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Personality and Executive Effectiveness 1 Running Head: PERSONALITY AND EXECUTIVE EFFECTIVENESS Personality Correlates of Perceived Senior Executive Effectiveness: An Application of the Five-Factor Model Robert B. Kaiser Kaplan DeVries Inc. Author Note: Poster session presented at the 13th annual meeting of the Society for Industrial and Organizational Psychology, Dallas, TX. I am grateful to Bob Kaplan for constructive feedback on earlier versions of this manuscript. Thanks go to James M. LeBreton and S. Bart Craig for conversations that facilitated the design and methodology of the study. David DeVries is also recognized for thoughtful discussion about the meaning of the results. Correspondence about this article may be sent to the author at Kaplan DeVries Inc., 1903 Ashwood Court, Greensboro, NC, 27455. Electronic mail may be sent to [email protected].

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Page 1: PERSONALITY AND EXECUTIVE EFFECTIVENESS Personality Correlates of Perceived Senior

Personality and Executive Effectiveness 1

Running Head: PERSONALITY AND EXECUTIVE EFFECTIVENESS

Personality Correlates of Perceived Senior Executive Effectiveness:

An Application of the Five-Factor Model

Robert B. Kaiser

Kaplan DeVries Inc.

Author Note: Poster session presented at the 13th annual meeting of the Society for Industrial and Organizational Psychology, Dallas, TX. I am grateful to Bob Kaplan for constructive feedback on earlier versions of this manuscript. Thanks go to James M. LeBreton and S. Bart Craig for conversations that facilitated the design and methodology of the study. David DeVries is also recognized for thoughtful discussion about the meaning of the results. Correspondence about this article may be sent to the author at Kaplan DeVries Inc., 1903 Ashwood Court, Greensboro, NC, 27455. Electronic mail may be sent to [email protected].

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Personality and Executive Effectiveness 2

Abstract

Previous work has suggested how the personality correlates of effective leadership can be

understood within the Five-Factor Model of trait structure. Yet this has not been demonstrated

with executive samples. In this exploratory study, senior executives’ Adjective Check List scores

were correlated with reliable self, superior, peer, and subordinate ratings of overall effectiveness.

Analyses were interpreted within the five-factor/Big Five framework. The traits measured by the

ACL scales were significantly related to coworkers’ perceptions of effectiveness, with multiple

R2s ranging from .19 to .44 across rating sources. Moreover, the relationship between the Big

Five and executive effectiveness appeared to be more complex—and somewhat contradictory—

when compared to previous suggestions gleaned from research with lower level managers.

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Personality and Executive Effectiveness 3

Personality Correlates of Perceived Senior Executive Effectiveness:

An Application of the Five-Factor Model

Behavioral scientists have long been interested in the link between individual differences

and leadership. Yet, at least historically, consensus on the utility of personality in understanding

corporate leadership performance has been ambivalent at best (Bass, 1990; Yukl & Van Fleet,

1991). Since Stogdill’s literature review in 1974, however, there has been mounting recognition

of an important relationship between personality and business leadership effectiveness(e.g.,

Hogan, Curphy, & Hogan, 1994; House & Aditya, 1997). There are many reasons for this surge

in interest, to be sure. Perhaps the most influential reason is traceable to recent conceptual and

empirical work which has raised the state-of-the-art in personality theory and research.

Maddi (1980) and Hogan (1987; 1991) have called attention to the important distinction

between two different meanings ascribed to the term “personality” (see also McAdams, 1992).

Although these two conceptualizations of personality are undoubtedly related, albeit in ways that

are not presently well understood, it is useful to recognize the distinction as the two views are

clearly not equivalent. One approach is personality considered from the observer’s point of view.

In this context, personality refers to the ways in which a person’s typical and largely

decontextualized manifest behaviors are described (either by her self or by others) in order to

convey a general sense of what she is usually like. In other words, personality from the

observer’s perspective is tantamount to one’s social reputation and might be thought of as a

collection of relatively static and enduring surface (Hogan, 1987) or periphery traits (Maddi,

1980). Surface traits are phenotypic in nature because they are based on observations of social

behavior. Hogan has argued convincingly, as have others (e.g., McAdams, 1992), that these

reputational characteristics are what is measured by most standard personality inventories.

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Personality and Executive Effectiveness 4

In contrast to personality from the observer’s perspective is personality from the actor’s

perspective (Hogan, 1987; 1991). Here, personality is construed as the core of individuality

(Maddi, 1980)—the dynamic intrapsychic structures, networks, and processes which interact

with situational contingencies to motivate behavior (see also, e.g., Mischel & Shoda, 1996;

Pervin, 1994). Because this view of personality invokes the notion of causality, it might be

thought of as the collection of source factors which gives rise to one’s reputed personality.

Source factors are not directly observable and thus can only be inferred. Fundamental to this

theoretical view of personality is the recognition that behavior is a complex dynamic function of

personal and contextual variables that are in an ongoing and reciprocal state of flux. Such

individual difference variables include, but are not limited to: the relative situational salience of

multiple and sometimes conflicting needs and motives (Allport, 1958; Epstein, 1994a;

McClelland, 1985; Murray, 1938); levels of ego functioning and development (Loevinger, 1976;

Vaillant, 1993) and ego-control and ego-resiliency (Block & Block, 1980); identity, life themes,

and idiographic experiential history (McAdams, 1985); and, perhaps ultimately, the

phenomenological experience or subjective psychological meaningfulness of situations and

events (Kegan, 1983; 1994; Mischel & Shoda, 1996).

It would seem apparent that personality from the actor’s perspective provides a richer and

more differentiated understanding of a person’s nature than does personality from the observer’s

point of view. However, the study of personality at either level of analysis can yield important

and useful information (Hogan, 1991; McAdams, 1992; Mischel & Shoda, 1996). Few would

deny that it is important to appreciate behavior in the context of how a person interprets the

experience of reality. At the same time, few would argue that one’s reputation—a social

construction based in part on the manifest expression of the internal dynamics of the actor—is

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not important. In the context of leadership in corporate institutions, one’s relatively enduring or

characteristic ways of behaving and his or her resultant reputation can have a dramatic impact on

innumerable social processes and managerial outcomes. The present research explores the link

between reputational personality traits and perceptions of senior executive effectiveness.

The Five-Factor Model of Trait Structure

The development and refinement of the Five-Factor Model (a.k.a. the Big Five) has

provided a powerful and widely adopted framework for organizing and understanding

phenotypic reputational personality traits. This hierarchical model of personality trait structure

can be thought of as a sort of Rosetta Stone for interpreting within a common conceptual system

the wide array of specific traits identified by personality theorists and test constructors (John,

1990; McCrae, 1989; McCrae & John, 1992). It is not a theory of personality per se; rather the

Five-Factor Model (FFM) is an empirical way of summarizing—at a relatively abstract and

broad level—the pattern of covariation among objective measures of personality constructs.

As demonstrated in factor analyses of personality trait scales conducted by Fiske (1949) and

Tupes and Christal (1961) and later popularized by McCrae and Costa (1987), Digman and

Innouye (1986), and Goldberg (1993), the FFM holds that five general factors can

comprehensively account for the intercorrelations among the domain of specific reputational

personality traits, regardless of how they are measured. These five broad-band, relatively

abstract, and fundamental taxonomic dimensions are often identified as: Extraversion (including

such traits as activity, assertiveness, gregariousness, positive emotionality), Agreeableness

(friendliness, trust, sympathy, cooperation), Conscientiousness (responsibility, organization,

persistence, achievement), Neuroticism or (low) Emotional Stability (insecurity, anxiousness,

vulnerability, negative emotionality), and Openness to Experience or Intellectance (imagination,

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curiosity, unconventionality, broad-mindedness). The ubiquitous finding of these five factors in

repeated factor analyses of trait personality data suggests that most, if not all, reputational trait

scales can be understood as a specific “taste” representing a particular blend of “ingredients”

from one or more of the Big Five classes of trait dimension “flavors.”

