USE OF RETRACTORS AND EXPLAINERS IN CHARISMATIC RHETORIC:
THE CASE OF FOUR AMERICAN PRESIDENTS
Iaroslav Kovalchuk
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USE OF RETRACTORS AND EXPLAINERS IN CHARISMATIC RHETORIC: THE CASE OF
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Iaroslav Kovalchuk
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Use of retractors and explainers in charismatic rhetoric: the case of four
American presidents
O uso de retratores e explicadores em retórica carismática: o caso de quatro
presidentes americanos
Iaroslav Kovalchuk
Faculty of Human and Social Sciences, University of the Algarve, Faro, Portugal
[email protected]
Abstract
This study examines the use of retractors and explainers in prepared political
speeches of American charismatic presidents. It is based upon the results of
psychological analysis of 24 speeches of John F. Kennedy, Ronald Reagan, Barack
Obama, and Gerald Ford. The research shows that certain differences may be
found in the use of explainers and retractors not along the axis “Charismatic
versus Non-Charismatic Presidents”, but with regard to their party affiliation.
Rhetoric of Democratic presidents (Kennedy, Obama) is characterized by a more
explanatory communication style than of Republican ones (Reagan, Ford), which
results in respective differences in the use of explainers. As for the retractors, all
the four presidents under study tend to use the category moderately, which
reveals them as emotionally controlled individuals, able to reconsider their
decisions if necessary.
Keywords: charisma; psychological analysis; retractors; explainers.
Resumo
Este estudo analisa o uso de retratores e explicadores em discursos políticos
preparados de presidentes americanos considerados carismáticos. O estudo
baseia-se em resultados da análise psicológica de 24 discursos de John F.
Kennedy, Ronald Reagan, Barack Obama, e Gerald Ford. A pesquisa mostra que
podemos encontrar diferenças no uso de explicadores e retratores não
relativamente ao eixo "Presidentes Carismáticos versus Não-Carismáticos", mas
em relação à sua filiação partidária. A retórica dos presidentes democratas
(Kennedy, Obama) é caracterizada por um estilo de comunicação mais explicativo
do que a dos republicanos (Reagan, Ford), o que resulta em diferenças respectivas
no uso de explicadores. Quanto aos retratores, todos os quatro presidentes em
estudo tendem a usar a categoria de forma moderada, o que os caracteriza como
indivíduos emocionalmente controlados e capazes de reconsiderar as suas
decisões, se necessário.
Palavras-chave: carisma; análise psicológica; retratores; explicadores.
Dos Algarves: A Multidisciplinary e-Journal no. 22 - 2013
ISBN 2182-5580 © ESGHT-University of the Algarve, Portugal
Iaroslav Kovalchuk
1. Theoretical bridge between charisma and personality research
The concept of charisma is used in everyday communication to denote personal
magnetism of an individual, his or her ability to be liked and followed. These
characteristics of charismatic individuals are believed to contribute to the emergence
and effectiveness of leadership. However, leaders should not necessarily be
charismatic in order to become successful and conversely – the attribution of charisma
to a person does not guarantee that the latter will manage to be an efficient leader.
For instance, Mumford et al. (2008) classify outstanding leadership into three types:
charismatic, ideological, and pragmatic, while arguing that different contexts may
require different behavioral patterns and different sets of psychological traits from a
leader.
In fact, charisma should not be perceived exclusively as a set of personality
attributes. Klein and House (1995) regard charisma as an interplay between specific
personality qualities of the leader, particular followers’ characteristics and context
features, which favorably influence the establishment of charismatic relationship
between leader and followers. Similarly, Conger and Kanungo (1989) define
charismatic leadership as an influence process consisting of leader, followers and
context and dynamic relationship between them. Such an approach explains why the
same behavioral patterns of the leader may be perceived differently by various
audiences and why the charismatic leader may have ups and downs in his or her
political career though the public image undergoes little change.
