UNIVERSITY OF THE WESTERN CAPE
FACULTY OF ECONOMIC AND FINANCIAL MANAGEMENT
DEPARTMENT OF INDUSTRIAL PSYCHOLOGY
CALL FOR PAPERS
Title: An Integrated Model of the Role of Authentic Leadership, Psychological
Capital and Psychological Climate on Employee Work Engagement –
A Comparative Analysis of Two National Research Institutions
Tolulope V. Balogun
Doctoral Thesis, 3380347
April 2015
This paper is submitted to the Economic Management Sciences in response to
the Call for Papers which will be presented during the EMS Teaching-Learning &
Research Collaboration week. This topic is focused on Management, Industrial
Psychology, Information System and Entrepreneurship.
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ABSTRACT
Work engagement is a psychological attribute that has been linked with performance outcomes and individual wellbeing whilst the lack of it may have grave consequences, one of which is employee turnover. Employee turnover which
could be propelled by an intention to quit has been associated with the lack of organizational stability, disengagement,
lack of productivity, costs of unwarranted recruitment, stress and the likes. Organizations as well as the society is in dire
need of authentic leaders and authentic leadership – a leadership style which is characterized by personal ethical
convictions, honesty, sincere rapport and openness with followers that promotes shared beliefs and fosters values that
initiates more commitment towards organizational goals.
Consequently, this paper which is an abridged version of my doctoral study seeks to examine, develop and test a model
of the relationship and influence of authentic leadership, psychological capital and psychological climate on individuals
at the workplace and how these constructs sequentially facilitates employees work engagement and perhaps employee
intention to quit. The study will employ a mixed methodological approach using (i) systematic reviews and (ii) a
quantitative methodology with a cross-sectional research design. The data will be collected using (i) electronic databases
and journals for the systematic literature reviews as well as (ii) a self-report questionnaire that will consist of four
sections: Demographical Information, Authentic Leadership Questionnaire (ALQ) using the model of Walumbwa, Avolio,
Gardner, Wernsing and Peterson, (2008), Psychological Capital using the Psychological Capital Questionnaire (PCQ) by
Luthans, Avolio and Avey, (2007), whilst the Psychological Climate Measure developed by Brown and Leigh, (1996) and
the Utrecht Work Engagement Scale (UWES) by Schaufeli and Bakker (2003) will be used to measure psychological
climate and work engagement respectively. It is envisaged that the study will be a comparative study which will be
carried out in two multinational research institutions. Fifteen hypotheses are proposed to be tested. The data will be
analyzed using the Statistical Package for Social Sciences (SPSS), as well as the Structural Equations Modeling.
Participation in the study will be voluntary and confidentiality will be maintained throughout the study.
KEY CONCEPTS
Positive Organizational Behaviour (POB), Authentic Leadership, Psychological Capital (PsyCap), Psychological Climate,
Work Engagement/Employee Engagement, Structural equation Modeling, Intention to quit, Systematic review
INTRODUCTION AND BACKGROUND TO THE STUDY
Leadership in the recent past have provoked an element of apprehension and uneasiness for many whilst for others, a
source of interest and debate. We live in an era where people are desirous and keen to learn about and relate with a
leader that would enhance their way of life and provide a definite perspective for them to imitate. Walumbwa,
Peterson, Avolio, and Hartnell (2010) noted that an intensified research attention has been placed on positive forms of
leadership in the past decade. Outstanding in this 21st century is the effect that leadership constructs have made in
management circles, in organizational levels and even the society at large. This century has revealed several kinds of
leaders and more so leadership styles. As Avolio et al. (2004, p. 802) noted, “the unique stressors facing organizations
throughout society today call for a new leadership approach aimed at restoring basic confidence, hope, optimism,
resiliency, and meaningfulness”. Hence, it becomes imperative to seek to understand what this particular leadership
construct has to offer this century.
Authentic leadership is a leadership approach that employs truthful, honest and open relationships with followers or
subordinates as a means to improving individual and organizational performance. Avolio et al., (2004) conceded
according to George that the impact that authentic leaders make on their followers far exceeds “bottom-line success”.
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Authentic leaders know what they stand for, what their value systems are and they candidly and effectively
communicate these moral values to their followers.
Furthermore, at the turn of the century, a campaign towards the study of how individuals in organizations could be
developed to respond effectively to the negative aspects of life in organizations and life in general materialized. Instead
of the excessive focus on negative experiences of employees in organizations such as, conflict, role overload, stress, and
burnout, attention was shifted to constructs like confidence, optimism, hope, resilience, trust, and work engagement
(Luthans, 2002a, 2002b). Positive Organizational Behavior (POB) was therefore introduced. POB is focused on people’s
strengths and their psychological capital (PsyCap) and how these strengths could be developed and sustained. Luthans,
(2002a, pg. 59) defined POB as ‘‘the study and application of positively oriented human resource strengths and
psychological capacities that can be measured, developed, and effectively managed for performance improvement in
today’s workplace’’.
