statement is followed by
an “Evaluation and Impact” section that considers the appropriate research, usually starting with
the research conducted by the theory’s author(s). In many cases these initial investigations by the
theorists set the pattern for subsequent studies by others. In analyzing the research I am rarely
able to consider all possible studies, but every effort is made to take up the more significant ones.
Meta-analyses and evaluative reviews are relied upon heavily in reaching conclusions.
Applications, if there are any and in almost all instances there are, are considered at appropriate points in the presentation. Usually there is less research, and less by way of evaluations by
others, where applications are concerned, but I have presented whatever is available in both instances. In my opinion, in an applied field such as organizational behavior, it is as important to
evaluate theories in terms of their relevance for practice as to consider their validity.
In the “Conclusions” section of each chapter, I attempt to explain and document how the
estimated validity and estimated usefulness ratings were made for that particular theory. Thus,
both positive and negative features are noted and then balanced to arrive at the final rating as
reflected in the stars awarded in the box at the beginning of each chapter.
The chapter-end references are numerous, providing both a developmental chronology of theoretical statements and a record of significant research. This is partly to document statements made
in the text, but it also provides a list of sources to follow up should the reader wish to learn more
about a particular theory. The total number of references runs to over a 1,000, with an average of
fifty-six per chapter. More than 30 percent of these have been published in 2000 or more recently,
supporting the contention that this is a thoroughly up-to-date volume.
NOTE
1. Greater detail on the measures set forth above may be obtained from two papers: “The Rated Importance, Scientific Validity, and Practical Usefulness of Organizational Behavior Theories: A Quantitative
Review” published in the 2003 Academy of Management Learning and Education, Volume 2, 250–68; and
“The Institutionalization of Organizational Behavior Theories: An Empirical Investigation” to be published

subsequently in this book series and available from the author. The nineteen theories not selected for inclusion in this book are discussed in Organizational Behavior: Foundations, Theories, and Analyses (2002).
All of these sources are authored by myself.

John B. Miner
Eugene, Oregon
April 2004


ACKNOWLEDGMENTS
My major debt in preparing this book is acknowledged in the dedication. Without the efforts of
the various theorists of motivation and leadership, there would have been nothing to write about.
They have not only proved themselves to be very good theorists, but they have served in large part
to carry the young field of organizational behavior through its formative years.
I am also indebted to Oxford University Press for giving me permission to use material from
my Organizational Behavior: Foundations, Theories, and Analyses wherever in the present volume it proved appropriate. Harry Briggs at M.E. Sharpe has shown himself to be both a very
helpful person and a highly proficient editor; it has been a pleasure to work with him. Susan
Rescigno, my project editor, has been equally helpful.
Finally, in the absence of any university support, my wife, Barbara, has taken on all of the
tasks involved in the preparation of this book, other than writing it. I thank her not only for her
dedication and efficiency, but for her support and love.

xv



PART I
SCIENTIFIC INTRODUCTION

CHAPTER 1

SCIENCE AND ITS THEORY
Theory and Practice
Science Defined
The Role of Theory in Science
Theory Defined
How Theory Works
Assumptions of Science
Rules of Scientific Inquiry
Theory Building
Defining a Good or Strong Theory
Kinds of Theories
Micro, Macro, and Meso
Typologies as Theory
Grounded Theory
Conclusions
What is organizational behavior? It is a social science discipline—much like cultural anthropology, economics, political science, psychology, and sociology. This means that it utilizes the scientific method to establish truth and to validate its theories. It is a discipline that historically has had
its intellectual home in business schools. It is a new discipline relative to the other social sciences,
having its origins in the middle twentieth century. The key points are that it is a science and that it
has a history, which, though short, has been quite turbulent.
Although the exact boundaries of the discipline are somewhat fuzzy (see Blood 1994), organizational behavior’s focus is clearly on the world of organizations. The concern is first with the behavior and nature of people within organizations, and second with the behavior and nature of organizations
within their environments. The term organizational behavior initially made reference only to the
behavior and nature of people in organizations. Given the fuzziness of its boundaries, the discipline
always had a tendency to stretch beyond that domain, however. By the time it was approaching
twenty-five years of age, it clearly had staked a claim to incorporating the behavior and nature of
organizations as well. This is historically consistent in that both the study of the behavior and nature
of people and the study of the behavior and nature of organizations emerged in the business schools
in the same places at the same times. The focus of this volume, however, is on the former (i.e., the
behavior and nature of people), with the usual caveat regarding fuzzy boundaries.