Although charisma is a complex phenomenon based on the interdependence of
three structural components – leader, followers and context, specific personality
characteristics of the leader play an especially important role in forging a charismatic
appeal. House (1977) claims that these characteristics include the qualities of
dominance, self-confidence, a need to influence, and a strong conviction in the moral
righteousness of leader’s beliefs (Conger, 1989: 30). According to Bass (1989),
charismatic leaders generally exhibit such attributes as extraordinary emotional
expressiveness, self-determination, and freedom from internal conflict (Bass, 1989:
46). Conger and Kanungo (1989) claim that the distinguishing attributes of charismatic
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
leaders include vision, emotional expressiveness, articulation skills, high activity level,
and exemplary behavior (Conger and Kanungo, 1989: 325).
Being the advocates of treating charisma as a constellation of personality
attributes, Verčič and Verčič (2011) argue that a charismatic leader is usually perceived
as “a good communicator, inspiring and visionary, honest and reliable, attracting other
people’s attention and dominant in uncertain situations” (Verčič and Verčič, 2011: 17).
In this regard an important contribution to specifying the charismatic attributes
has been made by the Global Leadership and Organizational Behavior Effectiveness
(GLOBE) Research Program. As a result of the longitudinal and cross-cultural study, the
scholars have determined two groups of charismatic attributes: universal and culturally
endorsed. Thus, in universal terms charismatic leaders are supposed to be motive
arousers,
encouraging,
communicative,
trustworthy,
dynamic,
positive,
and
motivational; to have foresight and to build up followers’ confidence (Den Hartog et
al., 1999: 250). On the other hand, such attributes as being enthusiastic, risk-taking,
ambitious, self-effacing, unique, self-sacrificial, sincere, sensitive, compassionate and
willful are culturally endorsed (Den Hartog et al., 1999: 250).
Most personality attributes, some of them – in a direct way, others – more
implicitly, are manifested in the communication style of political leaders. For instance,
a number of studies (Pennebaker and King, 1999; Fast and Funder, 2008) demonstrate
reliable correlations between word use and the Big Five personality dimensions (both
observed behavior and self-reports of extraversion, neuroticism, agreeableness,
conscientiousness, and openness to experience). Moreover, even function words,
which contain rather limited semantic loading, may reveal additional information on
speaker’s gender, age, emotional state and personality characteristics. Articles,
prepositions, and conjunctions may carry an array of psychological meanings and set
the tone for social interactions (Chung and Pennebaker, 2007: 355). These
observations are united under the heading of a linguistic style – the way how people
put their words together to create a message (Chung and Pennebaker, 2007: 345).
In our current research we will try to study the use of relevantly narrow linguistic
categories of explainers and retractors in political discourse and to observe how these
categories correlate with politicians’ behavioral patterns. We presume that the
speeches of charismatic John F. Kennedy, Ronald Reagan and Barack Obama have
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Iaroslav Kovalchuk
equally moderate mean scores of retractors and equally low scores of explainers,
which are discourse indicators of the ability to reconsider previous decisions and nonrationalizing verbal style respectively. At the same time we expect the speeches of
non-charismatic Gerald Ford to contain different mean scores of retractors and
explainers comparing to the charismatic American presidents under study.
2. Methodology
Retractors and explainers are defined as separate categories of psychological
analysis by Walter Weintraub (Weintraub, 2003). At its core psychological analysis is
based upon quantitative content analysis. All the categories are manually coded and
the frequency is calculated per 1000 words. High or low scores of each category allow
researchers to make conclusions about specific psychological characteristics of a
speaker. The validity of observations increases when the sample of unprepared
speeches is taken for the analysis.
According to Weintraub, retractors, also referred to as adversative expressions,
are used to “weaken or reverse previously spoken remarks” (2003: 144). The most
commonly used retractor is the conjunction but. Other examples of the category in our
research include expressions such as however, nevertheless, although, though, despite
the fact that, on the other hand, on the other end, contrary to, while (in the meaning of
though), and words yet and still at the beginning of the sentence.
Weintraub (2003) argues that “the frequent use of retractors suggests a difficulty
in adhering to previously made decisions and imparts a flavor of impulsivity to the
speaker's style” (Weintraub, 2003: 144). Conversely, the moderate use of retractors is
associated with “the ability to reconsider a decision after it has been made”
(Weintraub, 2003: 148). We presume that the speeches of charismatic leaders should
be characterized by moderate frequencies of retractors as a charismatic politician is
not expected to reveal high levels of impulsivity. At the same time rational use of
retractors provides opportunity for maneuvering, that is to say – reconsideration of
decisions if it is necessary. Therefore, we hypothesize that:
Hypothesis 1: The speeches of charismatic presidents will include equally moderate
frequencies of retractors.