It is also essential that the psychological atmosphere – (both negative and positive) of the workplace be explored so as
to understand and identify its effect on employees and to introduce measures that could assist in producing higher
levels of job performance. Schneider and Snyder as cited by Biswas, S. (2012), propose that employees explain their
organizational environment on how it is perceived by such individual, therefore, “such perceptions of the work
environment by an individual on a day-to-day basis is known as psychological climate”.
It is vital that a set of engaged employees be produced and sustained at a workplace as this would most likely result in
increased productivity for both the employees and the organization (Bakker, Schaufeli, Leiter & Taris, 2008). Previous
studies have implied that engaged employees are more dedicated, produce greater outcomes, and improve customer
fidelity than their less engaged colleagues (Bakker et al., 2008, Hallberg & Schaufeli, 2006, Schaufeli, Bakker & Salanova,
2006). An assessment employee engagement research conducted by Aon Hewitt discovered that organizational
performance figures indicated that companies that effectively managed and sustained an increased level of employee
engagement during the economic recession are now experiencing a dramatic and encouraging effect on their revenue
growth (Hewitt, A. 2013). Work engagement is an essential, incessant, determined and influential state of mind of
employees that must be sustained if they are to be highly productive (Schaufeli et al., 2006). Maslach, Schaufeli, & Leiter
suggests as cited by Schaufeli et al., 2006 that this state of engagement is directly opposed to conflict, stress and
burnout and these negative states may subsequently result in absenteeism, lower productivity, health related problems
or an intention to quit.
Employee engagement and its related advantages have been seen to be of paramount significance to organizations and
leadership strata all around the world. Reported findings from Global work engagement levels rose slightly from 58% to
60% and then to 61% from 2011, 2012 and 2013 respectively (Hewitt, 2013, 2014). However, Gallup, Inc., an American
research-based, global performance management consulting company, asserted according to its new 142- country study
on the “State of the Global Workplace”, that only 13% of employees worldwide were engaged at work. This percentage
would translate to only about one in eight workers which is roughly 180 million employees in the countries studied. This
meant that only these numbers of workers were psychologically committed to their jobs and would likely make a
positive contribution to their organization. In essence, the bulk of employees worldwide - 63% are not engaged and they
lack the needed drive towards the accomplishment of organizational goals or outcomes. Gallup Inc. emphasized that
about 24% employees are actively disengaged as this indicates their unhappy and unproductive state at work and they
may probably spread negative attitudes to coworkers.
Engagement levels among employees vary across different global regions and among countries. In 2013, Gallup Inc.
found out that Northern America had the highest proportion of engaged workers, at 29%, followed by Australia and New
Zealand, at 24%. South Africa had an average of 9% engaged workers, 46% of unengaged workers and 45% of actively
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disengaged employees whilst Nigeria had an average of 12% engaged workers, 65% not engaged workers and 23%
actively disengaged employees. Gallup’s latest findings indicate that workers that are unengaged or disengaged are
more likely to pilfer the organizations resources, negatively influence other coworkers and be involved in absenteeism.
Lipman, 2013 discovered that women are more engaged than men with 33% engaged, 50% not engaged, 17% actively
disengaged women whilst men were 28% engaged, 53% not engaged and 19% actively disengaged. Lipman, 2013 also
suggests that “Leaders hold the key to employee engagement. Engaging leaders think, feel and act in different ways than
do typical leaders.” He summed it up with the notion that leaders have a cumulative change effect on the employee.
Subsequently, this study seeks to explore the effects of the constructs - authentic leadership, psychological capital,
psychological climate through a comparative study on work engagement in the South African organization – Medical
Research Council and in a Nigerian Work environment – International Institute of Tropical Agriculture - both of which are
international research institutions. This study would be based on an assumption that authentic leadership, psychological
capital and psychological climate could be antecedents of work engagement and possibly in relation to intention to quit.
As such, it is assumed that these antecedents will all have a significant impact on employees’ work engagement or their
intention to quit. The relationships between the afore-mentioned variables could possibly indicate effective strategies
that are appropriate for organisations in Africa.
AIM OF THE PRESENT STUDY
The aim of the present study is to explore, develop and test an integrated model of relationships that exist between
authentic leadership, psychological capital, psychological climate and work-engagement. On a general term, this study
seeks to ascertain the strength of the proposed integrated model in an African sample, seeks to establish through a
systematic review, previous work that had been carried out in this regard and also seeks to discover whether there is a
return effect of engagement on authentic leadership.
RESEARCH OBJECTIVES
 To systematically review previous research examining the relationship between authentic leadership,
psychological capital and work engagement.
 To develop an integrated model of Authentic Leadership for organisational management
 To undertake an empirical investigation to test the proposed theoretical model of the relationships
among the variables under investigation.
 To identify the value placed on Authentic Leadership styles in organisational management
 To measure the levels of authentic leadership, PsyCap, psychological climate and work engagement
within two research institutions.
 To compare and contrast the variance between these variables from a research institution in South
African and a research institution in Nigeria.
 To determine the extent to which work engagement is influenced by authentic leadership,
psychological capital (PsyCap) and psychological climate.
 To determine whether PsyCap mediates the relationship between authentic leadership and work
engagement.