In line with its professional school origins, organizational behavior is an applied discipline,
concerned with matters of practice and application. Despite this orientation, it has relatively few
adherents who actually devote their primary professional efforts to the practice of organizational
behavior in business and other organizational settings; rather, most are concentrated in academia—
teaching, writing, and conducting research. In my opinion this is unfortunate; the field would be
better off not by reducing its academic efforts, but by expanding its practitioner efforts. We will
return to this theme in various ways throughout this book.
3


4

SCIENTIFIC INTRODUCTION

Several other terms have become intertwined with organizational behavior over the years,
although none has achieved quite the same level of acceptance. One is organization theory, which
has come to refer almost exclusively to the study of the behavior and nature of organizations in
their environments. A second is organization(al) science, which appears to cover essentially the
same ground as organizational behavior and which in many respects I prefer as a designation for
our field (see Miner 1984). However, right now organizational behavior has won the day. Finally,
there is the term organization studies, which also has a broad connotation extending at least in the
recent period beyond the science of organizations to incorporate several different philosophic
positions (see Clegg, Hardy, and Nord 1996).
Having explained what organizational behavior is, I need to say something about what it is
not. It is not strategic management, a field that has emerged and achieved stature more recently
than organizational behavior (see Schendel and Hofer 1979) and that has differentiated itself at
the border that previously existed between organizational behavior and economics, borrowing
from and overlapping with each. Also, organizational behavior is not economics, although in
recent years there has been some confounding of the two fields, and some even foresee a possible
future takeover of organizational behavior by economics (e.g., see Pfeffer 1995). However, economics was well established in business schools long before organizational behavior arrived, and

organizational behavior was spawned, in large part at the behest of economists, as a separate and
distinct discipline. Historically, the two are clearly different entities with very different origins.
Finally, organizational behavior is not philosophy. That, however, is a rather complex story.
As a science our field is closely tied to, though separate from, the philosophy of science. In this
respect it is like all other sciences, and the relationship can be expected to continue as long as
organizational behavior defines itself as a social science. But from the very beginning, philosophy has been threaded into organizational behavior in other respects as well, not always to the
benefit of either field. Sometimes, in the hands of certain individuals, organizational behavior
and philosophy have become almost indistinguishable from one another. Understanding what is
involved here requires a background in the nature of science, scientific theory, scientific research,
and in the history of science—in short, in the scientific foundations of the field. It also requires a
background in the ways in which philosophy has become threaded into organizational behavior at
various points in time. These matters are considered in these introductory chapters of Part I.
The primary focus of this book, however, is on the major theories that have evolved within the
broad field of organizational behavior that deal with the motivations of participants at all levels
and in all positions, as well as with the leadership process operating within organizations. The
goal is to provide an understanding of these theories and thus to determine what they can tell us
that might prove useful to people who participate in organizations.
In point of fact, we all participate in various organizations such as schools, companies, and
hospitals throughout our lives, and we devote a large percentage of our time to such participation.
Most people would like to function more effectively in organizations and to contribute to more
effective functioning of the organizations themselves. It seems logical that the more we know
about organizations and the way they operate, the better our chances of coping with them adequately and of achieving our own goals within them and for them. Giving us this knowledge is
what theories of organizational behavior attempt to do.
As a foundation for understanding these theories, it is important to know what scientific theory
is and what it is not, as well as how theory relates to research and how research either supports or
fails to support theory. These are the concerns of this Scientific Introduction. The intent is to
provide a basic understanding that can be drawn on as specific theories are discussed in the
remainder of the book.

