T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 1 頁，共 37 頁
Western Thinking on Leadership Owes a Debt of
Gratitude to Confucius
Terry F. Buss, PhD1
The Master’s Way is nothing but other-regard
and self-reflection.—Confucius
ABSTRACT
Transformational leadership is the latest advancement in leadership thinking
sweeping the public and business administration sectors, especially in the West. The
foundations of this approach are found in Confucius’ The Analytics written 2,500
years ago. Interestingly, few if any of the thousands of books on transformational
leadership reference Confucius, even though these books could have been written
by him. This essay looks at transformational leadership approaches in leadership
generally and in public governance, showing how it relates to Confucian thought.
keywords ： Confucius, transformational leadership, superior persons, virtue,
propriety, self-awareness
1
Fellow, US National Academy of Public Administration, Washington, DC.
1
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 2 頁，共 37 頁
INTRODUCTION
If Confucius were alive today, he would be a multi-millionaire, excelling as a
writer, thinker and consultant on leadership. Even though having been born some
2,500 years ago, Confucian philosophy in his classic work, The Analects, lives on in
contemporary thought on public and business administration generally. A quick
Google search reveals 4,090,000 hits on “Confucius” and 1,450,000 for “Confucius
on leadership.” Ironically, most modern works on leadership at least in the West do
not so much as mention their debt to the ancient Chinese sage’s works. 2 A Google
search for “transformational leadership and Confucius” yields only 57,700 hits.
Interestingly, even when Western scholars do write about Confucius’s
thinking, many tend to do so seemingly to try to explain leadership from an Eastern
business and public management perspective, especially in a Chinese context. It’s
as if management in the East was very different from that in the West. Rindova and
Starbuck (1997), for example, compare Western and Eastern management models,
concluding that the East is “moral/ethical” while the West is “objective.”
“Transformational leadership”
3
represents the latest thinking about
leadership in the West, especially in the public service, and it looks in nearly every
way, Confucian. This “new” perspective moves leadership away from dominant
“transactional leadership” models—using incentives and disincentives to produce
compliance among subordinates—to one where leaders and followers form a bond
2
In the East—especially Chinese, Japanese, Korean and Vietnamese—works on leadership
rightly pay homage to Confucius.
3
James MacGregor Burns in Leadership (1978) and Transforming Leadership (2003) is often
credited in the West with inventing this approach.
2
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 3 頁，共 37 頁
and shared vision/goals to work collaboratively, harmoniously and respectfully,
with leaders empathizing, mentoring, teaching, motivating, stimulating, challenging,
and acting as role models to attain high levels of individual and organizational
performance.
In this essay, I briefly review the main tenants of transformational leadership,
then show where they parallel Confucian thought, drawing on The Analects.
Books grounded in transformational leadership are legion—a Google search yields
2,360,000 hits—so I’ve chosen several bestsellers that together capture the essence
of the approach. Few, if any, bestselling books on transformational leadership were
written for public managers, 4 yet these books are widely used to train them.
Why is this important? Knowledge generally is fragmented across cultures,
disciplines, geography, language and the like. It is important not to remain unaware
that one is working in a several thousand year’s old tradition, rather than a new,
isolated field. Too often, culture is offered as an explanation for differences in
leadership and management across the globe. This may be overworked, given that
modern Western leadership practice will be shown to mirror a philosophy with a
2,500 year history. And, contemporary knowledge would be greatly enhanced were
scholars to be more careful in identifying its antecedents. Works of the ancients
have been around for millennia; will that be the case for books written today?
4
For a review of the latest advances in transformational leadership in public management see
Morse and Buss (2007, 2008). An influential book in the field is Janet Denhardt and Robert
Denhardt (2011) The New Public Service: Serving, Not Steering.
3
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 4 頁，共 37 頁
TRANSFORMATIONAL LEADERSHIP: A WESTERN PERSPECTIVE
The Master said, “The reason why the ancients did not
readily give utterance to their words, was that they feared
lest
their
actions
should
not
come
up
to
them.”—Confucius
What is transformational leadership in a nutshell? Georgetown University
offers a graduate Executive Certificate in Transformational Leadership which fully
embodies the approach. On its promotional website, 5 the essence of Confucianism
is evident in the precepts highlighted in italics.
“The 20th century “command-and-control” approach no longer works
effectively in many settings. To effect change, today's leaders must be
able to articulate clear purpose and organizational values, create a
shared vision, and build organizations that rely upon the skills of
communication, collaboration and teamwork, in addition to effective
decision-making. More than anything else, leaders today must be able
to enlist the engagement of those whom they lead. Accomplishing these
important goals requires not only the acquisition of skills, but also a
significant increase in self-awareness and the capacity to lead. 21st
century leaders must:

Grow and expand as human beings even as they lead
extraordinary outcomes for their communities and
organizations;
5
https://scs.georgetown.edu/departments/37/institute-for-transformational-leadership
4
T&D 飛訊第 198 期

發行日期：103 年 09 月 01 日
第 5 頁，共 37 頁
Convene important conversations that include many
diverse stakeholders in order to solve complex problems;

Bring authentic presence, integrity, vision, compassion,
expertise and commitment to a higher purpose that
awakens others to new possibilities and outcomes;

Call for, develop, and inspire the best work from others;

Build and sustain a dynamic network of those whose
interests are related and affected by common concerns
and aspirations;

Cope with and thrive in the rapid pace of change;

Bring both mindfulness and action to matters that require
attention and decision;

Move people from a finite and limited view or identity
into a larger understanding of who they are as individuals,
groups and organizations;

Provide forward-looking direction and context through
storytelling and visioning that enables others to see the
future that lies ahead, and;

Take a stand for their beliefs and vision that creates clarity
and calls for commitment from others and hold this stance
even in the face of adversity, challenge, and risk.”