 To determine whether psychological climate mediates the relationship between authentic leadership
and work engagement.
 To determine whether demographical variables will influence the perception of all measures i.e.
authentic leadership, PsyCap, psychological climate and work engagement in the selected Research
Institutions?
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RESEARCH QUESTIONS
In line with the aim of the proposed study, the following research questions will be explored:
1. What are the previous research findings on the relationships between authentic leadership, psychological
capital, psychological climate and work engagement?
2. What are the content and structure of the psychometric variables included in the present study and to what
extent are the measuring instruments portable to an African context or sample?
3. To what extent is Work Engagement related to authentic leadership, Psychological Capital and Psychological
Climate?
4. Can a valid model of sequential relationships among the combinations of variable and their dimensions namely
authentic leadership, psychological capital (PsyCap), psychological climate and work engagement be built?
5. Will PsyCap mediate the relationship between authentic leadership and work engagement?
6. Will psychological climate mediate the relationship between authentic leadership and work engagement?
7. Will demographical variables influence the perception of all measures i.e. authentic leadership, PsyCap,
psychological climate and work engagement in the selected Research Institutions?
8. Will there be a significant difference when the relationships between these variables are compared between the
Research Institution in South African and the Research Institution in Nigeria
9. What kind of relationship would exist between authentic leadership and psychological climate?
10. What kind of relationships would exist between PsyCap. and Work Engagement?
11. What kind of relationship would exist between Psychological Climate and Work Engagement?
RATIONALE FOR THE RESEARCH
Studies have reportedly shown that leadership is core to employee engagement (Walumba et al., 2008; Rego, Sousa, &
Marques, 2012, Avolio, et al., 2004). These findings are validated by Gallup CEO (Clifton, 2013), in Gallup's “State of the
American Workplace” report which highlighted findings from its study of the American workplace from 2010 through
2012. He stated that the biggest single decision that will be made in any organization is who is named the manager. He
asserted that when a wrong person is appointed as manager, nothing can fix the terrible decision not even a good pay.
In the light of the above, this research seeks to investigate the effect of authentic leadership on the work engagement of
employees and how moderating variables such as psychological capital and psychological climate would impact the
culture of employee engagement and possibly reduce quitting intentions of workers. The results from this study will
assist a number of individuals; (i) leaders/managers, (ii) employees, (iii) organizations (iii) the government as well as
policy makers. It will help leaders to understand the short and long term effect of their leadership style on both the
employee and the organization, employees would be aware of the role of positive organizational behaviors as a tool for
employee engagement, the management, employers and employees would also be aware of the effect that both
positive and negative psychological climates may have on the organization.
RESEARCH HYPOTHESIS
From the research questions above, very specific research hypothesis are specified for empirical testing. They research
hypothesis are:
Hypothesis 1:
 The factor structures that emerge from the present study will be interpretable and understandable in a different
cultural setting from the one where each of the research instruments was developed.
Hypothesis 2:
 There is a significant positive relationship between authentic leadership behaviours and psychological capital.
Hypothesis 3:
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
A significant positive relationship exists between subordinates’ perceptions of their leader’s authentic leadership
behaviour and the subordinates’ perceptions of psychological climate in the organization.
Hypothesis 4:
 There is a significant positive relationship between authentic leadership and work engagement of subordinates.
Hypothesis 5:
 Positive perceptions of psychological climate positively relate to PsyCap.
Hypothesis 6:
 There is a significant positive relationship between PsyCap and Work engagement.
Hypothesis 7:
 There is a significant positive relationship between psychological climate and work engagement.
Hypothesis 8:
 Authentic leadership, psychological capital, psychological climate and work engagement will be negatively
related to disengagement of employees.
Hypothesis 9:
 A proposed model describing the relationships between authentic leadership, psychological capital,
psychological climate and work engagement will produce a good fit with the data.
Hypothesis 10:
 Authentic leadership, psychological capital and psychological climate will contribute separately to a significant
proportion of variance in work engagement.
Hypothesis 11:
 Psychological Capital mediates the relationship between authentic leadership and work engagement.
Hypothesis 12:
 Psychological climate mediates the relationship between authentic leadership and work engagement.
Hypothesis 13:
 Psychological Capital mediates the relationship between authentic leadership and intention to quit.
Hypothesis 14:
 Psychological climate mediates the relationship between authentic leadership and intention to quit.
Hypothesis 15:
 The biographical variables in the present study will influence the perception of all measures i.e authentic
leadership, PsyCap, psychological climate, work engagement and intention to quit.
PRELIMINARY LITERATURE REVIEW
As previously indicated, this study will investigate an integrated model in the relationships between authentic
leadership, psychological capital, psychological climate and employee engagement.
RESEARCH CONSTRUCTS
AUTHENTIC LEADERSHIP
The expression of an authentic self is a fundamental requirement in leadership (Goffee & Jones, 2005). It is a challenge
that every authentic leader is faced with. There is an anticipated authenticity that every follower demands of a leader to be real, trustworthy, sincere, dependable, genuine, just and honest. These characteristics when demonstrated by the
leader motivate the followers to adhere, obey the leader’s rules and initiate more commitment towards the
organization. Furthermore, Goffee and Jones (2005) propose that only subordinates or followers can attest that a leader
is authentic. It thus implies that a leader cannot classify himself as authentic but can only be observed by other people.