The FFM and leadership effectiveness. A compelling argument for the usefulness of the

FFM in understanding leader effectiveness was offered by Hogan et al. (1994). Casting

cumulative studies of objective personality measures and various effectiveness criteria in terms

of the FFM, they concluded that potent leaders, more so than less effective leaders, tend to be

regarded as assertive, talkative, and active (Extraversion); better adjusted, more stable and

resilient (Emotional Stability); responsible, organized, and achievement-oriented

(Conscientiousness); and likable, supportive, and trustworthy (Agreeableness).

Although a generally insightful discussion, close reading of Hogan et al.’s review and

integration indicates that, while we do indeed know a good deal about reputational personality

traits and leadership effectiveness in general, we are far less informed about these phenomena in

the specific context of the corporate executive suite. Perhaps understandably given the elite

nature of this population, published quantitative data linking objective measures of personality

and explicit measures of effectiveness at senior executive levels is virtually non-existent. (Not

one study in the Hogan et al., [1994] review was of senior executive personality and

effectiveness.) It remains an open question whether or not findings linking reputational

personality to leadership outcomes in middle-management samples generalize to the senior

executive population.

Senior leadership and personality. Middle-management and senior corporate management

functions place unique sets of demands upon incumbent leaders (e.g., Jaques & Clement, 1991;

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McCall, Lombardo, & Morrison, 1988). It seems prudent, then, to question the tenability of

assuming that the personality correlates of effectiveness in lower levels are the same as those at

the highest levels. For example, it is well documented that some personal qualities associated

with success in lower levels and rapid career progression can also undermine performance in

senior positions (Hogan, 1994; Kaplan, 1996; Leslie & Van Velsor, 1996; Lombardo &

McCauley, 1988; Lombardo, Ruderman, & McCaulley, 1988; McCall et al., 1988).

Quite frequently managers are promoted based on a solid track record of bottom-line results,

but when they reach senior levels, relationship problems often become apparent and can

overshadow tangible accomplishments. Hogan (1994; Hogan, Raskin, & Fazzini, 1990) has

suggested narcissism is usually the culprit here. Because of a strong motive to justify beliefs of

personal superiority and a concomitant lack of regard for others, he argues, these darkly

charismatic managers achieve appealing tangible results at exorbitant human costs. Although

these managers are perennially rewarded for results with promotions and increased

responsibility, the human costs eventually become too great for the organization to bear, and

another derailment case is added to the tally.

Kaplan has developed the notion of “expansiveness” as a drive of highly ambitious

executives that, in extreme measures, can stall a career. Based on years of action-research,

Kaplan (1991a) concluded many high-achieving managers are compelled to and, at least early

on, reinforced to continually expand their realm of mastery and develop a sense of worth based

on personal accomplishments. But when expansiveness runs unmitigated, an otherwise brilliant

executive can become too absorbed in strivings for personal success and alienate coworkers

while losing sight of organizational needs.

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Personality and Executive Effectiveness 8

In a recent review of the study of leadership, House and Aditya (1997) suggested that high

achievement motivation—a non-conscious urge for personal accomplishment and excellence

(McClelland, Atkinson, Clark, & Lowell, 1958)—contributes to high performance in lower

levels and poor performance in high-level executive positions. Like Kaplan’s expansive

executives, the highly achievement motivated senior leaders described by House and Aditya

(1997) are thought to be so personally involved in performance that they are hesitant to delegate

authority and responsibility, a critical component to effectively negotiating the myriad and

highly complex demands of a senior role in a large organization (Jaques & Clement, 1991;

Nelson, 1988). As a result, a consistent record of excellent performance in middle management

ranks can slowly wane at the senior level of large corporations when what is in the best interest

of meeting organizational needs is subordinated in the service of satisfying personal achievement

needs.

It is important to note that the reputational (i.e., surface) personality correlates of leadership

effectiveness identified in the Hogan et al. (1994) review—high Conscientiousness, Emotional

Stability, Extraversion, and Agreeableness—appear partially at odds with current theory on the

deeper-seated (i.e., source) cognitive/affective antecedents of poor executive performance. For

example, the motivating dynamics of Kaplan’s (1991a) expansive drive conceptually manifest

into reputational characteristics in the form of high Conscientiousness, perhaps also with

elements of high Extraversion, as does House and Aditya’s (1997) interpretation of achievement

motivation. Thus, extremely high Conscientiousness may reflect, to some degree, extreme

expansiveness and inordinate achievement motivation, both of which are thought to contribute to

poor performance in senior corporate management positions.

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The present study was an attempt to relate self-reports of senior executive reputational

personality traits to perceptions of effectiveness and thus sketch a rough bridge between the large

literature base on middle managers and the lacking literature on top level managers. The effort

was exploratory—hypothesis generating rather than hypothesis testing—as no specific a priori

hypotheses were explicitly examined. However, it was anticipated that taxonomic application of

the FFM would provide a useful way of framing the link between reputational personality and

executive effectiveness.

Method

Participants

The present data was gathered for the purpose of assessment to be used in developmental

feedback. The sample is comprised of a total of 48 senior executives who participated in a long-

term individualized leadership development process (see Kaplan, 1998 for further description of

the process). Most were 45 to 60 year-old white men (2 were women) holding such titles as Vice

President, COO, and CEO in private sector firms based in the U.S. Effectiveness ratings were

collected from a variety of co-workers who were demographically similar to the target

executives. A total of 100 superiors, 208 peers, and 319 subordinates provided ratings for 40, 41,

and 45 target executives, respectively. Forty-two executives provided self-ratings.

Measures

Personality. Participants completed a battery of self-report personality inventories as part of

the developmental process. For the purposes of this study, the Adjective Check List (ACL,

Gough & Heilbrun, 1983) was used to operationalize personality. The ACL contains 300

adjectives and respondents are asked to check those terms that will allow a “comprehensive,

analytic, and differentiated portrait” of himself or herself (Gough & Heilbrun, 1983, p. 1). The

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results are scored to produce 37 scales representing reputational traits derived from diverse

origins such as Murray’s (1938) classic need-press theory of personality, Berne’s (1961)

psychodynamic theory of transactional analysis, and Welsh’s (1975) structural theory which

portrayed creativity and intelligence as two fundamental dimensions of personality. The scales, a

brief description of each, and descriptive statistics are presented in Table 1, which is further

described below in the procedures section.

Effectiveness. Effectiveness ratings were collected for each target from the target and a

median total of 14 (range of 10 to 31) coworkers—on average, a median of 2 superiors (range of

1 to 8), 5 peers (range of 2 to 16), and 7 subordinates (range of 2 to 13). Each coworker was

requested, during a semi-structured interview about the target’s leadership performance, to

“Please give a rating of X’s overall effectiveness as an executive on a ten-point scale. Briefly

explain.” Murphy and Cleveland (1995) have noted that superiors, peers, and subordinates each

have a unique and qualitatively different relationship with a given manager and thus are likely to

hold different perceptions of that manager. Accordingly, ratings from these sources were treated

separately.

Although single-item measures such as the present effectiveness measure are not inherently

deficient (Judge & Ferris, 1993), they are potentially susceptible to unreliablity. Thus, the

psychometric qualities of the effectiveness ratings were critically examined. Specifically, the

measurement properties of the ratings were evaluated in terms of interrater agreement and

interrater reliability within rating sources (c.f. Fleenor, Fleenor, & Grossnickle, 1996) and

convergent validity between rating sources.

James’ rwg statistic was used to determine the level of agreement within rating sources. This

index is appropriate when a group of raters rate a single target on a single construct and the

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researcher wants to know the extent to which the overall level of ratings is similar across the

individual raters (James, Demaree, & Wolf, 1984; 1993). Separate rwg values were computed for

each individual target executive for each rating source (in the case of superior ratings, rwg was

computed only for those cases where more than one rating was available). Similar to the

interpretation of indices of reliability, rwg values closer to 1 indicate better measurement

properties (James et al., 1984). For superior ratings (n = 22 targets), the mean rwg was .88 (SD =

.09); for peers (n = 41 targets) it was .74 (SD = .20), and for subordinates (n = 45 targets) it was

.83 (SD =.18). According to James et al.’s (1984; 1993) criteria, these values indicate a

reasonably high degree of agreement in terms of level within rating groups.