Bestselling books on transformational leadership add context to meaning of
terms in the Georgetown University certificate program. Bill George—a former
CEO of a multi-billion dollar US medical equipment manufacturer—created the
5
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 6 頁，共 37 頁
notion of the Authentic Leader (2003). Authentic leaders are self-aware and hence
genuine. Leaders who are self-aware understand their emotions, limitations,
weaknesses, strengths, passions, biases and motivations. Leaders reveal these
characteristics to subordinates so that they appear more human. Leaders never
behave one way in private and another in public. In so doing, leaders do not seek to
hide mistakes or weakness, but rather admit to them. Leaders continually try to
correct mistakes and eliminate weakness.
Authentic leaders are all about accomplishing missions and attaining goals for
the sake of organizational performance, rather than out of self-interest—power,
money, status, ego. Leaders are willing to advance the organization often at their
own expense or with personal sacrifice. Subordinates are more likely to follow
leaders not motivated by personal gain, in part because subordinates benefit under
authentic leadership.
Authentic leaders show genuine concern for subordinates. Leaders want
subordinates to succeed. They are empathetic to the problems, barriers,
shortcomings or limitations of subordinates, rather than critical of them. They try to
remove these impediments not only so that the organization can perform well, but
also because they want subordinates to be happy and well-adjusted. Rather than
being perceived as weak or soft, authentic leaders are caring while at the same time
not losing focus on organizational mission and goals.
The bottom line: authentic leaders are trustworthy, and hence able to motivate
followers to accomplish goals and missions.
Peter Senge—a distinguished MIT scholar—in The Fifth Discipline (1990)
proposes that leaders master themselves through continual learning to “clarify and
6
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 7 頁，共 37 頁
deepen our personal vision, focus our energies, develop patience, and see reality
objectively.” Personal mastery is not about competence, skills or expertise, but
rather about proficiency—a kind of calling or passion. James Kouzes and Barry
Posner, in The Leadership Challenge (2012), argue that leaders should continually
seek wisdom, develop compassion and act courageously. It’s about process, thus,
the journey to self-awareness is itself the reward, not the journey’s end. Leaders
who are self-aware—in the same sense as the authentic leader—are supremely
confident, but realistically so. For Senge, an organization where personal mastery
among leaders and followers is the norm fosters the “learning organization,”
which produces high performance.
Stephen Covey—a professor of business—in The 7 Habits of Highly
Effective People (2013) builds on the approaches above to show how effective
leaders gather information to improve organizational decision making. For Covey,
leaders need first to understand, then to be understood. After evaluating, probing
and advising, effective leaders arrive at an objective, realistic, accurate picture of
the views, attitudes, beliefs and knowledge held by subordinates. The effective
leader then takes these assessments and tries to understand subordinate motives
and behaviors within his/her own experiences and awareness. The former exercise
is to understand, the latter to be understood.
Bernard Bass—a highly successful university-based commentator—in
Leadership and Performance (1985) and Transformational Leadership (2005)
suggests that leaders need to “transform” followers so that they understand why a
task is important, and why they need to place their work ahead of their own
interests, while at the same time satisfying a higher set of needs they have on the
job. Bass argues that transformational leaders need to be charismatic as a
7
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 8 頁，共 37 頁
necessary, but not sufficient, condition for success. Leaders and followers must
bond, in the same way as successful sporting teams or military units do.
Bass suggests a necessary moral component: (1) the moral character of the
leader that must be admired by followers, (2) ethical values of the leader that must
be accepted by followers, and (3) the morality of the social ethical choices
inherent in organizational change that must be accepted by leaders and followers.
Overlaying this, transformational leaders inspire, motivate, and stimulate
followers, while giving followers individual attention, support and encouragement.
Robert Galford and Anne Drapeau in The Trusted Leader (2011) ask leaders
to answer the question, “Whom do you trust, and who trusts you?”
Transformational leadership generally suggests that leaders who are selfless, value
service to an organization and its people as much as performance, make sacrifices,
and make people feel safe are those who inspire trust.
Kevin Cashman—an internationally-known CEO coach—in Leadership
from Inside Out (2008), proposes a personal growth development plan that helps
leaders become more effective.
John Maxwell in The 21 Irrefutable Laws of Leadership (2007) identifies
respect for a leader as critical to organizational success. Subordinates tend to follow
leaders who are stronger than they are. But, followers respond best when leaders
show them genuine respect. Leaders must be willing to do what’s right. They need
to be loyal to followers. And they must “add value” to those they lead. In his latest
book, The Five Levels of Leadership (2013), Maxwell explains why followers
respond to leaders:
8
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 9 頁，共 37 頁
 Position—they follow because they have to.
 Permission—because they want to.
 Production—because of what you have done for the organization.
 People development—because of what you’ve done for them
personally.
 Pinnacle—because of who you are and what you represent.
Much of the transformational leadership literature assumes organizational
change or transformation as a context for leadership. A Google search on “change
management” yields 493,000,000 hits. Adding “transformational leadership” to the
search yields 2,390,000 hits. Perhaps one of the most widely published book on
change, Leading Change (2012) by John Kotter—Harvard Business School
professor—suggesting that change leaders look at “thinking vs. feeling:” “To
change successfully, people need to be able to both think and feel positively about
what they need to do. Without addressing both sides, change is less likely to occur.”