SCIENCE AND ITS THEORY

5

THEORY AND PRACTICE
Theory is the cornerstone of any science. It provides the ideas that fuel research and practice.
Theories of organizational behavior are as potentially useful when applied to organizations
as theories of physics and chemistry are when used in developing new manufacturing technologies and consumer products, or theories of biology are in advancing medical practice.
However, the relationship between theory and practice (or application, or usefulness) in organizational behavior is often misunderstood. For many people the term theory evokes images of a speculative, ivory-towered world, far removed from reality. Theories do not sound
helpful in understanding the practical facts of organizational life. Yet one hears such statements as that of the eminent psychologist Kurt Lewin (1945), who said that “nothing is so
practical as a good theory.” And this dictum continues to receive widespread acceptance
today (e.g., see Van de Ven 1989).
Confusion on this score is in fact widespread; the subject requires consideration here at the
outset because a particular reader’s preconceptions regarding the theory–practice relationship (or
the lack thereof) can color that person’s thinking about the entire field. The idea that theory is
somehow “ivory tower” while practice is “real world”—and that the two are distinct and separate—
permeates much current discussion of business school education and of the role of the organizational behavior discipline (Das 2003; Donaldson 2002).
What, then, is the state of the situation at the interface between academic theory and research
and the world of application? What do studies tell us? One of the most comprehensive studies
deals with the research knowledge, much of it theory-based, of human resource (HR) managers
(Rynes, Brown, and Colbert 2002; Rynes, Colbert, and Brown 2002). This investigation indicated that these managers were not very knowledgeable regarding the research evidence, particularly in the areas of selection and motivation; they were only neutral on the value of research
findings for practice; and most read very little in the research literature. Yet those few who were
more conversant with the research worked for more financially successful companies. A difficulty appears to be that many HR managers rely almost entirely on the popular press for knowledge input (Mazza and Alvarez 2000), and they often receive wrong information from such sources.
Another study, focused on a specific theory, failed to find evidence of an understanding of
this theory among managers, although MBA students were better informed (Priem and
Rosenstein 2000). Thus, practicing managers could not go in the directions prescribed because they lacked the knowledge to do so. Although value and motivational differences are
involved here (Brooks, Grauer, Thornbury, and Highhouse 2003; Miner 2004), this in itself
would not logically account for the academic–managerial gap found; the problem appears to
be in not going to appropriate sources of information (Roehling, Cavanaugh, Moynihan, and
Boswell 2000).

The data thus seem to indicate a substantial gap between theory and perceived usefulness
in practice. Yet there are reasons to believe that this gap can be reduced under appropriate
circumstances (Rynes, Bartunek, and Daft 2001). One objective of this volume is to facilitate
this process and accordingly to narrow the gap so that practitioners will come away with a
greater appreciation of the value that organizational behavior theory can bring to practice.
Examples of recent academic–practitioner collaborations on research studies (Ford, Duncan,
Bedeian, Ginter, Rousculp, and Adams 2003; Rynes and McNatt 2001) and of increasing
concern about linking theory to practice (Cooper and Locke 2000) give reason for optimism
in this regard.
In this context, let me return to Lewin’s (1945) dictum. What Lewin meant by a good theory is


6

SCIENTIFIC INTRODUCTION

one that is validated by adequate research. To be truly useful, a theory must be intimately intertwined with research, and to the extent that it is, it has the potential for moving beyond philosophic speculation to become a sound basis for action. Good theory is thus practical because it
advances knowledge in a field, guides research to important questions, and enlightens practice in
some manner (Van de Ven 1989).
Some theories are obviously more concerned with application than others. Some, at the time of
inception, may fail to meet the test of usefulness, only to find their way to a juncture with practice
later on. Some theories are never tested, or they fail the test of research and are not very good
theories, at least as far as anyone can tell. In any event, a good theory has the potential for valid
applications and thus can prove useful if correctly applied. A theory in an applied field, such as
organizational behavior, that is so divorced from application (so ivory tower?) that is has no
potential for speaking to practice is very unlikely to be a good theory. This is the viewpoint that
guides the analyses and interpretations presented throughout this book.
SCIENCE DEFINED
Science is an enterprise by which a particular kind of ordered knowledge is obtained about natural phenomena by means of controlled observations and theoretical interpretations. Ideally, this
science, of which organizational behavior is a part, lives up to the following:

1.
2.
3.
4.
5.

Definitions are precise.
Data-collecting is objective.
Findings are replicable.
Approach is systematic and cumulative.
Purposes are understanding and prediction, plus in the applied arena, control (Berelson
and Steiner 1964).