The effectiveness ratings were assessed for interrater reliability with intraclass correlations

(ICC; Shrout & Fleiss, 1979). Whereas rwg is an index of level of agreement, ICCs provide an

assessment of agreement in terms of rank-ordering (Fleenor et al., 1996). ICCs were computed

separately for the three rating sources. The reliability of the mean of two superiors’ ratings and

the reliabilities of the means of three randomly selected raters within the peer and subordinate

groups were calculated (ICC [1,2] for superiors and ICC[1,3] for peer and subordinates; Shrout

& Fleiss, 1979). For superiors, the ICC was .56, for peers it was .52, and it was .59 for

subordinates. These values are in league with the average for performance ratings of middle

managers, according to a recent meta-analysis (Conway & Huffcut, 1996).

Convergent validity evidence was sought by correlating mean within-source ratings across

rating sources (see Table 2). These coefficients—ranging from .51 to .58—were higher than

most corrected meta-analytic estimates of cross-source convergence based on performance and

skill rating data from middle management samples (c.f. Conway & Huffcut, 1996; Harris &

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Schaubroeck, 1988), indicating a relatively high level of convergent validity for the effectiveness

measures.

At a conceptual level, these ratings should be relatively free of certain forms of construct-

irrelevant variance (e.g., leniency) because they were gathered for developmental rather than

administrative purposes (Zedeck & Cascio, 1982) and fastidious policies of confidentiality were

guaranteed. With the empirical and rational evidence taken together, the present effectiveness

ratings appear to be reasonably reliable and valid measures of a generalized reputational

effectiveness construct corresponding to an organizational-level outcome criterion in Campbell,

Dunnette, Lawler, and Weick’s (1970) taxonomy. Table 2 contains descriptive statistics and

summarizes the empirical construct validity evidence for these measures.

Procedure

One clear strength of the ACL is the shear wealth of information it produces. But at the

same time it is somewhat difficult to integrate results across the diversity of scales. To facilitate

interpretation of this wide array of trait data, the ACL scales were mapped into a taxonomy

rooted in the FFM. This approach was stimulated by a study by Piedmont, Costa, and McCrae

(1991). Piedmont et al. jointly factored the ACL scales with John’s (1989) adjectival markers of

the Big Five and also correlated the ACL scales with rotated factor scores computed from the

NEO-PI (Costa & McCrae, 1985) Five Factor domain scales. We subsequently replicated their

factor structure of the ACL scales (finding the familiar five factors) in an unpublished study

based on a sample of 240 executives, but because many of the ACL items appear on several

scales, factor analyses of the correlations among the ACL scales are somewhat ambiguous

(Piedmont et al., 1991). Thus, substantive interpretation and taxonomic classification of the ACL

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scales should be guided primarily by external correlates—in this case the Big Five NEO-PI

factor scores as reported by Piedmont et al. (1991).

The profile of correlations across the NEO-PI factor scores indicated that most of the ACL

scales are multidimensional, correlating substantially with more than one Big Five factor (see

Table 1). Because of this multidimensionality, it seemed that placing each scale in one and only

one of five taxa representing each of the Big Five (c.f., Barrick & Mount, 1991) would likely be

misleading and thus confound interpretation. Therefore, the ACL scales by NEO-PI factor scores

correlation matrix reported by Piedmont et al. (1991) was used in an iterative series of cluster

analyses (following Milligan, 1980) to organize the ACL scales in a FFM-based taxonomy. The

ACL scales Number Checked, Communality, and Counseling Readiness were not used in these

or any further analyses due to a lack of substantive meaning for the first two scales and different

item content for men and women on the Counseling Readiness scale (Piedmont et al., 1991).

Scrutiny of the profile of correlations between the ACL scales and the Big Five indicators

revealed that not all of the ACL scales are complexly multidimensional. Specifically, the

Femininity, Heterosexuality, and Welsh’s A-1 scales appear to reflect only aspects of

Agreeableness, Extraversion, and Conscientiousness, respectively. Thus, these scales were

removed from the ACL by Big Five correlation matrix and the remaining matrix including only

the 31 multidimensional ACL scales were then subjected to a hierarchical cluster analysis

employing Ward’s method and the squared Euclidean distance metric (Borgen & Barnett, 1987).

Inspection of the results suggested an eight cluster solution. To evaluate the adequacy of an eight

cluster taxonomy, a k-means clustering analysis with Ward’s procedure and the squared

Euclidean distance metric was conducted setting k = 8 (see Milligan, 1980 for a discussion of the

utility of this iterative sequence of hierarchical and k-means clustering in deriving empirical

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taxonomies). The results were nearly identical to the hierarchical analysis and easily interpreted.

Table 1 presents a classification scheme of the ACL scales which contains 11 categories (the 8

clusters plus the 3 unidimensional scales) of traits that are based on similar patterns of relation to

the Big Five. For example, Endurance, Order, Adult, Welsh’s A-4, and Military Leadership

together form one category because each scale measures a trait that is saturated mostly with

elements of Conscientiousness and Stability. See Table 1 for a FFM-based organizational

framework for interpretation of the ACL scales and descriptive statistics for this sample. It is

important to note that the scale scores have been normed against a sample of the general adult

population (see Gough & Heilbrun, 1983)—with a M of 50 and SD of 10.

Results

Because of the relatively small sample size, the rarity and richness of the data, and a

heightened concern about Type II errors (i.e., erroneously identifying a point estimate as “not

significantly different from zero” and potentially deterring fruitful avenues in future research),

confidence intervals were relaxed from the conventional level of 95% to 90% in all analyses

(c.f. Cascio & Zedeck, 1983). The zero-order correlations between the ACL scales and self,

superior, peer, and subordinate effectiveness ratings are presented in Table 3. These correlations

are not corrected for measurement error on either predictor or criterion sides, and may therefore

be considered conservative point estimates of the true relationships among these constructs.

ACL-Effectiveness Correlations

There are several noteworthy general characteristics of the ACL-effectiveness correlation

matrix. First, self-reports on the ACL appear to be more and differentially related to coworker

ratings than to self-ratings. Also, despite differences in perspective, there is a good deal of

similarity in the personality correlates across superior, peer, and subordinate ratings. Further,

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several of the scales are reasonably correlated with the various effectiveness ratings (53 of 136,

39%, are significant at p < .10). There is, moreover, coherence in the pattern of correlations—

coefficients within each FFM-based taxon are systematically more similar than disparate. To

further distill the order in this data, a series of regression models with stepwise entry criteria

were constructed allowing all of the ACL scales to compete as predictors of effectiveness ratings

from each source. A summary of those four models is presented in Table 4. Because of the

modest sample sizes, the regression analyses should be interpreted with judicious caution as the

maximization process in deriving regression weights is highly sensitive to sampling error (Cohen

& Cohen, 1983). The models were computed and presented here as heuristic devices rather than

as an attempt to construct a generalizable set of equations. All analyses are interpreted in turn

according to the source of effectiveness ratings.

Self-ratings. There were only two ACL scales significantly related to self-ratings of

effectiveness, Intraception and Femininity. According to the ACL authors, these scales measure

the characteristics of attempting to understand people and a helpful, sympathetic orientation to

others, respectively (Gough & Heilbrun, 1983). Common to both of these traits is the broad

Agreeableness (A)1 factor. Regressing self-ratings onto the significant ACL correlates in a

stepwise model yielded a multiple R2 of .07 (p < .10) with one significant predictor, Intraception

(β = .27). Thus, self-perceptions of executive effectiveness appear mostly related to manifest

agreeableness, especially the other-oriented understanding and sympathetic aspects.