But leading change need not be the focus of transformational leadership.
Indeed, transformational leadership models work even in a stable environment.
John Adair—a noted British writer on leadership—in Confucius on
Leadership (2013) is one of the relatively few works in the West which looks at
Confucian texts from a leadership perspective.6 Although Adair does not explicitly
tie his analysis to transformational leadership, his findings in his book replicate
thought leaders in the field. For Adair, Confucius advocates that leaders…
Others include: W.J. Mader, Confucius Said: A Management Book for the 21st Century (2011);
Stefan Rudnick, Confucius in the Boardroom (1999).
6
9
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 10 頁，共 37 頁
• Serve as role models, but also as teachers
• Inspire, motivate and stimulate
• Behave charismatically
• Empathize
• Challenge followers to succeed
• Project humility and selflessness
• Think, then act
• Respect authority
LEADERSHIP IN THE ANALECTS
The Analects is a compilation of Confucian teachings presented as aphorisms
intended to educate current and future public leaders and perhaps followers in
“proper” conduct.
I propose to look closely at the meanings of concepts
embodied in the aphorisms to build a picture of Confucian thought as it informs
contemporary transformational leadership. In general, Confucius gives a great deal
more thought to what it means to be a transformational leader (or superior person)
than contemporary works.
Confucian concepts at the core of the teachings are ambiguous and hence
subject to different interpretations. Over time, Confucian teachings have been
added to, deleted, or revised so that it is no longer clear who wrote the original text
and who altered it. Often, Confucius’ disciples produced text, but attributed it to
the Master. Additionally, concepts can be translated in different ways depending
on the translator’s perspective. I have examined several different translations of
The Analects,7 drawing on the works that best reflect what I believe Confucius to
7
Two sources used in this essay include: Robert Eno (2012)
10
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 11 頁，共 37 頁
have meant. This is not an exact science. It’s also not a problem: every generation
should interpret Confucian teachings as they see fit. Confucius would not object.
“If language is not correct, then what is said is not what is
meant; if what is said is not what is meant, then what must
be done remains undone; if this remains undone, morals
and art will deteriorate; if justice goes astray, the people
will stand about in helpless confusion. Hence there must
be no arbitrariness in what is said. This matters above
everything.”
Below, I have divided the aphorisms into precepts for becoming a
“superior” person, one who possesses good character, behaves virtuously and acts
properly. Next I look at those aphorisms that show how the superior person can
become a successful leader or follower in government.
Superior Person (junzi)
The transformational leader from a Western perspective is the embodiment of
the Confucian superior person, junzi, with few exceptions. 8 For Confucius,
superior persons in government, either as leaders or followers, will lead to good
governance in a virtuous society.
http://www.indiana.edu/~p374/Analects_of_Confucius_(Eno-2012).pdf
James Legge (1897) http://old-site.clsp.jhu.edu/~yisu/files/cnfnl10u.pdf
8
Superior person is sometimes translated as a “profound” person. Originally, the junzi was a
person of high standing or authority. Whereas for Confucius, a superior person could be one
without standing.
11
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 12 頁，共 37 頁
The Master said, “If a superior man abandon virtue, how
can he fulfill the requirements of that name?”
The Master said, “If the will be set on virtue, there will be
no practice of wickedness.”
The Master said, “The superior man, in the world, does
not set his mind either for anything or against anything;
what is right he will follow.”
The Master said, “The superior man is universal and not
partisan. The mean man is partisan and not universal.”
The Master said, “The superior man thinks of virtue; the
small man thinks of comfort. The superior man thinks of
the sanctions of law; the small man thinks of favors which
he may receive.”
The Master said, “The mind of the superior man is
conversant with righteousness; the mind of the mean man
is conversant with gain.”
Confucius seems to believe that human nature is essentially good, but can
become corrupted unless people are properly educated. Education can produce
superior persons. For Confucius, this may take about three years.
The Master said, “By nature, men are nearly alike; by
practice, they get to be wide apart.”
Some of the virtues of both transformational leaders and superior persons
summarized below include: humanity, humility, heart/mind, right/righteousness,
trustworthiness/faithfulness, truthfulness, valor, transparency, and balance.
12
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 13 頁，共 37 頁
Virtue (de)
My definition of virtue has three components. Virtue is a positive
characteristic, attribute, quality, property or trait of an individual. A virtuous person
behaves morally or ethically. Behavior is said to be virtuous if it conforms to a
moral vision, set of values, standards and principles that are adjudged to be right or
good.
Charisma is the aura or power emitted by persons who are virtuous and
behaving properly. The Buddha, Christ and Confucius may have exuded this aura.
But charisma can also be given off by morally inferior or mean persons. Charismatic
can mask bad character just as an actor represents a character in a play, but is not
actually that character in reality. Infamous dictators of the 20th century, Adolf Hitler
or Joseph Stalin, were by all accounts charismatic.
Transformational leaders, and perhaps all leaders, must be charismatic if they
are to attract followers willing to do their bidding (Bass 2005, Morgan 2008).
Charisma begets admiration, then devotion. Devotion in turn fosters persuasion then
dedicated followership. For good or bad, followers are much more likely to go along
with transformational leaders who are charming, and from above, passionate
(Maxwell 2007). Hopefully, the charismatic power given off will lead to positive
behavior.
The superior person exhibits de which embodies the excellence of character
as reflected by virtuous behavior. But, the superior person does not rely on aura or
ambience to convince others to follow. In another section, we see that superior
persons are humble, a virtue not associated with charisma.