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
In contrast to retractors, Weintraub (2003) defines explainers as “words and
expressions that suggest causal connections or justification of the speaker's thoughts
and actions” (Weintraub, 2003: 145). While the most widely used explainer is because,
in our research, under the category of explainers, we also count the following
expressions: that is why, therefore, since and for in the meaning of because, so in the
meaning of therefore.
High explainers score indicates “a didactic, apologetic, or rationalizing verbal
style”, whereas speakers who use few explainers tend to be perceived as “categorical
and dogmatic” (Weintraub, 2003: 145). Taking into account that, according to Le Bon
(1952), communication of a charismatic leader should be based on emotional
expressiveness rather than on rationalizing style and he or she should “never attempt
to prove anything by reasoning” (Le Bon, 1952: 51), we may presume that:
Hypothesis 2: The speeches of charismatic presidents will include equally low
scores of explainers.
3. Sample
Our research is based upon the corpus of 24 political speeches, which includes 18
speeches of three most charismatic U.S. presidents over the last 50 years (John F.
Kennedy, Ronald Reagan, and Barack Obama), and 6 speeches of the least charismatic
American president of the period – Gerald Ford.
The time span of 50 years is taken due to two reasons. First of all, rapid
development of mass media significantly influenced American presidential rhetoric
since every president’s statement and remark are subject to media scrutiny, at the
same time allowing politician to appeal to larger audiences and build up his or her
public image more efficiently. All in all, Seyranian and Bligh (2008) argue that the
modern presidency in the USA has begun with Franklin D. Roosevelt and it may be
briefly characterized by historical changes such as increased media exposure and
public scrutiny, the beginning of oral traditions, more frequent speeches, and changes
in presidential motives and qualifications (Seyranian and Bligh, 2008: 61). Secondly,
due to the dynamic development of language itself, the modifications of presidents’
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Iaroslav Kovalchuk
linguistic style may occur regardless of their personality characteristics, thus the
selection of smaller time period ought to minimize the influence of this factor.
The selection of presidents is based on the previous studies on charismatic
leadership. First of all, Fiol et al. (1999) conducted study in which eight reputable
political historians were asked to identify all 20th century American presidents through
Ronald Reagan as charismatic, non-charismatic, or uncertain, based on their
relationships with cabinet members. The charismatic leadership was defined by the
effects the leader had on his followers: whether the latter had high degree of loyalty,
identified with the leader, emulated his values and goals, saw him as a source of
inspiration, derived a sense of high self-esteem from their relationship and had
exceptionally high degree of trust in the leader (Fiol et al., 1999: 466). Thus, Theodore
Roosevelt, Franklin Roosevelt, John F. Kennedy, and Ronald Reagan were identified as
the most charismatic 20th century American presidents.
Seyranian and Bligh (2008) extended Fiol et al.’s (1999) study, having included 17
presidents beginning with Theodore Roosevelt (1901) through George W. Bush (2000).
Ten reputable political scientists were asked to provide generalized ratings of
presidential charisma in two ways: as a dichotomous measure (to categorize a
president as charismatic or non-charismatic), and as a continuous measure (to rate him
on scale from 1 (not charismatic at all) to 7 (extremely charismatic)). According to this
study, presidents that scored highest in charisma (who were in the top 75% quartile of
ratings across presidents, or above 4.63) included Theodore Roosevelt (M=6.30),
Franklin Roosevelt (M=6.10), John F. Kennedy (M=5.60), and Ronald Reagan (M=5.50),
while the remainder of the presidents [except for Bill Clinton with M=4.90] received
lower charisma ratings (Seyranian and Bligh, 2008: 60).
As for Barack Obama’s attributed charisma, to our knowledge, its empirical
assessment is provided in Williams et al.’s (2012) study. At the final stage of the
research the scholars asked 414 undergraduate and graduate students from four
American universities to rate Barack Obama’s attributed charisma, employing eight
items from the Multifactor Leadership Questionnaire. This approach is primarily
associated with assessing leader’s influence on followers through emotional
attachment and identification with the vision. For each charismatic item a seven-point
scale ranging from 1 (strongly disagree) to 7 (strongly agree) was employed. With
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
reliability coefficient of 0.93, the aggregated data evaluated Barack Obama’s attributed
charisma at the level of 5.14.