Superior ratings. Several traits correlated with superiors’ effectiveness ratings. The positive

correlations with Autonomy, Aggression, and Critical Parent were the strongest and most

consistent. In FFM terms, these traits primarily reflect low A and low S, indicating that superiors

regard as more effective executives who described their selves as competitive and aggressive,

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independent, and critical, if not harsh, in making judgments—especially judgments of others.

The pure A trait, Femininity, was negatively related to superiors’ ratings. As well, the Personal

Adjustment, Nurturance, and Affiliation scales were all negatively related. This pattern indicates

that a behavioral tendency to invest deeply in relationships—to be caring, forgiving, helpful,

and concerned about others—is negatively associated with executive effectiveness in the eyes of

superiors. By contrast, more effective executives are seen as having an aggressive, critical, and

autonomous, perhaps even detached, interpersonal orientation.

The Abasement and Deference scales, both of which reflect a combination of low E and

high A, were moderately inversely related to superior ratings. The low Extraversion/high

Agreeableness syndrome represents a modest interpersonal disposition (Trapnell & Wiggins,

1990) and the correlations suggest that executives who are socially reserved, self-effacing, and

unassuming are regarded as less effective by superiors than are their more assertive and

expressive counterparts.

The positive correlations with the Unfavorable (number of unfavorable or negative

adjectives checked) and Welsh’s A-2 (inhibited and dependent) scales are surprising, as they

measure what appears to be a dissatisfied, self-defeating, and disengaged disposition (low S/low

C/low E). Nonetheless, superiors gave those higher on these scales higher effectiveness

evaluations. Also, the Favorable scale (number of favorable or positive adjectives checked) was

negatively related to superior ratings. The pattern indicates that executives who have higher

opinions of themselves are regarded as less effective by superiors than are their less self-satisfied

counterparts.

Stepwise regression analyses indicated the most parsimonious prediction of superiors’

perceptions of effectiveness was based on one scale, Critical Parent (β = .43, R2 = .19, p < .01).

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The overall trend suggests that the kinds of executives superiors deem effective are those who

are described as having a critical faculty or having a tendency to criticize and find faults, acting

with independence and aggression, and who do not seem highly satisfied or content (all low A

and low S). It is clear that this pattern links superior assessments of effectiveness to a tendency

to distance oneself from others interpersonally and a tough, critical demeanor, as the majority of

traits related to higher ratings included a common element of low agreeableness.

Peer ratings. The correlations with peer ratings were fascinating, if not somewhat puzzling

at first. The positive correlations with the traits related to low A/low S (Autonomy, Aggression,

& Critical Parent) and the negative relations with the traits reflecting low E/high A/low O

(Deference, Abasement, & Self-control) tend to mirror the results for superior ratings. The same

is generally true for the other-oriented high A/low S traits of Personal Adjustment, Nurturant

Parent, Nurturance, and Affiliation. Again, this pattern indicates that generous, interpersonally-

oriented, and self-satisfied executives—those who may be less comfortable making critical

business decisions that adversely affect coworkers—are considered less effective by their peers.

Four of the five high C/high S traits (a constellation characterized by diligence, persistence,

and dependability)—Endurance, Order, Adult, and Military Leadership—were negatively

related, and respectably so, with peer ratings of effectiveness. Further, the seemingly

maladaptive traits measured by the Adapted Child and Unfavorable scales (low S/low C/low E)

were positively related to effectiveness from the peer perspective. These correlations seemed

diametrically opposed to common sense.

The apparent paradox is actually the result of a distribution artifact, range restriction,

probably reflective of a corporate form of natural selection. Closer inspection of the distributions

of the conscientiousness/stability-saturated scales correlated with peer-rated effectiveness (e.g.,

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Endurance, Adult, Adapted Child) is telling. Compared to the general adult population,

executives are highly disciplined, persistent, resilient, and well adjusted. Hardly any of the

executives in this sample are below the normative mean; the few that are (on most scales, 4) tend

to be only slightly below the population average. So characteristics associated with the “less

favorable” end of these distributions should be framed relative to the national average. For

example, the low anchor for the Endurance and Adult scale distributions in this sample might be

described as “generally persistent, dependable, and consistent.” The high end of the Adapted

Child distribution might be interpreted as “about as dissatisfied and anxious as most people.”

Given the distributions of scale scores, negative correlations between effectiveness and

high C/high S scales suggest executives who are “average” compared to non-executives are

perceived by peers as more effective than executives who are extremely high on these traits.

Investigation of the scatter plots of these relationships (e.g., see Figure 1) corroborated this

interpretation. An intriguing trend here is that the characteristics colloquially thought of as active

ingredients in the success formula (perseverance, tenacity, ambition, and organization) are, at

extreme levels, related to peer perceptions of lower performance—similar to the theoretical

arguments advanced by Kaplan (1991a) and House and Aditya (1997) and discussed above.

The Unfavorable (β = .34), Endurance (β = -.48 ), Welsh’s A-1 (β = -.27), and Succorance

(β = -.24) scales proved to be the only significant predictors in the stepwise regression analysis

predicting peer ratings (R2 = .44, p < .001). Taken together, these results suggest peers see as

least effective those executives who appear extremely ambitious and detail-oriented (high C),

self-satisfied (high S), and concerned about the welfare of others (high A). By contrast,

executives who seem only moderately driven and dutiful (moderate C), less concerned about

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others (low A), and relatively more critical of themselves (moderate S) are regarded as more

effective by their peers.

Subordinate ratings. In many ways the subordinate correlations mirror those of superiors

and also parallel much of the pattern of peer correlations. Like the peer relationships, the low

S/low C traits (Adapted Child, Welsh’s A-2, & Unfavorable) are conspicuously related to higher

ratings. And again, these correlations are based on a range-restricted distribution, so similar

interpretations as those offered for peer rating relationships apply. That is, a moderate level of

traits related to anxiousness, fretfulness, and a negative self-concept is associated with higher

effectiveness while a low level of these traits is associated with lower effectiveness from the

subordinate view.

Similar to the superior and peer results, the traits primarily related to low A and somewhat

with low S (Autonomy, Aggression, & Critical Parent) were all consistently positively related to

subordinate ratings. It is noteworthy that these correlations were stronger in magnitude for

subordinate perceptions of effectiveness. Again, the traits indicative of a humble or modest

interpersonal style (Abasement, Deference, & Self Control) were negatively related to

effectiveness (low E/high A). All five of the distinctly other-oriented, agreeableness-saturated

traits (Personal Adjustment, Nurturant Parent, Nurturance, Affiliation, & Welsh’s A-3) were

consistently, and fairly strongly, negatively correlated with subordinate assessments of overall

effectiveness as were, although less strongly, the traits related to self-satisfaction and

understanding (Favorable & Intraception).

Unlike the correlations for peers and superiors, only subordinate ratings were related to

Dominance and Masculinity (high E/low A/high S). Similarly, Exhibition (high E/low A/high O)

was also positively related while Succorance (low S/low C/low E) was negatively related to

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subordinate perceptions of effectiveness. These correlations suggest that extraversion plays a

more pronounced role in subordinate perceptions of executive effectiveness than in either

superior or peer perceptions.

The Critical Parent (β = .48), Welsh’s A-1 (β = .27), and Welsh’s A-3 (β = -.26) scales

proved to be significant predictors in the stepwise regression analysis predicting subordinate

ratings (R2 = .39, p < .001). From a subordinate point of view, it seems that highly effective

executives are those who appear critical and tough (low A), relatively less satisfied and less at

ease (moderate S), and socially assertive and visible (high E). Caring and sympathetic executives

(high A) and those who described themselves as restrained and timid (low E) were perceived by

subordinates as less effective.