13
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 14 頁，共 37 頁
“To practice five things under all circumstances
constitutes perfect virtue; these five are gravity,
generosity of soul, sincerity, earnestness, and kindness.”
For Confucius and indeed transformational leaders, each possesses numerous
virtues, some more important than others:9
1. Humanity (ren)
Transformational leaders often are portrayed as self-less and other-oriented,
a trait which engenders followers who come to believe that the leader has only
their best interests at heart and those of the organization. Maxwell (2013) refers to
these as “people development” and “production” leaders, respectively. Similarly,
superior persons embody humanity, ren, which applies not only to regard for
individuals and organizations, but for Confucius, also community and the state. A
person of humanity is “relational”—other oriented—with respect to thoughts,
actions and emotions (George 2003).
A key foundation of ren is the “golden rule.”10
Tsze-kung said, “What I do not wish men to do to me, I
also wish not to do to men.” The Master said, “Ts'ze, you
have not attained to that.”
Confucius goes on to say that without ren, a person cannot behave with propriety
and therefore cannot be superior.
9
Confucian disciples in later years following the sage’s death began to talk of the cardinal
virtues in terms of the Five Constants—ren, yi, li, zhi, and xin—along with other virtues.
10
Buddha preached this around the time of Confucius as well.
14
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 15 頁，共 37 頁
The Master said, “If a man be without the virtues proper
to humanity, what has he to do with the rites of
propriety?”
Confucius postulates that one cannot rule a large country unless concern for
humanity is taken into account. This originally applied only to family relationships,
and to some extent to communities.
The Master said, “To rule a country of a thousand
chariots, there must be reverent attention to business, and
sincerity; economy in expenditure, and love for men; and
the employment of the people at the proper seasons.”
The Master said, “A youth, when at home, should be filial,
and, abroad, respectful to his elders. He should be
earnest and truthful. He should overflow in love to all,
and cultivate the friendship of the good. When he has time
and opportunity, after the performance of these things, he
should employ them in polite studies.”
2. Humility
Transformational leaders reject leadership traits which are authoritative,
aggressive, overly-confident, arrogant and self-righteous; in short, command and
control attributes (Burns 1978). Humility attracts dedicated followers because the
leader is genuine and authentic. Ren demands that the superior person not only act
with humanity, but that they are humble. Superior persons know that being virtuous
speaks for itself through proper actions; there is no need to display one’s ability for
command and control.
15
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 16 頁，共 37 頁
Yen Yuan said, “I should like not to boast of my
excellence, nor to make a display of my meritorious
deeds.”
The Master said, “Is he not a man of complete virtue, who
feels no discomposure though men may take no note of
him?”
The Master said, “I will not be afflicted at men's not
knowing me; I will be afflicted that I do not know men.”
Confucius added that in addition to being humble, superior persons must be
respectful, kind and just.
The Master said of Tsze-ch'an that he had four of the
characteristics of a superior man in his conduct of himself,
he was “humble; in serving his superior, he was
respectful; in nourishing the people, he was kind; in
ordering the people, he was just.”
3. Heart/Mind (xin)
Transformational leadership recognizes that leaders must behave affectively
or emotionally on the one hand, and rationally or mindfully on the other: the
heart/mind dichotomy (Kotter 2012). Allowing either the heart or the mind to reign
will lead to imbalance and then dysfunction. There must be balance. Xin captures
this duality in the superior person: “The heart/mind thinks rationally, feels
emotionally, passes value judgments on all object of thought and feeling, and
initiates active responses in line with these judgments” (Eno 2012). Nevertheless,
transformational leaders are expected to be passionate in their pursuit of excellence.
Energy, enthusiasm, high spirits and zeal are hallmarks of the transformational
16
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 17 頁，共 37 頁
approach. Confucius, by contrast, considers passion to be dysfunctional as it clouds
or drives out reason.
The Master said, “I have not seen a firm and unbending
man.” “Ch'ang,” said the Master, “is under the influence
of his passions; how can he be pronounced firm and
unbending?”
The Master said, “The cautious seldom err.” The Master
said, “The superior man wishes to be slow in his speech
and earnest in his conduct.”
Chi Wan thought thrice, and then acted. When the Master
was informed of it, he said, “Twice may do.”
The Master said, “Rarely has anyone missed the mark
through self-restraint.”
The Master said, “If the scholar be not serious, he will not
call forth any veneration, and his learning will not be
solid.”
In Confucianism, when the superior person behaves virtuously, his/her actions will
be the right ones.11 When the transformational leader behaves virtuously, his/her
actions may not always be the right ones. Why? As will be discussed below, the
transformational leader is taught to behave with great passion (Kouzes and Posner
2012), while the superior person acts much more rationally.
4. Right/Righteousness (yi )
11
Often, Confucius contrasts the superior person with the “mean” or small person to further
distinguish proper from improper behavior.
17
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 18 頁，共 37 頁
Transformational leaders, like the superior person, strive to make their
actions morally correct (Bass 2005). Knowing what is right or being righteous is yi,
a complement to ren. Yi supposes morality that guides choice.
The Master went out, and the other disciples asked,
saying, “What do his words mean?” Tsang said, “The
doctrine of our master is to be true to the principles of our
nature and the benevolent exercise of them to others, this
and nothing more.”
Yi goes hand in hand with the ability to determine right from wrong, or good from
bad, zhi. Zhi applies not only introspectively to the superior person, but also serves
as a standard against which to judge the actions of others.
The Master said, “Look at the means he employs, observe
the sources of his conduct, examine what gives him
comfort—where can he hide?”