Authentic leaders’ lead “real” lives and their followers are motivated to do the same. Authentic leaders actively pass to
their followers, a desire for fulfillment, a drive for success and psychological capacities needed for high level
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performance and commitment. Gardner and Schermerhorn (as cited and by Avolio et al., 2004) asserts that the duty of
an authentic leader is to cultivate optimism in followers. Avolio, (1999), clarified that “authentic leaders act in
accordance with deep personal values and convictions, to build credibility and win the respect and trust of followers by
encouraging diverse viewpoints and building networks of collaborative relationships with followers, and thereby lead in
a manner that followers recognize as authentic.” These actions exhibited by an authentic leader will subsequently propel
the employees or the followers to act in a similar authentic manner, which consequently may become a basis for the
“organization’s culture”.
Luthans and Avolio defined authentic leadership as “a process that draws from both positive psychological capacities
and a highly developed organizational context, which results in both greater self-awareness and self-regulated positive
behaviours on the part of the leaders and associates, fostering positive self-development” ( as cited by Walumba et al.,
2008). Authentic leaders as “those individuals who are deeply aware of how they think and behave and are perceived
by others as being aware of their own and others’ values/moral perspective, knowledge, and strengths; aware of the
context in which they operate; and who are confident, hopeful, optimistic, resilient, and high on moral character”
(Avolio et al. 2004). Kark & Shamir proposed that authentic leaders are capable of enhancing the dedication, enthusiasm
and engrossment required from followers that would continually improve their work performance. This task is achieved
when the authentic leader personally identifies with the follower and the organization (Avolio et al. 2004). However, for
the purpose of this study, we conceptualize authentic leadership based on the four-component model of authentic
leadership modified from the works of (Luthans & Avolio, 2003; Gardner, Avolio, Luthans, May, & Walumba, 2005; Ilies,
Morgeson & Nahrgang, 2005) as “ a pattern of leader behavior that draws upon and promotes both positive
psychological capacities and a positive ethical climate, to foster greater self-awareness, an internalized moral
perspective, balanced processing of information, and relational transparency on the part of leaders working with
followers, fostering positive self-development (Walumba et al., 2008). Authentic leadership is therefore conceptualized
with four leader behaviors such as self awareness, relational transparency, balanced information processing and an
ethical and moral perspective.
PSYCHOLOGICAL CAPITAL
Obtained from positive psychology and positive organizational behavior, positive capacities such as psychological capital
(PsyCap) was introduced. Luthans, F., Luthans, K., & Luthans B., (2004, pg. 46) asserts that psychological capital stretches
beyond human capital “what you are”, social capital “who you know”, financial capital “what you have” and consists of
“who you are”. PsyCap therefore in terms of positive development can be regarded as ‘‘who you are’’ and ‘‘what you
can become’’ (Avolio & Luthans, 2006).
PsyCap has been defined as ‘‘an individual’s positive psychological state of development that is characterized by: (1)
having confidence (self-efficacy) to take on and put in the necessary effort to succeed at challenging tasks; (2) making a
positive attribution (optimism) about succeeding now and in the future; (3) persevering toward goals and, when
necessary, redirecting paths to goals (hope) in order to succeed; and (4) when beset by problems and adversity,
sustaining and bouncing back and even beyond (resiliency) to attain success’’ (Luthans Youssef & Avolio, 2007, pg. 3).
Synder posits that positive psychology literature have observed that the four constructs that depict psychological
capital: hope, resiliency, optimism, and efficacy though used in normal day to day activities, and may be used
interchangeably, have been distinguished and distinctly defined (as cited by Avolio et al., 2004).
It has been discovered based on published researches that PsyCap is related to high performance in the workplace,
reduction in employee absenteeism, less employee skepticism, and intentions to quit as well as increased satisfaction at
work, commitment, and organizational citizenship behaviors. Research has also found PsyCap can be improved by a
supportive work climate (Avolio et al., 2004).
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PSYCHOLOGICAL CLIMATE
James et al., as cited by Brown & Leigh (1996) referred to Psychological climate as how employees or members of an
organization comprehend and decipher organizational policies, practices and procedures in the organizational
environments in which they work. The authors noted further that psychological climate can be viewed as “an individual
trait” instead of “an organizational trait”. On the other hand, Organizational climate also known as Corporate climate
can be referred to as the way employees or workers in an organization perceives the set of practices and procedures of
the work environment. This group perception is assumed to be a key influential factor of employee behavior.
Psychological climate has been seen to be substantially connected to performance in businesses. Parker et al., as cited
by Langkamer & Ervin 2008 has established that there is an association between actual organizational events, employee
attitudes and behaviors and psychological climate perceptions. James et al., (1978) referred to psychological climate as
“the individual’s creative representation of relatively proximal situational conditions expressed in terms that reflect
psychological meaningful interpretations on the situation”. Thus, psychological climate has been conceptualized as an
individual’s experience at the work place by which he or she processes, views situations and relates them to his or her
work environment. The way employees therefore observe and understand the organization and working conditions of
such organization go a long way in predicting the behavior and attitudes of the employees.