Discussion

The goal of this exploratory study was to determine how reputational personality as viewed

in terms of the FFM is related to perceptions of senior corporate executive effectiveness. The

present results offer a nod of confirmation to the idea that personality traits do play a role in

leadership outcomes at the top of organizations. Indeed, the regression results suggest that a

respectable amount of variance (c.f., Cohen, 1977) in coworker perceptions of effectiveness was

accounted for by the ACL scales. However, the results were somewhat inconsistent when

contrasted to personality correlates thought to be associated with leadership effectiveness based

on prior research with non-executive samples. The Hogan et al. (1994) review concluded that

effective leaders tend to be high on four of the Big Five dimensions, namely Extraversion,

Agreeableness, Conscientiousness, and Stability. The current study suggests that perceptions of

senior executive effectiveness are associated with a high standing on certain elements of

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Extraversion and a lower standing on other elements, low Agreeableness, moderate

Conscientiousness, and moderate Stability for certain aspects and higher Stability for others.

The broad-band Extraversion factor is composed of smaller components or facets. For

example, Costa and McCrae (1985; 1992) have identified the more specific facets of

assertiveness, gregariousness, activity, warmth, excitement seeking, and positive emotionality;

Hogan’s (Hogan & Hogan, 1995) Big Five model splits Extraversion into an energetic and

assertive component and a sociability component. The pattern of ACL correlations reported

above suggest that it is the assertiveness facet, and perhaps also to some extent the activity facet,

that is positively related to perceptions of effectiveness. The ACL scales with a sizable

Extraversion component that were most related to effectiveness ratings all seem to capture the

assertiveness aspect: Exhibition, Aggression, Dominance, (-) Deference, (-) Abasement, and (-)

Self-Control. The ACL scales that seemed to reflect the gregarious and warm interpersonal side

of Extraversion (e.g., Affiliation, Nurturance) and those that appeared to represent the positive

emotionality aspect (e.g., Favorable, [-] Unfavorable, Ideal Self) were all negatively related to

perceived effectiveness. Thus, the broad Extraversion factor may be at too abstract of a level to

be useful in understanding executive effectiveness. It appears that the assertive aspects are

positively related and the sociable facets are negatively related to effectiveness perceptions.

All of the ACL scales that contained a substantial Agreeableness component uniformly

indicated that low Agreeableness was associated with perceptions of higher effectiveness. To the

extent that the ACL taps into a representative sample of the Agreeableness domain, it appears

that this general factor is negatively associated with senior executive effectiveness. Interestingly,

work inspired by McClelland’s (1975) leadership motive pattern—a configuration of higher

power motivation and lower affiliation motivation (based on a model of personality from the

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actor’s perspective and operationalized with projective methods)—also suggests that high

Agreeableness (and the sociability aspects of Extraversion) is related to lower corporate

executive and U.S. presidential success (e.g., McClelland & Boyatzis, 1982; Spangler & House,

1991). McClelland and Boyatzis (1982; p. 737) claimed that a lower need for affiliation is

“important because it enables the manger to make difficult decisions without worrying unduly

about being liked.” Certain implications for the strong inverse relationship between

Agreeableness and executive effectiveness are considered at length below.

Despite the consistent negative correlations between the ACL scales saturated with high

Conscientiousness and peer ratings of effectiveness, a very misguided conclusion would be that

low Conscientiousness is related to higher effectiveness. It is important to bear in mind the level

and distribution of scores on these ACL scales when interpreting the correlation coefficients.

When one visually inspects the scatter plots with an eye on the normed T-scores for these traits,

it appears that there is a latent curvilinear relationship between Conscientiousness and

effectiveness (e.g., see figure 1). The few individual executives in this sample who scored below

the adult normative mean of 50 on the scales heavily weighted with Conscientiousness received

lower peer ratings than those who were in the 50-60 range who were in turn rated higher than the

many executives who scored more than 1 SD higher than the normative mean.

If persons very low on Conscientiousness aspired to and were selected into senior leadership

roles (a truly rare scenario), then the curvilinear relationship between effectiveness and

Conscientiousness would probably be more apparent. This is supported by post-hoc analyses

conducted with the present data on a tentative and exploratory basis due to the resulting small

sample sizes. T-scores on the ACL Endurance, Order, Adult, Welsh’s A-4, and Military

Leadership were spilt at 50 (the normative mean) and correlations with peer ratings were

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contrasted for the opposing groups. Consistently, there was a positive correlation for the groups

scoring below the mean and a negative correlation for those above the mean. Thus, it appears

that a moderate degree of Conscientiousness is necessary for effective executive leadership, but

more is not necessarily better.

The role of Stability in effectiveness perceptions appears to be relatively complex, like that

for Extraversion. Many of the Stability-related ACL trait correlations indicated that higher

Stability was related to lower effectiveness. Yet a few of the ACL correlations also suggested

that, for some aspects of Stability, there is a positive relationship. The ACL scales mostly

composed of the Stability facets related to hostility, irritability, and negativity (e.g., Aggression,

Critical Parent) were related to higher effectiveness. Similarly, the ACL scales that seemed to tap

the non-depressive and non-self-conscious aspects of Stability (e.g., Ideal Self, Personal

Adjustment, Favorable, Unfavorable) were related to lower coworker ratings. The scales that

appear to capture the impulse control facet of Stability (e.g., Endurance, Order, Adult) were,

however, negatively related to effectiveness. The scales that get at the depressive, self-conscious,

and impulsive facets of Stability each evidenced range-restriction. So it is best stated that a

moderate level of these traits is related to higher effectiveness. In contrast, the irritable and

negativity facets of Stability seem to be positively related to executive effectiveness.

Implications

Before drawing further implications from this study, it is instructive to consider seriously

what the effectiveness ratings measure. Psychometrically, they are rather reliable measures, but

of what? Based on a content analysis of the open-ended explanations for each rating and research

on implicit leadership theory (e.g., Lord, Foti, & DeVader, 1984), it is suggested that these

measures reflect an evaluation in terms of generalized and pervasive cognitive prototypes of

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what it takes to meet corporate responsibilities at the senior level. These prototypes—created and

used by executives themselves—appear to be multidimensional, but primarily weighted by

tangible outcomes. Consider the following example of one coworker’s response: “In terms of

results he is a 9.5. He consistently delivers. But he falls short in his treatment of people—there

he is a 4. Overall, I give him an 8.” This theme of factoring in bottom-line results more than

coworker consideration was, albeit sometimes subtle, typical of most responses across the three

rating perspectives.

Given this substantive interpretation of the effectiveness ratings and the theoretical

discussion about personality conceptions in the introduction, the position taken here is that this

study is informative about the relationship between the ways executives view their personal

reputation and how well they are thought to stack up to implicit standards for executive

effectiveness. Below, implications are drawn from this study for the understanding of senior

corporate leadership effectiveness and the practice of leadership development.

Understanding Senior Corporate Leadership. The positive relationships between the traits

related to the assertive aspect of Extraversion and perceived executive effectiveness ratings are

consistent with the idea that executives need to aggressively pursue goals, be active and

engaged, and confidently articulate their ideas and beliefs. The negative association between

effectiveness and the gregarious and interpersonal warmth aspects of Extraversion suggest the

importance of maintaining a certain social distance from colleagues (see also Gabarro, 1987;

McClelland, 1975; McClelland & Boyatzis, 1982). This point will be returned to when

Agreeableness is discussed.

The ACL traits related to Stability evidenced a complex pattern of correlations with the

effectiveness ratings. The effectiveness correlations with the ACL scales that appeared to tap the

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more specific facets of irritability, impulsivity, and pessimism suggest that effectiveness is

related to a kind of unpredictable and negative disposition. Another facet of low Stability,

vulnerability (as found in the ACL scales Succorance, low Dominance, and low Masculinity),

appeared to be negatively associated with rated effectiveness. It seems that Stability plays a role

in executive effectiveness in that effective senior leaders must be able to persevere in the face

adversity and cope with the emotional toll of stress (low vulnerability). However, the present

results do not suggest that generally calm and collected, self-satisfied executives are more

effective. Rather, higher ratings were given to those who are more easily angered, somewhat

impulsive, and moderately as opposed to highly self-accepting.