The Master said, “At first, my way with men was to hear
their words, and give them credit for their conduct. Now
my way is to hear their words, and look at their conduct.
It is from Yu that I have learned to make this change.”
5. Trustworthiness/Faithfulness (xin)
Xin also refers to promise keeping—reliability for dealings with others, but
also unwavering devotion to principle (Galford and Drapeau 2011). Keeping one’s
word is key to the transformational leader and superior person.
The Master said, “Hold faithfulness and sincerity as first
principles.”
18
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 19 頁，共 37 頁
Chi K'ang asked how to cause the people to reverence
their ruler, to be faithful to him, and to go on to nerve
themselves to virtue. The Master said, “Let him preside
over them with gravity; then they will reverence him. Let
him be filial and kind to all; then they will be faithful to
him. Let him advance the good and teach the incompetent;
then they will eagerly seek to be virtuous.”
Master
you
said,
“Trustworthiness
is
close
to
righteousness.”
The Master said, “I do not see how a man can be
acceptable who is not trustworthy in word?”
6.
Truthfulness (zhēnxiàng)
Speaking the truth is a foundation of transformational leadership as it is for
Confucius. Public management as a discipline is replete with references to the need
for truthfulness in the public arena. In one of the most highly regarded public policy
books, Aaron Wildavsky (1987) admonishes the civil servant to Speak Truth to
Power.
The Master said, “The object of the superior person is
truth.”
The Master said, “I do not know how a man without
truthfulness is to get on. How can a large carriage be
made to go without the crossbar for yoking the oxen to, or
a small carriage without the arrangement for yoking the
horses?”
19
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 20 頁，共 37 頁
The Master said, “What the superior man requires is that
in what he says there may be nothing inaccurate.”
The Master said, “They who know the truth are not equal
to those who love it, and they who love it are not equal to
those who delight in it.”
7. Valor (yong)
Transformational leaders, and perhaps all leaders, must embrace risk taking if
they are to realize their goals, vision or mission, especially when managing change.
This is especially difficult in moral decisions where doing the right thing can have
very negative consequences. The ancient Roman axiom, “Let justice be done
though the heavens fall,” is a classic statement of the principle. But leaders
recognize that if all decisions were risk free, there would be no need for leaders.
Yong is the recognition among superior persons that there are great risks in acting on
ethical principle, but risks must be accepted. In British Commonwealth countries,
public servants are challenged to offer their political “masters” “frank and fearless”
advice. That is the burden of leadership. Pursuit of what is right is a first principle.
The Master said, “To see what is right and not to do it is
want of courage.”
8.
Openness, transparency (tòumíngdù)
Transformational leaders and superior persons do not present one face to their
followers and another internally in their soul (George 2003). To be effective, leaders
must not mask or conceal their true feelings or thoughts. This is the essence of trust
(Galford and Drapeau 2011; Morgan 2008). Confucius advises against
“concealment.”
20
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 21 頁，共 37 頁
Tsze-kung said, “The faults of the superior man are like
the eclipses of the sun and moon. He has his faults, and all
men see them; he changes again, and all men look up to
him.
The Master said, “I am fortunate! If I have any errors,
people are sure to know them.”
The Master said, “Do you think, my disciples, that I have
any concealments? I conceal nothing from you. There is
nothing which I do that is not shown to you—that is my
way.”
The
Master
said,
“Fine
words,
an
insinuating
appearance, and excessive respect; Tso Ch'iu-ming was
ashamed of them. I also am ashamed of them. To conceal
resentment against a person, and appear friendly with
him; Tso Ch'iu-ming was ashamed of such conduct. I also
am ashamed of it.”
9.
Balance (pínghéng)
Advocates for transformational leadership caution that imbalance is the
enemy of effective leadership (George 2003). This is ironic in one sense in that they
promote passion as essential to leadership. The superior person, by contrast, seeks
pínghéng or the “mean” in the development of self-awareness, the exercise of
virtuosity and undertaking of moral action. The mean refers to balance.
21
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 22 頁，共 37 頁
“The superior man conforms with the path of the mean.”
The Master said, “Perfect is the virtue which is according
to the Constant Mean! Rare for a long time has been its
practice among the people.”
The Master said, “Where the solid qualities are in excess
of accomplishments, we have rusticity; where the
accomplishments are in excess of the solid qualities, we
have the manners of a clerk. When the accomplishments
and solid qualities are equally blended, we then have the
man of virtue.”
Filiality (xiao), Ritual (li), Propriety
Virtuous behavior must be adjudged against or validated by some standard,
principle, rule, or norm. One area where transformational leaders differ greatly from
the superior person in behaving morally, is they have no standard against which to
assess the correctness or excellence of behavior. Transformational leaders are
instructed to behave virtuously, but they have only the vagueness sense of what
virtue means when applied on a case-by-case basis. In contemporary society, ethics
or morality has become situational and hence subjective.
Public administration theorists have tried developing a values-based
approach to replace “objective” public administration grounded in law, rules and
regulations, but this has not caught on. A national conference 12 in the 1960s in
Minnowbrook, NY, tried to create the New Public Administration13 to articulate the
values civil servants should hold if they were to effectively serve the public. This
12
See conference summary at http://www.mmisi.org/pr/09_01/schaefer.pdf
This should not be confused with the New Public Management that holds that government
should be run along the same principles as business.
13
22
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 23 頁，共 37 頁
movement failed when it became evident that everyone had different values, and it
would be impossible to decide whose actions were proper.