Brown & Leigh 1996, using the work of Kahn (1990) as a core on employee engagement or disengagement produced six
dimensions of psychological climate namely; “the extent to which management is perceived as flexible and supportive,
role clarity, freedom of self-expression, the employee's perceived contribution toward organizational goals, adequacy of
recognition received from the organization, and job challenge”. They propose these factors as a pointer to how
psychologically secure and significant the employee sees the organizational environment he is in to be - Supportive
management, Role clarity, Contribution, Recognition, Self-expression and Challenge.
WORK ENGAGEMENT
One of the positive states that have received increased attention recently is work engagement. Work engagement has
been developed as an essential concept in industrial and organizational psychology to portray the “mental state
underlying high degrees of work motivation” (Bledow, Schmitt, Frese & Kuhnel, 2011). Work or employee engagement
has been defined by several scholars; Kahn (as cited by Serrano & Reichard, 2011) referred to Employee engagement as
“employees’ investment of physical, cognitive, and emotional energy and their full deployment of themselves into their
work roles or tasks”.
Probably the most acceptable definition so far that has been proposed by Schaufeli, Salanova, González-Romá, & Bakker,
(2002, pg. 74), on work engagement is defined as “a positive, fulfilling, work-related state of mind that is characterized
by vigour, dedication, and absorption”.
The authors emphasized that engagement denotes “a more persistent and pervasive affective-cognitive state that is not
focused on any particular object, event, individual, or behavior”. As a deviation from those who suffer from burnout and
exhaustion, engaged employees are so engrossed and connected with their work activities such that they see
themselves as capable of managing their jobs demands. Lipman, (2013) suggested that “Employee engagement should
not be confused with the social state of staff or how happy people are to sit through an 8 to 5 working day," an engaged
worker takes the initiative and makes positive, productive impact on the organization
RELATIONSHIPS BETWEEN VARIABLES OF THE PROPOSED STUDY
It has been established from data collected from 794 followers and their immediate leaders that authentic leadership is
positively linked to leader– member exchange (LMX) and therefore their followers’ performances. This conclusion is also
true among followers who have low levels of PsyCap (Wang, Sui, Luthans, Wang & Wu, 2014). Another study that
empirically validates the integration of authentic leadership and psychological capital in research, and a pointer that
both constructs may cultivate employees' creativity, is on 201 employees who reported their psychological capital and
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their supervisors' authentic leadership. Findings show that authentic leadership through the mediating role of
employees' psychological capital directly predicts employees' creativity (Rego, Sousa & Marques, 2012).
Authentic leadership - although this construct has enjoyed great interest in scientific research, is required to understand
its relationship with certain outcomes in organizations such as Work Engagement and Intention to quit. Authentic
leadership and PsyCap have been found to interrelate that both facilitate employee creativity (Rego, Sousa, Marques,
Pinee & Cuuha, 2012). Authentic leadership is positively related to followers’ PsyCap (Woolley, Caza & Levy 2011).
Authentic leadership had impact on PsyCap. of employees (Walumba, 2011).
According to Bakker and Schaufeli (2008), positive organizational behavior research focuses on high performance in
organizations and explores the conditions under which employees excel.
Research indicates that organizations experience undesirable consequences as a result of low levels of work
engagement. Such consequences include low productivity, and high levels of employee absenteeism and turnover
(Robertson & Cooper, 2010).
A meta-analysis conducted by (Avey, J. B., Luthans, F., & Jensen, S. M. (2009) shows that PsyCap is positively related to
pleasant employee attitudes and vice-versa. A positive relationship between PsyCap and Work Engagement has also
been established (Xanthopolou, Bakker, Demerouti & Schaufeli, 2009). It is hypothesized that a positive relationship
between PsyCap and Work Engagement be found in this study.
Whilst Covey, & Gratton, as cited by Baker et al., (2008), agreed that the present day organizations are in need of
engaged employees. Bakker, Demerouti, and Verbeke (2004) proved that engaged employees are ranked high by their
colleagues on “in-role and extra-role” performance. This adds up that engaged employees are go-getters and are
inclined to exceeding expectations. In a meta-analysis of studies in almost 800 business units of 36 companies (Harter et
al., as cited by Baker et al., 2008), demonstrated that employee engagement is positively related to performance
including customer satisfaction, loyalty, profitability, productivity, turnover, and safety. It was concluded in the study
that engagement is ‘‘. . . related to meaningful business outcomes at a magnitude that is important to many
organizations.’’ Woolley et al., 2010 established a positive relationship between authentic leadership and the
psychological capital of followers when partially mediated by positive work climate, and gender. Findings reinforce
previous predictions of the impact of authentic leadership and authentic leaders on followers. Work engagement has
been identified as one of the critical requirements to people performance in organizations (Bakker and Schaufeli, 2008).