The usually accepted goals of scientific effort are to increase understanding and to facilitate prediction (Dubin 1978). At its best, science will achieve both of these goals. However,
there are many instances in which prediction has been accomplished with considerable precision, even though true understanding of the underlying phenomena is minimal; for example,
this is characteristic of much of the forecasting that companies do as a basis for planning.
Similarly, understanding can be far advanced, even though prediction lags behind. For instance, we know a great deal about the various factors that influence the level of people’s
work performance, but we do not know enough about the interaction of these factors in specific instances to predict with high accuracy exactly how well a certain individual will do in a
particular position.
In an applied field, such as organizational behavior, the objectives of understanding and prediction are joined by a third objective—influencing or managing the future, and thus achieving
control. An economic science that explained business cycles fully and predicted fluctuations
precisely would represent a long step toward holding unemployment at a desired level. Similarly,
knowledge of the dynamics of organizations and the capacity to predict the occurrence of particular structures and processes would seem to offer the possibility of engineering a situation to
maximize organizational effectiveness. To the extent that limited unemployment or increased
organizational effectiveness are desired, science then becomes a means to these goals. In fact,
much scientific work is undertaken to influence the world around us. To the extent applied science meets such objectives, it achieves a major goal.


SCIENCE AND ITS THEORY

7

THE ROLE OF THEORY IN SCIENCE
Scientific method evolves in ascending levels of abstractions (Brown and Ghiselli 1955). At the
most basic level, it portrays and retains experience in symbols. The symbols may be mathematical, but to date in organizational behavior they have been primarily linguistic.
Once converted to symbols, experience may be mentally manipulated, and relationships may
be established.
Description utilizes symbols to classify, order, and correlate events. It remains at a low level
of abstraction and is closely tied to observation and sensory experience. In essence, it is a
matter of ordering symbols to make them adequately portray events. The objective is to answer
“what” questions.
Explanation moves to a higher level of abstraction in that it attempts to establish meanings
behind events. It attempts to identify causal, or at least concomitant, relationships so that observed phenomena make some logical sense.
Theory Defined
At its maximal point, explanation creates theory. Scientific theory is a patterning of logical constructs, or interrelated symbolic concepts, into which the known facts regarding a phenomenon,
or theoretical domain, may be fitted. A theory is a generalization, applicable within stated boundaries, that specifies the relationships between factors. Thus, it is an attempt to make sense out of
observations that in and of themselves do not contain any inherent and obvious logic (Dubin
1976). The objective is to answer “how,” “when,” and “why” questions.
Because theory is so central to science, a certain amount of repetition related to this topic may
be forgiven. Campbell (1990) defines theory as a collection of assertions, both verbal and symbolic, that identifies what variables are important for what reasons, specifies how they are interrelated and why, and identifies the conditions under which they should be related or not. Sutton and
Staw (1995) place their emphasis somewhat differently, but with much the same result. For them
theory is about the connections among phenomena, a story about why acts, events, structure, and
thoughts occur. It emphasizes the nature of causal relationships, identifying what comes first, as
well as the timing of events. It is laced with a set of logically interconnected arguments. It can
have implications that we have not previously seen and that run counter to our common sense.
How Theory Works
Figure 1.1 provides a picture of the components of a theory. A theory is thus a system of constructs and variables with the constructs related to one another by propositions and the variables
by hypotheses. The whole is bounded by the assumptions, both implicit and explicit, that the
theorist holds with regard to the theory (Bacharach 1989).
Constructs are “terms which, though not observational either directly or indirectly, may be

applied or even defined on the basis of the observables” (Kaplan 1964, 55). They are abstractions
created to facilitate understanding. Variables are observable, they have multiple values, and they
derive from constructs. In essence, they are operationalizations of constructs created to permit
testing of hypotheses. In contrast to the abstract constructs, variables are concrete. Propositions
are statements of relationships among constructs. Hypotheses are similar statements involving
variables. Research attempts to refute or confirm hypotheses, not propositions per se.
All theories occupy a domain within which they should prove effective and outside of which


8

SCIENTIFIC INTRODUCTION

Figure 1.1

The Components of Theories and How They Function

Constructs
CCoC
nstructs

Propositions

Propositions

Variables
Variables

Constructs
Constructs

Variables
Variables
Hypotheses

Constructs

Constructs
etc. etc.

Hypotheses

Variables

The extent of
generalizability
of a theory

Variables
etc.

etc.

Theoretical boundaries established in terms of the values, spaces, cultures, and
times, etc. to which a theory applies.

they should not. These domain-defining, bounding assumptions (see Figure 1.1) are in part a
product of the implicit values held by the theorist relative to the theoretical content. These values
typically go unstated and if that is the case, they cannot be measured. Spatial boundaries restrict
the effective use of the theory to specific units, such as types of organizations or kinds of people.