It was surprising that peer ratings were negatively related to traits associated with

Conscientiousness—scales which executives tend to score quite high on. Notice also, that peers

tended to be the most severe rater group, providing the lowest average ratings (see Table 2).

These findings might be interpreted as reflecting a jealousy bias. Leaders with these traits (e.g.,

Endurance, Order, Adult) are likely to set high standards of performance. Given the competitive

nature of the executive suite—where the rewards are high for those who can set themselves

apart—peers may implicitly resent colleagues who set the bar high. However, this seems

unlikely. Although they are “non-significant,” the same correlations for superior and subordinate

ratings are all also in the negative direction. It seems more likely that peers are in a unique

position to observe the negative consequences of extreme Conscientiousness.

Extremely Conscientious people are often too fastidious and painstakingly thorough—even

compulsive—in dealing with projects and tasks (Costa & McCrae, 1992 p. 16; see also, Tett,

1998). Perhaps extremely driven, thorough, and ambitious executives undermine their

performance by taking on too many responsibilities, investing more time and energy in tasks

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than is necessary, and getting over-involved personally in their unit’s work and problems. This is

consistent with Kaplan’s (1991a) discussion of “expansiveness” and how this character motive

can have a negative impact on performance. It is not clear why the negative relationship between

Conscientiousness-saturated traits and effectiveness was so pronounced only for peer ratings.

Perhaps the less formal relationships among peers (Murphy & Cleveland, 1995) facilitates the

exchange of information that signals the negative consequences of extreme Conscientiousness.

At any rate, it seems that the relationship between Conscientiousness and executive effectiveness

is curvilinear: too little and one would hardly be organized, thorough, and planful enough to

handle such a complex job; too much and one may be too conservative and self-defeating in

overly ambitious, thorough, and doggedly persistent efforts.

Clearly, the most pervasive Big Five correlate of perceived senior executive effectiveness

was low Agreeableness. The strong and consistent negative relationships between low

Agreeableness ACL scales and effectiveness ratings from all three coworker sources were

surprising. For example, Hogan et al. (1994) persuasively claimed that Agreeableness is a critical

factor required in building a team, fostering trust, and maintaining cooperative relationships.

Perhaps this is so, but there may also be a double-edged quality to this sword.

Leading large corporate institutions in the “constant white waters” of the global

marketplace is an incredibly challenging task. In addition to working with and through other

executives, those at the strategic apex are responsible for making large-scale decisions that affect

the viability of the entire organization. As the recent trends in restructuring and downsizing

attest, many of these decisions have an adverse affect on people. Making difficult decisions such

as these which pit the interests of individuals against the viability and economic interests of an

organization is hardly an easy task, especially for those who have deep concern for the welfare

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of affected individuals (McClelland & Boyzatis, 1982; Gabarro, 1987). In this vein, a recent

Fortune article boldly claimed that “the fortitude to accept and even seek psychic pain” through

“a willingness, even an eagerness, to make painful decisions” is indicative of a golden trait—the

“most valuable quality in a manager”—in the executive suite (Colvin, 1997, p. 279).

To the extent that a distant and distinctly non-intimate interpersonal orientation facilitates

making tough decisions that are in the organization’s interests, senior executives with this

“golden trait” are likely to be effective in meeting tough business demands. This kind of success

may compensate for a lack of strong interpersonal ties in energizing the workforce. For example,

Sayles (1993) has suggested that “motivation can be the result of effectiveness, perhaps more so

than its cause” (p. 234). He argued that coworkers identify with leaders who take the initiative

and do what needs to be done to meet objectives, despite how unpopular it may be. In the final

analysis, this position suggests, people want to be on a winning team and this value takes a

higher priority than being on a warm, caring, and cooperative team, particularly in a competitive

individualistic culture such as the U.S. Perhaps this is one reason why conflict management,

group process, perspective taking, and the like continue to be popular topics in management

training programs.

At any rate, it appears that the broad factor of Agreeableness can be both virtue and vice in

executive leadership. On the one hand, low Agreeableness is predictive of higher ratings of

senior executive effectiveness; on the other hand, interpersonal problems continue to be a

prevalent derailment factor and an impetus for developmental activities (e.g., Hogan, 1994;

Leslie & Van Velsor, 1996). Moreover, as the practice and study of leadership evolves from

powerful and influential individual models to group-based relational models—to those that view

leadership as a process embedded within networks of relationships rather than as a process of

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individual influence (e.g., Rost, 1991; Drath & Palus, 1993)—the role of Agreeableness may

become even more important as well as controversial.

Leadership Development. A not unfair criticism of static reputational personality trait

models like the FFM is that they appear to have little to say about individual development (e.g.,

Epstein, 1994b; Loevinger, 1994; Pervin, 1994). In fact, two of the FFM’s biggest proponents,

Costa and McCrae (1988; McCrae & Costa, 1990), emphasize the stability of personality traits

across the life span. Although they find six-year stability coefficients of .6 to .7 for the Big Five

in older adults (Costa & McCrae, 1988), these figures still suggest some room for change over

time. Yet, the FFM is not clear on developmental prospects.

A recent study by Digman (1997), however, does offer a way to orient the FFM in

developmental theory. Digman essentially asked “Where are the concepts from the dynamic

theories of Freud, Rogers, Maslow, etc. in the FFM?” and reasoned that these highly abstract

constructs may lie at a higher structural level than the Big Five. And in his higher-order analysis

of several data sets, he found two very gross factors above the Big Five. The first, preliminarily

labeled α, was made up of Agreeableness, Conscientiousness, and Stability and the second, β,

reflected Extraversion and Openness (and some elements of Conscientiousness, such as

achievement striving). Digman’s conceptual analysis suggested that these factors, respectively,

bear striking similarity to such dialectic concepts as socialization and personal growth, Freudian

control and impulse, and intimacy and power (McAdams, 1985) or acceptance and status

(Hogan, 1987). It was also suggested that α and β could be understood as trait analogs to the two

fundamental dimensions of human experience detailed by Bakan (1966): α as reflecting

communion—or an urge toward integration with others—and β as agency—the urge for self-

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differentiation and the desire for personal mastery over the environment. Viewed this way, the

FFM seems to have something to say about development.

In a cogent conceptual analysis of why many managers have trouble internalizing and

embracing empowerment and other forms of participative leadership, Drath (1990) applied

Kegan’s (1982) constructive-developmental model of lifelong development. This model of

personality from the actor’s perspective views development as an evolutionary process where the

way in which people make meaning out of experience gradually unfolds in a successively

inclusive series of stages. The evolution of personal meaning-making is propelled by a subtle

shifting emphasis between an orientation to the self (agency) and an orientation to others

(communion). Drath argued that organizations highly value the behaviors associated with a stage

of development which favors an agentic, self-focused orientation and thus many managers are

reinforced to remain in an arrested stage of personal development.

The present quantitative results are consistent with Drath’s (1990) conceptual analysis.

Specifically, the traits associated with an other-orientation were unilaterally inversely related to

perceptions of effectiveness from all three sources of coworker ratings. Interestingly, the only

two significant predictors of self-ratings were traits that reflect an orientation to others, and, the

Intraception scale, which was most strongly related to self-ratings, is made up elements of the

three FFM dimensions that form Digman’s (1997) higher-order communion factor (A, C, & S).