Literature on Psychological Climate highlights the relationship between Psychological Climate perceptions and its
relationship to a variety of individuals level outcomes in the organization like behavior (i.e. job satisfaction,
Organizational Citizenship Behaviour, Job involvement, motivation, psychological well-being and employee
performance). It is therefore hypothesized that there will be a positive relationship between Authentic leadership and
Psychological Climate.
Schaufeli and Bakker (2004), confirms the relationship between work engagement, burnout and turnover intention as
well known and accepted. There have been prolonged researches in Organizational Behaviour which has propelled an
understanding of employee assessments of the work environment and how these assessments impact individuals
attitudes at work (Schulte, Ostroff & Kinichi, 2006).
It is thus evident that all the constructs investigated in this study have been studied. However, this present study seeks
to explore, develop and test an integrated model of relationships that exist between authentic leadership, psychological
capital, psychological climate and work-engagement which has not been specifically investigated especially in an African
sample. It is envisaged that the comparative nature of the research would possibly indicate effective strategies that are
appropriate for organizations in Africa. A systematic literature review which is a new dimension of reviewing previous
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research conducted on the topic is also a gap that this study seeks to fill. This study will also seek to clarify whether
there is a return effect of employee engagement on authentic leadership.
RESEARCH DESIGN & METHODOLOGY
The purpose of the study is to explore and develop an integrated model that tests the relationship between authentic
leadership, psychological capital, psychological climate and employee engagement. To accomplish this aim, this study
will employ two mixed methodologies namely (i) systematic literature reviews and (ii) survey research method through a
composite questionnaire.
RESEARCH DESIGN & PLAN
De Vos, (2005), described a research design as a plan initiated to gather information on the desired area of focus. The
present study aims to explore a theoretical structural model that would explicate the manner in which authentic
leadership, psychological capital, psychological climate and employee engagement of organizations participating in this
research.
In an effort to provide answers to the stated propositions, this study will utilize two mixed methodologies namely (i)
systematic literature reviews and (ii) survey research method through a composite questionnaire.
A Systematic Review is a summary of all relevant past research on the subject of interest (JBIEBNM, 2001). “A systematic
review is a literature review that is designed to locate, appraise and synthesize the best available evidence relating to a
specific research question to provide informative and evidence-based answers” (Boland, Cherry, & Dickson, 2013). It is a
method of comprehending a plethora of information, understanding and explaining what works and what does not. It is
also a “method of outline areas of uncertainty, and identifying where little or no relevant research has been done, but
where new studies are needed” (Petticrew, & Roberts, 2008). As the name suggests, a systematic review follows a
systematic approach that is pre-planned and documented such that it affords users the opportunity to appraise the
quality of the systematic review.
Furthermore, Petticrew, and Roberts, (2008) emphasises that a Systematic review also pinpoint areas where previous
researches suggest that researchers know so much about a topic, whereas in actual terms, there is little credible
evidence to support what we our believe. A systematic review is of utmost importance because most times the results of
single studies or of the traditional literature review are often biased and carry greater credibility than they deserve and
is sometimes difficult to know which of the studies to believe (Petticrew, & Roberts, 2008). “Systematic reviews are
considered the best way to synthesize the findings of several studies investigating the same questions, whether from
health, education or other disciplines because they follow well-defined and transparent steps and always require the
following: definition of the question or problem, identification and critical assessment of the available evidence,
synthesis of the findings and the drawing of relevant conclusions” (Boland, Cherry, & Dickson, 2013).
Petticrew, and Roberts, (2008) added that literature reviews, “even those written by experts, frequently summarize
highly unrepresentative samples of studies in an unsystematic and uncritical fashion” however, systematic reviews aims
to identify as many studies on the subject of interest as is “reasonably possible” through a comprehensive search
strategy which is developed and documented before the commencement of the review (JBIEBNM, 2001).
The study will also utilize a survey research method in gathering data as it would assist in establishing the relationships
that exist between the above mentioned constructs. Standardized measuring instruments will be used to gather data.
Kerlinger and Lee (2000) refer to survey research as a research approach in which questionnaires are administered to a
sample of respondents that form part of a larger population. This, the authors believe forms the basis of “exploring the
incidence, distribution and interrelations of sociological and psychological variables.” Additionally, survey research falls
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under “non-experimental scientific inquiries, aimed at discovering the relations and interactions among sociological,
psychological, and educational variables in real social structures” (Kerlinger & Lee, 2000).
STUDY SAMPLE
de Vos, Strydom, Fouché and Delport, (2005) identified a study sample or population to be the total number of people,
actions, organizational units, case records or any other sampling item that the research problem is focused on.
The first phase of this study will utilize search engines, databases and several journals as the study population whilst the
sample for the second phase will consist of individuals employed in two research institutions one of which operates in a
South African research institution and the other in a Nigerian research institution. In order to participate in the second
phase of this study and to ensure the integrity of respondents’ feedback, respondents will be required to have at least
12 years of schooling and be proficient in English. Furthermore, the respondents will need to have a direct supervisor or
manager as the survey would require the respondent to evaluate their leader.