Confucius overcomes this dilemma by admonishing superior persons to
behave in accordance with long-established (ancient) rules of filiality, ritual and
propriety. “Xiao is a traditional cultural imperative, obedience to parents, raised to a
subtle level of fundamental self-discipline and character building (Eno 2012).”
Filiality also has come to be applied to obedience or duty not just to parents but also
to certain individuals, community and the state. “Li refers to not only ceremonies of
grand religious or social occasions, but also to the institutions of political culture
and norms of proper everyday conduct. It was a manner of attaining full mastery of
the style or pattern (wen) of civilized behavior—the essence of civilization itself
(Eno 2012).”
Duke Ting asked, “How should a superior use
subordinates and how should subordinates serve their
superior?”
Confucius
replied,
“In
employing
subordinates, a superior should adhere strictly to
established procedures. Subordinates should devote
themselves sincerely to their superior's service.”
The Master said, “Respectfulness without the rules of
propriety, becomes laborious bustle; carefulness without
the rules of propriety, becomes timidity; boldness without
the rules
of
propriety
becomes
insubordination;
straightforwardness without the rules of propriety,
becomes rudeness.”
23
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 24 頁，共 37 頁
The philosopher Yu said, “In practicing the rules of
propriety, a natural ease is to be prized. In the ways
prescribed by the ancient kings, this is the excellent
quality, and in things small and great we follow them.”
Tsze-kung said, “What do you pronounce concerning the
poor man who yet does not flatter, and the rich man who
is not proud?” The Master replied, “They will do; but
they are not equal to him, who, though poor, is yet
cheerful, and to him, who, though rich, loves the rules of
propriety.”
Many have interpreted Confucian concepts of xiao and li to mean
subordinates owe blind obedience to those in authority. Not so. For Confucius,
obedience
to
authority
only
works
if
superior
persons—leaders
and
followers—behave within the rules for filiality and propriety, and with ren. The
concept of jing also applies: “Jing derives from the notion of alertness, and fusing
the attentiveness to task characteristic of a subordinate and respect for superiors that
such attentiveness reflects (Eno 2012).” Confucius, as with transformational leaders,
also sees this as a reciprocal interaction between leaders and followers.14 Confucius
actually permits, and seems to encourage, subordinates to question leaders, but in a
respectful way.
Tzu-lu asked him how to serve a superior. Confucius said,
“Don't oppose covertly. Resist overtly.”
14
Long after Confucius wrote, the relationship has morphed into the predominance of
obedience to authority.
24
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 25 頁，共 37 頁
Confucius said, “Were anyone to obey all the established
procedures when serving a superior, the subordinate
would be thought servile.”
Tsze-hsia said, “The superior man, having obtained their
confidence, may then impose labors on his people. If he
have not gained their confidence, they will think that he is
oppressing them. Having obtained the confidence of his
prince, one may then remonstrate with him. If he have not
gained his confidence, the prince will think that he is
vilifying him.”
The philosopher Yu said, “They are few who, being filial
and fraternal, are fond of offending against their
superiors. There have been none, who, not liking to offend
against their superiors, have been fond of stirring up
confusion.”
“The superior man bends his attention to what is radical.
That being established, all practical courses naturally
grow up. Filial piety and fraternal submission, are they
not the root of all benevolent actions?”
Knowledge (zhīshì) and Learning (xuéxí)
For Confucius, the best evidence that a superior person is learned is best
reflected in displays of virtuous behavior.
25
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 26 頁，共 37 頁
Tsze-hsia said, “If a man withdraws his mind from
the love of beauty, and applies it as sincerely to the love of
the virtuous; if, in serving his parents, he can exert his
utmost strength; if, in serving his prince, he can devote
his life; if, in his intercourse with his friends, his words
are sincere: although men say that he has not learned, I
will certainly say that he has.”
The Master said, “He who aims to be a man of complete
virtue in his food does not seek to gratify his appetite, nor
in his dwelling place does he seek the appliances of ease;
he is earnest in what he is doing, and careful in his speech;
he frequents the company of men of principle that he may
be rectified: such a person may be said indeed to love to
learn.”
Transformational leaders and Confucians realize an obligation to help
followers attain the same level of knowledge they themselves have attained.
Followers not only become better subordinates, but they also may develop into
leaders themselves.
The Master said, “Now the man of perfect virtue, wishing
to be established himself, seeks also to establish others;
wishing to be enlarged himself, he seeks also to enlarge
others.”
Successful organizations are learning organizations that have figured out
how to acquire, store and management information, and convert it into knowledge
26
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 27 頁，共 37 頁
(Covey 2013). Confucius understands the value and importance of organizational
learning.
The Master said, “If a man keeps cherishing his old
knowledge, so as continually to be acquiring new, he may
be a teacher of others.”
Transformational leaders and Confucians know when they possess
knowledge.
Real knowledge is to know the extent of one's ignorance.
The Master said, “Yu, shall I teach you what knowledge is?
When you know a thing, to hold that you know it; and
when you do not know a thing, to allow that you do not
know it; this is knowledge.”
Covey (2013) urges caution in making sure that leaders understand what
subordinates know, and subordinates know what the leader knows. Confucius
speaks to this.
Confucius told him, “Listen carefully and discard
unreliable information; be cautious when repeating the
rest and you will rarely get into trouble. Look around
carefully and overlook what it is dangerous to see; be
cautious when acting on the rest and you will rarely be
sorry. If your speech rarely gets you into trouble and your
actions rarely make you sorry, success as an official will
follow as a matter of course.”