That the executives in this sample who had more of an other-orientation believed that they

were more effective raises the intriguing possibility that some of them were in fact at a higher

stage of development in Kegan’s (1982; 1994) model and that their other-oriented enabling

behaviors seemed to them effective on multiple fronts. This is purely speculative and the present

data can neither negate nor confirm it, but it is one possibility. The flip side is that coworkers’

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ratings were at odds with this. In other words, the personality correlates of coworkers’

perceptions of senior executive effectiveness are consistent with the suggestion that

organizations do deter individuals from developing a communal way of making meaning and

behaving as all of the traits conceptually aligned with this orientation were negatively related to

effectiveness ratings. And, as noted above, this does have certain practical advantages (Gabarro,

1987; McClelland, 1975). Another purely speculative, yet provocative, implication is that one

cost of recognized success in senior corporate leadership roles is to prolong—maybe even

forego—higher levels of personal development as several theoretical models of human growth

emphasize the simultaneous capacities for autonomous independence and for forming deep,

intimate, and mutually satisfying relationships as a hallmark of advanced development (Block,

1971; Heath, 1965; Kegan, 1982; 1994; Levinson & Levinson, 1996; Loevinger, 1976; Vaillant,

1993). Further, the quality of interpersonal relationships has been found to be the greatest source

of life satisfaction in late adulthood among gifted men (Sears, 1977).

Those involved in the enterprise of executive development are probably keenly aware of

complex forces that run counter to developmental efforts. Perhaps the largest of these forces are

subtle organizational contextual beliefs and values about effective corporate leadership that

inhibit the development of intimate interpersonal relationships and a sensitivity to others. This

suggests that executive development efforts—particularly those that are intensively character-

based (e.g., Kaplan, 1991b; 1998)—need to recognize the context in which the work takes place,

and possibly even simultaneously work with changes in that culture, in order to increase the odds

that their efforts will have a sustained and positive transformative impact on their clients’

development as managers and human beings. This is an area that has received little attention in

the research community and further exploration of conflicts between organizational contextual

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demands and individual executive personal development and potential methods of resolution

between the two is encouraged.

Study Limitations and Future Directions

It is important to recognize the limitations of this study. Most notably, the sample size is

rather small and the observed correlation coefficients are likely influenced by capitalization on

chance due to sampling errors. However, concerns over the reliability of correlations in instances

where most scales in the same taxon were correlated at a similar magnitude (e.g., Autonomy,

Aggression, Critical Parent) can be tempered somewhat. It is unlikely that these correlations

were spuriously of the same generally high level. Nonetheless, it is necessary to replicate this

exploratory study—with a larger sample and/or alternative personality measures—before the

results can be taken too heavily.

Another important limitation is the use of a global, undifferentiated criterion measure

(Campbell et al., 1970; James, 1973). The problem is that these data only tell us what

reputational personality traits are related to global perceptions of senior executive effectiveness.

A critical question, impossible to directly answer with the present quantitative results, is “How

are these personality constructs related to explicit leadership styles and behaviors that are in turn

linked to outcomes?” Although we may have intuitive notions of this causal chain of

relationships, the validity of these speculations remains an open empirical question.

Additionally, perceived effectiveness is only one of many important executive leadership

outcomes. Although coworker judgments of effectiveness have been suggested as one critical

criterion in judging leadership quality (Hogan et al., 1994), there are additional criteria which

organizations also value. Thus, the link between executive personality and such valued outcomes

as bottom-line financial figures, long-term organizational performance and viability, the creation

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and impact of organizational strategy, and employee satisfaction, morale, and turnover intent

also deserves attention. It is quite possible that personality variables relate differently across

these diverse criteria, as well as differently than they do to perceived effectiveness. A better

understanding of how personality relates to various valued outcomes will undoubtedly better

illustrate the effects of leader personality. It can also potentially inform the practice of executive

selection, which has failed to take full advantage of recent developments in the field of

personality assessment (DeVries, 1993; Hogan et al., 1994).

This study attempted to use the FFM to interpret the pattern of correlations across a diverse

set of traits. However, there were complex and different relationships for traits related to the

various facets of Extraversion and Stability and interpretations of these correlations—based on

content analyses of the items comprising the ACL scales and external correlates—should be

considered tentative. Future research using instruments specifically designed to operationalize

the Big Five and their constituent facets would be helpful in disentangling these complex

relationships. Future research would also do well to assess the extent to which there are non-

linear relationships between personality variables and criteria, especially when the variables are

related to Conscientiousness.

Another limitation is bound with the methodology. This study design reflects typical

approaches to personality research where a series of scales are independently correlated with a

criterion. This practice tends to loose the person in personality research (Pervin, 1994).

Exploring isolated trait correlations in implicitly additive models tells us little about personality

systems, which are an interactive gestalt system of personality variables. Future research that

explores leadership outcomes and personality systems at an integrated and holistic level, e.g., by

identifying clusters of personality prototypes through inverse factor analysis of persons across

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personality variables (e.g., York & John, 1992) or by clustering large samples of leaders

according to their profiles of scores across the Big Five, may be revealing and very informative

for understanding the leadership implications of personality configurations as well as helpful in

the essentially idiographic practices of executive development and selection.

These results, limited as they are, are significant if for no other reason than because they

are based on an exclusive and extremely rare sample. No other comparable quantitative studies

were found in the recent definitive reviews of the scholarly leadership literature (e.g., Bass,

1990; Hogan et al., 1994; House & Aditya, 1997; Yukl & Van Fleet, 1991). This research

represents a step in quantitatively triangulating grounded theory, such as those offered by Drath

(1990) and Kaplan (1991a), about senior leadership effectiveness and personality.

Conclusion

This study supports the idea that the Big Five reputational personality factors are related to

leadership effectiveness in senior corporate executive roles. However, the positive linear

relations between effectiveness and Extraversion, Agreeableness, Conscientiousness, and

Stability and effectiveness were not found. Rather, it appeared that only the assertive facet of

Extraversion was positively related to executive effectiveness while the sociable facet was

negatively related. Stability also showed a somewhat complex and differentiated set of

relationships with effectiveness—a moderate level of self-acceptance seemed to be optimally

related to effectiveness while vulnerability seemed to be negatively related. Agreeableness was

entirely inversely related to effectiveness while Conscientiousness seemed to be curvilinearly

related with the most effective executives standing slightly above the adult normative mean.

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Footnotes

1 For the remainder of the results section, the Big Five interpretation of results are denoted

as E for Extraversion, A for Agreeableness, C for Conscientiousness, S for Stability, and O for

Openness to Experience.

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Table 1.

Adjective Checklist Scales, Definitions, and Descriptive Statistics

ACL Scales Scale Definition M SDConscientiousness & Stability

7 Endurance To persist in any task undertaken 56.44 6.608 Order To place special emphasis on neatness, organization, and planning 56.47 7.70

31 Adult Independence, reliability, thoroughness, and ambition 57.05 7.2337 A-4 (-O,+I) Discipline, ambition, goal-directed, and clear-thinking 57.88 7.2926 Military Leadership Steadiness, dutifulness, self-discipline, and dependability 57.34 6.63

Stability, Conscientiousness, Agreeableness, & Extraversion24 Ideal Self Sense of personal worth and effectiveness 57.39 8.69

2 # Favorable Number of favorable adjectives checked 55.93 7.579 Intraception To attempt to understand the behavior of oneself and others 54.75 8.55

28 Femininity Helpfulness, sympathy, and affection (A) 48.46 8.30Stability, Agreeableness, Extraversion, & Conscientiousness

23 Personal Adjustment Ability to cope with interpersonal demands and a feeling of efficacy 55.02 8.4030 Nurturant Parent Supportive, calm, and accepting 54.46 7.8610 Nurturance To provide material or emotional benefits to others 50.90 8.9011 Affiliation To seek and maintain numerous personal friendships 52.55 8.9136 A-3 (-O,-I) Contentment, agreeableness, and optimism 47.91 8.87

Agreeableness, (low) Extraversion, & (low) Openness18 Abasement To express feelings of inferiority through self-criticism or withdrawal 41.72 8.3519 Deference To seek and maintain subordinate roles in relationships with others 45.19 9.9821 Self-Control To hold oneself back in social interactions 44.71 10.1012 Heterosexuality To approach others with vigor, warmth, and a sense of humor (E) 50.44 9.84