Among these, cultural boundaries are particularly important for theory (Cheng, Sculli, and Chan
2001). Temporal boundaries restrict the effective use of the theory to specific time periods. To the
extent that they are explicitly stated, spatial and temporal boundaries can be measured and thus
made operational. Taken together they place some limitation on the generalizability of a theory.
These boundary-defining factors need not operate only to specify the domain of a theory, however; all may serve in stating propositions and hypotheses as well. For example, time has recently
received considerable attention as a variable that may enter into hypotheses (George and Jones
2000; Mitchell and James 2001).
Organizational behavior has often been criticized for utilizing highly ambiguous theoretical constructs whose meaning is not at all clear (e.g., see Sandelands and Drazin 1989). This same ambiguity can extend to boundary definitions and domain statements. In a rather cynical vein, Astley and
Zammuto (1992) even argue that this ambiguity is functional for a theorist in that it increases the
conceptual appeal of a theory. Conflicting positions do not become readily apparent and the domain
of application may appear much greater than the empirical reality. Such purposeful ambiguity creation can cause the constructs and ideas of a theory to be extended into the world of practice to an
extent that is not empirically warranted. Not surprisingly, these views immediately met substantial
opposition (e.g., see Beyer 1992). The important point, however, is that science does not condone
this type of theoretical ambiguity. Precise definitions are needed to make science effective (Locke
2003), and a theory that resorts to ambiguity is to that extent a poor theory.


SCIENCE AND ITS THEORY

9

ASSUMPTIONS OF SCIENCE
Science must make certain assumptions about the world around us. These assumptions might not
be factually true, and to the extent they are not, science will have less value. However, to the
extent that science operates on these assumptions and produces a degree of valid understanding,
prediction, and influence, it appears more worthwhile to utilize the assumptions.
Science assumes, first, that certain natural groupings of phenomena exist, so that classification
can occur and generalization within a category is meaningful. For some years, for instance, the
field then called business policy, operating from its origins in the case method, assumed that each
company is essentially unique. This assumption effectively blocked the development of scientific

theory and research in the field. Increasingly, however, the assumption of uniqueness has been
disappearing, and generalizations applicable to classes of organizations have emerged (e.g., see
Steiner and Miner 1986). As a result, scientific theory and research are burgeoning in the field of
strategic management.
Second, science assumes some degree of constancy, stability, or permanence in the world.
Science cannot operate in a context of complete random variation; the goal of valid prediction is
totally unattainable under such circumstances. Thus, objects and events must retain some degree
of similarity from one time to another. In a sense this is an extension of the first assumption, but
now over time rather than across units (see McKelvey 1997 for a discussion of these premises).
For instance, if organizational structures, once introduced, did not retain some stability, any scientific prediction of their impact on organizational performance would be impossible. Fortunately, they do have some constancy, but not always as much as might be desired.
Third, science assumes that events are determined and that causes exist. This is the essence of
explanation and theorizing. It may not be possible to prove a specific causation with absolute
certainty, but evidence can be adduced to support certain causal explanations and reject others. In
any event, if one does not assume some kind of causation, there is little point in scientific investigation; the assumption of determinism is what sparks scientific effort. If, for instance, one assumes that organizational role prescriptions do not influence individual performance, then the
whole area of organizational design moves outside the realm of scientific inquiry. Organizational
behavior must assume some kind of causal impact of the organization on its members. It then
becomes the task of science to determine the nature of this impact.
Finally, because science is firmly rooted in observation and experience, it is necessary to
assume some degree of trustworthiness for the human processes of perceiving, remembering, and
reasoning. This trustworthiness is always relative, but it must exist to some degree. The rules
under which science operates are intended to increase the degree of reliability with which scientific observation and recording operate. The purpose is to achieve an objective, rational, replicable result that will be convincing to those who are knowledgeable in the area of study.
RULES OF SCIENTIFIC INQUIRY
First, if the findings of research are to be replicated, and the generalizations from research are to
be valid, concepts must be clearly defined in terms of the procedures used to measure them. This
has been a problem in the field of organizational behavior. On occasion theoretical concepts are
stated in such an ambiguous manner, and the conditions for their measurement are left so uncertain, that the researcher is hard put to devise an adequate test of a theory.
Second, scientific observation must be controlled so that causation may be attributed correctly. The objective is to be certain that an outcome is in fact produced by what is believed to