27
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 28 頁，共 37 頁
Tsze-ch'in asked Tsze-kung saying, “When our master
comes to any country, he does not fail to learn all about
its government. Does he ask his information? or is it given
to him?”
Tsze-kung said, “Our master is benign, upright,
courteous, temperate, and complaisant and thus he gets
his information. The master's mode of asking information,
is it not different from that of other men?”
Learning for Confucius is a continuous endeavor allowing the learner to retain
knowledge already gained, then to add new knowledge (Senge 1990).
“From the age of fifteen on, I have been intent upon
learning; from thirty on, I have established myself; from
forty on, I have not been confused; from fifty on, I have
known the mandate of Heaven; from sixty on, my ear has
been attuned; from seventy on, I have followed my heart’s
desire without transgressing what is right.”
Self-awareness (zìwǒ yìshí)
The foundation of transformational leadership is to know yourself (George
2003). The ancient Greek aphorism, “know thyself,” is sometimes offered by
transformational leaders as their inspiration, even though Confucius preceded the
Greeks by two centuries. It is through self-awareness that the leader projects
virtue—honesty, humility, authenticity, genuineness and the like. It is also the way
the leader recognizes shortcomings, weaknesses and limitations that need to be
28
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 29 頁，共 37 頁
overcome. The superior person is forever introspective intent on growing and
developing from what he/she is now or will be.
The Master said, “When we see men of worth, we should
think of equaling them; when we see men of a contrary
character, we should turn inwards and examine
ourselves.”
The Master said, “Have no friends not equal to yourself.”
“When you have faults, do not fear to abandon them.”
Confucius sees self-awareness as a continuous, never ending process of
self-examination.
The philosopher Tsang said, “I daily examine myself on
three points: whether, in transacting business for others,
I may have been not faithful; whether, in intercourse
with friends, I may have been not sincere; whether I may
have not mastered and practiced the instructions of my
teacher.”
The quotation above also illustrates the importance of proper
instruction from “sage” or wise men.
Self-awareness involves learning as an end in itself, as it informs proper
behavior. As Confucius observes, learning may be done for the approval of others,
which for him lacks virtue.
The Master said, “In ancient times, men learned with a
view to their own improvement. Now-a-days, men learn
with a view to the approbation of others.”
29
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 30 頁，共 37 頁
Leadership (lǐngdǎo)
We laid out the superior person’s attributes which make him/her virtuous.
In this section, we show how the superior person leads or follows in the public arena.
It should be noted that pursuit of scholarship by the young was one way to gain
access to government. Confucius believed he was training disciples not only for
government positions, but also to pass his knowledge to scholars and teachers in
future generations. Confucius is not interested in the raw exercise of power to
achieve some goal or accomplish a mission. 15 Rather, he believes that through
proper behavior—the Dao—leaders will become role models for their followers.
Chi K'ang-tzu asked Confucius about the art of leadership.
Confucius said, “Leadership is a matter of correctness. If
you lead by going down a correct path yourself, who will
dare to take an incorrect one?”
“What Heaven has conferred is called The Nature; an
accordance with this nature is called The Path of duty;
the regulation of this path is called Instruction. The path
may not be left for an instant. If it could be left, it would
not be the path.”
Leaders who seek the good through the Dao will compel their followers by example
to be good as well. In so doing, virtuous leaders become beacons for others who
would be virtuous.
15
There is a decided parallel between Confucian instruction and Machiavelli’s work, The
Prince, although the aphorisms in this book are the polar opposite of the Analects. It is worth
comparing the two books.
30
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 31 頁，共 37 頁
The Master said, “He who exercises governance by
means of his virtue may be compared to the north polar
star, which keeps its place and the other stars pay
reverence for it.”
Confucius advised: “If your desire is for good, the people
will be good. The moral character of the ruler is the wind;
the moral character of those beneath him is the grass.
When the wind blows, the grass bends.”
Interestingly, transformational leaders are advised to develop a long-term
personal development plan so that they can perfect their skills (Cashman 2008).
Confucius might approve of this.
For Confucius, as observed above, societies and individual behavior make
sense only in the context of following clearly prescribed rules of correct behavior,
embodied in rituals and propriety.
Confucius said, “As long as a ruler follows procedures,
the populace will be easy to govern.”
Confucius said, “If an official can follow procedures and
be considerate, what other abilities could the official
possibly need? But if an official cannot operate in this
way, what use has the official for procedures?”
Confucius: “If their leaders cherish procedures, then the
populace will not dare to be disrespectful. If their leaders
cherish justice, then the populace will not dare to be
31
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 32 頁，共 37 頁
disobedient. If their leaders cherish truth, then the
populace will not dare to lie.”
“Chi
K’ang
Tzu
asked
Confucius
about
governance. Confucius answered, ‘To govern (cheng) is
to correct (cheng). If you set an example by being correct,
who would dare to remain incorrect?’”
Confucius makes clear that governance only works well if the leader,
superior person, behaves justly and fairly.
The Master said, “If a ruler really understands the
difficulties of rule, would not this understanding be
almost enough to produce success?”
The Master said, “If what a ruler says is good, it is of
course all right that the ruler should be obeyed. But if
what a ruler says is bad, would not obedience be almost
enough to produce failure?”
The Master said, “If the people be led by laws, and
uniformity sought to be given them by punishments, they
will try to avoid the punishment, but have no sense of
shame. If they be led by virtue, and uniformity sought to
be given them by the rules of propriety, they will have the
sense of shame, and moreover will become good.”