Purposive sampling will be used to identify respondents which according to Kerlinger and Lee (2000), this type of
sampling method are acceptable in order to obtain a representative sample by including presumably typical groups in
the sample.
It is anticipated that the proposed sample will comprise of a minimum of 250 respondents from different
divisions/departments in the participating organizations. According to Bagozzi and Yi (2012), this is regarded as an
acceptable sample size for purposes of conducting Structural Equations Modeling (SEM) and Confirmatory Factor
Analysis (CFA).
DATA COLLECTION METHODS
Phase 1: Systematic Review
Two systematic reviews will be carried out which will emphasize on the relationships between authentic leadership,
psychological capital, psychological climate and work engagement. These two systematic reviews will indicate whether
the relationships that exist in existing literature support or contradict the proposed model of relationships in the second
phase of the study. The two reviews that would be studied are the correlation between (i) authentic leadership,
psychological capital and work engagement and (ii) authentic leadership, psychological climate and work engagement.
These relationships will be ascertained by the use of electronic databases and journals such as Ebscohost, Academic
Search Complete, Google Scholar, PsychARTICLES, ScienceDirect, Wiley InterScience, SpringerLink. Emerald, JSTOR,
Campbell library, Directory of Open Access Journals, Nexus (NRF), Sage Research Methods Online (SRMO), SCOPUS etc.
Inclusion criteria: Literature that will be eligible for inclusion into the systematic review would include: (i) studies
published in English language, (ii) studies published between 2004 and 2014, (iii) studies that included employers,
leaders, managers, employees or followers in an organization and (iv) studies that would examine the relationships
between authentic leadership, employee engagement and intention to quit with the moderating factors such as (a)
psychological capital and (b) psychological climate. The keywords that will be included within the various systematic
reviews will be: Positive Organizational Behaviour, authentic leadership, psychological capital, psychological climate,
work engagement, intention to quit.
Methodological quality appraisal: The methodological quality will be assessed using the methodological quality
appraisal tool adapted from (Davids &Roman, (2013) and Roman, & Frantz, (2013) (see Appendix C). The methodological
quality appraisal tool will evaluate the sampling methods, response rate, validity and reliability of the measuring tool
and also the data source. A possible inclusion within the review is considered when the methodological quality appraisal
score is obtained as satisfactory or good.
Data extraction: An adapted version of the data extraction tool adapted by (Davids &Roman, (2013) and Roman, &
Frantz, (2013) - see Appendix D will be adapted and used by the reviewers. The data that will be gathered from the
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extraction tool will include: Author(s) name(s), country / geographical location, study design, participant demographic
details, measures used, data on the association that was found and the findings.
1.1.1 Phase 2: Data Collection
Respondents will be required to complete a composite questionnaire – comprising of several measures - as part of a
self-administered survey/questionnaires. According to Babbie & Mouton 2001, self-administered questionnaires require
a sufficient level of literacy from the respondents and identifiable addresses. Self administered questionnaires are
generally more cost efficient, quicker, make large samples attainable, lacks interview prejudice and promotes the
likelihood that sincere responses will be received on sensitive issues as a result of confidentiality. The self administered
questionnaire could be administered through a Home delivery method, Mail distribution or via an Electronic medium.
A composite questionnaire, comprising a biographical questionnaire, as well as 4 additional questionnaires, designed to
measure authentic leadership (Walumbwa et al., 2008), PsyCap (Luthans, et al., 2007, Luthans, et al., 2010),
psychological climate (Brown & Leigh 1996) and work engagement (Schaufeli and Bakker, 2003) will be used to gather
information from two research institutions: The Medical Research Council, Cape Town, South Africa and International
Institute of Tropical Agricultural, Ibadan Nigeria. The questionnaire will contain a covering letter to each potential
respondent, explaining and informing them of the research process. This letter, signed by the Chief Executive Officer of
the organizations, and the researcher, will outline the purpose of the research and will request assistance and
cooperation from all targeted employees. More detail on the various measurement scales will be provided in the
appendix page.
The unit of measurement for the present study will be the individual who will be asked to rate their leader, rate their
own PsyCap, psychological climate and work engagement. The first part of the questionnaire will comprise a
biographical section where the respondent will have to indicate demographic variables such as reporting unit, tenure in
the organization, age of respondent, gender, home language, marital status, population group and highest educational
qualification obtained. This information is deemed of paramount importance for determining relationships and
identifying differences amongst variables used in this study. Permission to conduct the present study will be obtained
from the organization prior to the commencement of the study. The measuring instrument (i.e. composite
questionnaire) will also be subjected to a pilot study so as to ensure that all shortcomings, deficiencies and potential
problems during the data gathering process have been identified and addressed prior to the final administering of the
questionnaire.
DELIMITATION
For this proposed study, the constructs that will be studied will be authentic leadership, psychological capital,
psychological climate, work engagement and intention to quit. The first phase of the research will be a systematic
review which will be limited to two studies namely, (i) the relationship between authentic leadership, psychological
capital and work engagement, (ii) the relationship between authentic leadership, psychological climate and work
engagement whilst the data collection will be limited to two research institutions, the Medical Research Council (MRC),
Cape Town, South Africa and the International Institute of Tropical Agriculture (IITA), Ibadan, Nigeria.