Extraversion, (low) Agreeableness, & Conscientiousness22 Self-Confidence Self-confidence, poise, and self-assurance 58.94 8.12

5 Achievement To strive to be outstanding in pursuits of socially recognized value 60.70 7.176 Dominance To seek to be influential and have control in social affairs 60.03 7.71

27 Masculinity Assertiveness, independence, and tough-mindedness 57.36 8.20(low) Agreeableness, Openness, & (low) Stability

14 Autonomy To act independently of others or of social values and expectations 51.73 10.0215 Aggression To behave competitively with little regard for social graces 55.02 10.2429 Critical Parent Judgmental, severe, and harsh; tough in evaluating others 55.62 11.46

Extraversion & Openness32 Free Child Playfulness, spontaneity, and self-centeredness 54.91 10.4825 Creative Personality The desire to do and think differently from the norm; originality 53.59 9.2713 Exhibition To behave in such a way as to elicit the immediate attention of others 50.94 9.5916 Change To seek novelty of experience and to avoid routine 48.17 10.1234 A-1 (+O,-I) Informality, vitality, and playfulness (low C) 47.06 9.31

(low) Stability, (low) Conscientiousness, & (low) Extraversion17 Succorance To solicit sympathy, affection, or emotional support from others 43.36 7.4233 Adapted Child Inhibited, self-defeating, submissive, and dependence on others 40.41 7.7535 A-2 (+O,+I) Dissastisfied, detached, temperamental, rebellious 44.74 8.59

3 # Unfavorable Number of unfavorable adjectives checked 43.86 7.24

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Table 2 Descriptive Statistics and Validity Evidence for Effectiveness Ratings

Rating Source N M SD Min Max Self Sups. Peers Subs. Self 42 7.71 1.03 5.50 10.00 -- Superiors 40 7.91 1.27 5.00 10.00 .47** (.56)

Peers 41 7.47 .98 4.90 9.13 .27 .58** (.52)

Subordinates 45 8.03 .68 6.50 9.50 .28 .56** .51** (.59) Mrwg .88 .74 .83

Note. Coefficients along the diagonal are intraclass correlation coefficients. Mrwg is the mean rwg

computed for each target executive within coworker rating sources.

** p < .01.

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Table 3 Correlations between Adjective Check List Scales and Effectiveness Ratings by Rating Source Correlations with Big Fivea Effectiveness Rating Source

E A C N O ACL Scale Self Superior Peer Subordinate

.12 -.02 .53 -.33 -.10 Endurance .12 -.03 -.46** -.15

.06 .01 .51 -.31 -.16 Order .17 -.07 -.37* -.13

.07 .12 .46 -.49 -.06 Adult .09 -.13 -.42** -.17

-.01 .04 .42 -.36 -.08 Welsh's A-4 .21 .01 -.25 .04

.19 .06 .44 -.35 -.03 Military Leadership .15 -.13 -.31* -.21

.29 .07 .26 -.46 .11 Ideal Self .15 -.13 -.33** -.13

.31 .21 .30 -.44 .04 Favorable .12 -.28↑ -.31** -.28↑

.08 .30 .33 -.34 .06 Intraception .27↑ -.23 -.34** -.29↑

.16 .32 .04 .03 -.03 Femininity .26↑ -.31↑ -.10 -.14

.27 .29 .29 -.40 -.06 Personal Adjustment .13 -.29↑ -.36* -.36**

.22 .28 .35 -.47 -.15 Nurturant Parent .18 -.23 -.33* -.41**

.19 .46 .18 -.29 -.12 Nurturance .07 -.32* -.31* -.41**

.30 .33 .19 -.48 -.12 Affiliation -.05 -.33* -.29↑ -.37**

.19 .37 .07 -.30 -.18 Welsh's A-3 -.05 -.16 -.11 -.46**

-.37 .39 -.11 .32 -.10 Abasement -.01 -.35* -.23 -.45**

-.21 .48 .10 -.08 -.24 Deference .01 -.42** -.27↑ -.40**

-.37 .34 .16 -.12 -.28 Self-control .02 -.24 -.26↑ -.32*

.50 .06 -.10 -.09 .03 Heterosexuality .03 -.16 .03 -.07

.51 -.12 .24 -.31 .10 Self-confidence .12 .05 .00 .11

.38 -.23 .44 -.24 .06 Achievement .02 .06 -.20 .08

.51 -.33 .22 -.24 .10 Dominance .06 .25 .09 .24↑

.32 -.44 .13 -.24 -.01 Masculinity .01 .19 .08 .26↑

(table continues)

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Correlations with Big Fivea Effectiveness Rating Source

E A C N O ACL Scale Self Superior Peer Subordinate

.15 -.54 -.12 .09 .18 Autonomy -.03 .40** .34* .45**

.28 -.49 -.08 .23 .22 Aggression -.03 .39** .39** .44**

.06 -.55 .03 .27 .15 Critical Parent .12 .43** .29↑ .52**

.49 -.12 -.05 -.16 .28 Free Child .01 .06 .04 .13

.26 -.07 .04 -.19 .42 Creative Personality .14 -.07 -.08 .18

.44 -.28 -.14 .02 .21 Exhibition .03 .18 .26 .32*

.34 -.12 -.24 .10 .34 Change -.02 -.02 .08 .05

.17 -.12 -.35 -.04 .02 Welsh's A-1 .14 -.06 -.07 .08

-.21 .11 -.29 .50 .03 Succorance -.17 -.24 -.12 -.26↑

-.24 -.04 -.37 .56 .10 Adapted Child -.10 .03 .39** .30*

-.21 -.19 -.29 .27 .30 Welsh's A-2 .21 .38* .11 .35*

-.20 -.29 -.33 .41 .05 Unfavorable -.17 .35* .49** .44**

N 42 40 41 45

Note. E = extraversion, A = agreeableness, C = conscientiousness, N = neuroticism (low

stability), and O = openness to experience. a Correlations reported in Piedmont et al. (1991). ↑ p < .10. * p < .05. ** p < .01.

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Table 4

Summary of Stepwise Regression Analysis Results Predicting Self, Superior, Peer, and

Subordinate Effectiveness Ratings from the Adjective Check List Scales

Significant ACL Scale Big Five Correlationsa

ACL predictors E A C N O B SE B β Model R2

Self-Ratings

Intraception .08 .30 .33 -.34 .06 .04 .02 .27↑

Final model F (1,40) = 3.17↑ .07

Superior Ratings

Critical Parent .06 -.55 .03 .27 .15 .05 .02 .43**

Final model F (1,38) = 8.63** .19

Peer Ratings

Unfavorable -.20 -.29 -.33 .41 .05 .56 .02 .34*

Endurance .12 -.02 .53 -.33 -.10 -.07 .02 -.48**

Welsh’s A-1 .17 -.12 -.35 -.04 .02 -.04 .02 -.27↑

Succorance -.21 .11 -.29 .50 .03 -.03 .02 -.24↑

Final model F (4,36) = 6.99*** .44

(table continues)

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Significant ACL Scale Big Five Correlationsa

ACL predictors E A C N O B SE B β Model R2

Subordinate Ratings

Critical Parent .06 -.55 .03 .27 .15 .03 .01 .48**

Welsh’s A-1 .17 -.12 -.35 -.04 .02 .03 .01 .27*

Welsh’s A-3 .19 .37 .07 -.30 -.18 -.02 .01 -.26↑

Final model F (3,41) = 8.69*** .39

Note. E = extraversion, A = agreeableness, C = conscientiousness, N = neuroticism (low

stability), and O = openness to experience.

a Correlations reported in Piedmont et al. (1991).

↑ p < .10. * p < .05. ** p < .01. *** p < .001.

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Figure Caption

Figure 1. Executives’ Adjective Check List Adult scale T-scores plotted against averaged peer

ratings of effectiveness to demonstrate curvinlinearity and the importance of level in interpreting

the correlations with conscientiousness saturated scales.

ACL Adult Scale T-score

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