The Duke Ai asked, saying, “What should be done in
order to secure the submission of the people?” Confucius
replied, “Advance the upright and set aside the crooked,
32
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 33 頁，共 37 頁
then the people will submit. Advance the crooked and set
aside the upright, then the people will not submit.”
Confucius suggests that governance suffers when the virtuous efforts of
superior persons are thwarted by mean persons who have only their own interests at
heart. Transformational leaders would agree: the art of leadership is to transform
mean persons into virtuous ones (Bass 2005) for the benefit of the government.
The Master said, “There are those mean creatures! How
impossible it is along with them to serve one’s prince.”
Confucius seems to suggest that leaders not become bogged down in small
tasks, but rather focus on great ones. This aligns well with transformational
leadership which looks to be strategic, visionary, innovative, and in short “big
picture.”
Tsze-hsia, being governor of Chu-fu, asked about
governance. The Master said, “Do not be desirous to
have things done quickly; do not look at small advantages.
Desire to have things done quickly prevents their being
done thoroughly. Looking at small advantages prevents
great affairs from being accomplished.”
Confucius believed that the people were “perfectible.” Indeed, The Analects
is in part a textbook for doing just that. But Confucius also felt that it was obligatory
for leaders in government to “transform” the people into people of virtue. When this
is done, the leader has very little to do except lead by example. Transformational
33
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 34 頁，共 37 頁
leadership also mentions the obligation of leaders to transform subordinates (Bass
1985, 2005).
Change (biànhuà)
Confucius does not directly address change management in the Analects,
leading some analysts to conclude that Confucian philosophy was not really
associated with transformational leadership. But Confucius motivation for writing
The Analects and his career as a philosopher were totally consumed with bringing
change to ancient China. Confucius believed that contemporary Chinese society had
strayed away from the true path, dàolù (道路), and had become dysfunctional.
Confucius wanted to restore the old ways. The Analects can be viewed as a guide for
current and future leaders who were to be instructed in how to return to the Dao.
Confucius during his lifetime and for several centuries thereafter through his
disciples was unable to realize his dream of transformation. Ironically, after
centuries of neglect, Confucianism had a rebirth, becoming the foundation for
Eastern thought on ethical behavior. And, Confucianism persists to this day, and
might be enjoying a renaissance of his works.
A further irony relates to the Dao as advocated by Confucius. Although
Confucius and his disciples claimed to be drawing on ancient knowledge, many
scholars believe that much of what he said was his own insights about how society
and governance should work. No matter, what Confucius said is firmly embedded in
Eastern canon, and now embodied in transformational leadership in Western
culture.
34
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 35 頁，共 37 頁
CONCLUSION
Sam Crane—professor of ancient Chinese philosophy at Williams
College—offers a nice summary of Confucian thought that can serve as a
conclusion for this essay.
“Confucians believe that the virtuous should rule and they should rule by
means of the moral force of their conscientious and continuous performance of
virtue. They can't just rest on their reputations, though a well-earned reputation for
doing the right thing is important. They have to actually do the right thing, in
whatever circumstance they find themselves or, failing to do the right thing, they
must publicly recognize their failure and recommit themselves to doing the right
thing and do it. If the virtuous so rule, then, Confucians believe, political and social
order will be created and maintained. Something about the publicly observed
actions of virtuous leaders will inspire those of lesser moral accomplishments to
strive to better fulfill their social and familial duties.”16
16
A blog post by Sam Crane,
http://uselesstree.typepad.com/useless_tree/2012/01/charismatic-virtue.html
35
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 36 頁，共 37 頁
REFERENCES
Adair, John. Confucius on Leadership (2013).
Bass, Bernard. Leadership and Performance (1985).
Bass, Bernard. Transformational Leadership (2005)
Burns, James Mac Gregor. Leadership (1978).
Burns, James Mac Gregor. Transforming Leadership (2003).
Cashman, Kevin. Leadership from Inside Out (2008).
Covey, Stephen. The 7 Habits of Highly Effective People (2013).
Denhardt, Janet and Robert Denhardt. The New Public Service: Serving, Not
Steering (2011).
Eno, Robert. The Analects.
http://www.indiana.edu/~p374/Analects_of_Confucius_(Eno-2012).pdf
(2012).
Galford, Robert and Anne Drapeau. The Trusted Leader (2011).
George, Bill. Authentic Leader (2003).
Kotter, John. Leading Change (2012).
Kouzes, James and Barry Posner. The Leadership Challenge (2012).
Legge, James. The Analects.
http://old-site.clsp.jhu.edu/~yisu/files/cnfnl10u.pdf (1897).
Machiavelli, Nicolo. The Prince.
Mader, W.J. Confucius Said: A Management Book for the 21st Century (2011).
Maxwell, John. The 21 Irrefutable Laws of Leadership (2007).
Maxwell, John. The Five Levels of Leadership (2013).
Morgan, Nick. Trust Me: The Four Steps to Authenticity and Charisma (2008).
Morse, Ricardo S. and Terry F. Buss. Innovations in Public Leadership
Development (2008).
36
T&D 飛訊第 198 期
發行日期：103 年 09 月 01 日
第 37 頁，共 37 頁
Morse, Ricardo S. and Terry F. Buss. Transforming Public Leadership for the 21st
Century (2007).
Rindova, Violina P. and William H. Starbuck. “Ancient Chinese Theories of
Control.”
Journal of Management Inquiry (1997, 6: 144-159).
Rudnick, Stefan. Confucius in the Boardroom (1999).
Senge, Peter. The Fifth Discipline (1990).
Wildavsky, Aaron. Speak Truth to Power (1987).
37