PROPOSED RESEARCH INSTRUMENTS
Authentic Leadership Questionnaire
The Authentic Leadership Questionnaire (ALQ) which has been designed to assess the components of Authentic
Leadership (Walumbwa et al., 2008) measures the four dimensions of authentic leadership, namely: self-awareness,
relational transparency, internalized moral perspective and balanced processing. The 16-item Authentic leadership
Inventory which adopts the theoretical framework and dimension definitions provided by Walumbwa, Avolio, Gardner,
10
Wernsing and Peterson (2008, pp. 95–96) with be used to measure authentic leadership. The internal consistency
reliability for each ALQ measure was as follows: self-awareness .73; relational transparency, .77; internalized moral
perspective, .73; and balanced processing, .70.
Utrecht Work Engagement Scale
Engagement will be assessed with the UWES (Schaufeli, Salanova, et al., 2002). The items of the UWES are grouped into
three subscales that reflect the underlying dimensions of engagement: Vigor (VI) (6 items), dedication (DE) (5 items), and
absorption (AB) (6 items). All items are scored on a 7-point frequency rating scale ranging from 0 (never) to 6 (always).
The internal consistency of the three scales of the UWES, in the values of Cronbach’s is equal to or exceeds the critical
value of .70 (Nunnaly & Bernstein as cited by Schaufeli & Bakker 2004).
Psychological Capital Questionnaire (PCQ)
The PCQ, a measure of PsyCap with 24 items, a scale that has undergone quite enormous psychometric analyses from
samples collected from the service, manufacturing, education, high-tech, military and cross cultural sectors will be used
to measure the PsyCap of employees. Each of the four components: Self-efficacy, hope, resilience and optimism are
measured by six items each. The resulting score represents an individual's level of positive PsyCap. The overall reliability
coefficient for the four samples were (.89, .88, .89, .89) respectively. Items 1-6 are the Self-efficacy subscale which was
drawn from Luthans et al., (2007) and adapted from Parker, 1998; items 7-12 are for the hope scale which was adapted
from Snyder et al., 1996; items 13-18 are for resiliency and it was adapted from Wagnild and Young, 1993; and for the
optimism subscale, items 19-24 were drawn from Scheier and Carver, 1985.
Psychological Climate
The scale that will be used to measure the psychological climate construct is the Psychological Climate Measure
developed by Brown and Leigh (1996). This scale consists of 21 items that was developed on 6 factors namely,
supportive management, role clarity, contribution,
recognition, self-expression, and challenge. The reliability
coefficient of this scale is .89. The items will be measured on a 7-point Likert-type scales which is anchored by strongly
agree and strongly disagree.
INTENDED DATA ANALYSIS PROCEDURE
Data Collection Study
This research proposal will be submitted to the University of the Western Cape Higher Degree’s Committee for ethical
clearance, after which permission will be sought from the research sites: the South African Medical Research Council
(MRC), Cape Town and the International Institute of Tropical Agriculture (IITA), Ibadan, Nigeria to carry out the study.
After permission has been granted from the two organizations, an appointment will be set with the CEO/ ED of both
institutions and a detailed comprehensive discussion will be held regarding the study. Adequate details about the study
will also be disseminated to the participants in writing. The questionnaires will then be given to interested employees of
the organizations such that the different managers will be asked to rate the Psycap and Work engagement of their
subordinates whilst the followers/subordinates will be given the opportunity to rate the authenticity of their leaders,
rate their own Psycap, Psychological climate and their Work engagement.
Data Analysis
The data collected from the study will be inputted into the Statistical Package for the Social Science (SPSS) which will
then be coded, cleaned and checked for errors. The data will be analyzed by means of quantitative techniques. These
techniques will include multivariate analyses such as standard multiple regression analysis, and exploratory factor
analysis. The study will employ a correlational design, bivariate as well as multivariate correlational analyses since the
interrelationships of more than two variables will be examined. The Structural Equation Modeling Software will be used
11
to conduct factor analysis and to process both descriptive and inferential statistics. It will also be used to assess the fit
between the theoretical model and the measurement model. Exploratory factor analysis will be used to explore the
data, revalidate the instruments and gain information on how many factors are needed to best represent the data.
Confirmatory factor analysis (CFA) will be utilized to confirm the observed structure of the constructs. The reliability of
each measuring instrument will be assessed by calculating Cronbach alpha coefficients for each of the factors and for the
scales. This will be used to evaluate the internal consistency between the items that measure the theoretical model.
The aim is to confirm the reliability of the measuring instruments for the current sample, as well as the subscales of each
instrument. Pearson product-moment correlation and multiple regression analysis will be used to ascertain the bivariate
and multivariate relationships between the variables and their subscales. Analysis of variance (ANOVA) will be
performed to calculate the relationship of demographic variables on authentic leadership, psychological capital,
psychological climate and work engagement.
2.
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