Based on the aforementioned data, we may conclude that personalities of John F.
Kennedy, Ronald Reagan and Barack Obama form a specific cluster in terms of
perceptions of charisma (with mean indices of 5.60, 5.50 and 5.14 respectively), which,
coupled with their belonging to the same historical period, increases the validity of
general assumptions that may be drawn while analyzing the specific features of their
verbal communication styles.
As for the least charismatic American president over the period of the last 50
years, Seyranian and Bligh (2008) measure the level of Gerald Ford’s charisma as the
lowest one with a mean index of M=2.20.
Moreover, the selection of political speeches for analysis is not random either.
Both Ronald Reagan and John F. Kennedy had six speeches included into the index of
the 100 most significant American political speeches of the 20th century (Lucas and
Medhurst, 2009). Since we have not found any comparison studies of different
speeches of Barack Obama and Gerald Ford with regard to their “greatness”, we have
selected six speeches of each president on the basis of two criteria: 1) they should be
well known and represent major landmarks in their presidential career; 2) the types of
audiences, speeches and context variables should match the ones of John F. Kennedy
and Ronald Reagan.
In order to control the influence of contextual variables on the category
frequencies, we have grouped all the speeches into six sets. Thus, Speech 1 set
includes first inaugural addresses of the four presidents.
Speeches delivered before politicians took presidential office, namely, “Houston
Ministerial Association Speech” by John F. Kennedy, “A Time for Choosing” by Ronald
Reagan, “A More Perfect Union” by Barack Obama, and “Remarks upon Accepting the
1976 Republican Presidential Nomination” by Gerald Ford, belong to Speech 2 set. It
should be noted that “A Time for Choosing” was delivered by Ronald Reagan in 1964
while supporting presidential candidate, but not while running as one. Another
reservation concerns the candidate speech by Gerald Ford, which was delivered when
the latter was an incumbent president.
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Iaroslav Kovalchuk
Speech 3 set contains speeches delivered abroad: “Ich bin ein Berliner” by John F.
Kennedy, “Brandenburg Gate Address” by Ronald Reagan, “A New Beginning” by
Barack Obama, and “Address before the Conference on Security and Cooperation in
Europe” by Gerald Ford.
In Speech 4 set we have included speeches either delivered abroad or at least
indirectly connected with foreign policy issues: “Cuban Missile Crisis Address” by John
F. Kennedy, “40th Anniversary of D-Day Address” by Ronald Reagan, “Nobel Prize for
Peace Acceptance Speech” by Barack Obama, and “Remarks Announcing a Program for
the Return of Vietnam-Era Draft Evaders and Military Deserters” by Gerald Ford.
Speech 5 set contains university commencement addresses by John F. Kennedy,
Barack Obama and Gerald Ford. As no commencement address by Ronald Reagan was
included into the index of the 100 most significant American political speeches of the
20th century, we have referred his “Evil Empire” speech, delivered at the Association of
Evangelicals, to this set.
Speech 6 set may be called Miscellaneous, as it includes “Civil Rights Address” by
John F. Kennedy, “Shuttle “Challenger” Disaster Address” by Ronald Reagan,
“President-Elect Victory Speech” by Barack Obama and “The 1975 State of the Union
Address” by Gerald R. Ford.
The inclusion of diverse speech material which “cuts across a period of time,
across different substantive topics, across different audiences, and inside or outside of
the leadership group” is designed to help us determine the stability of certain
leadership traits (Hermann, 2003: 206). Moreover, Hermann (2003) claims that “by
examining different aspects of the context such as the topic, audience, and whether
the focus of attention is on the domestic or international domains, we can learn if
leaders are sensitive to certain cues in their environment and not to others”
(Hermann, 2003: 206). It also gives the researcher insights into whether leaders may
adapt their public image to the situation they find themselves in, in which way they are
likely to change their behavior and what contextual features may cause such change
(Hermann, 2003: 206).
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
4. Results and discussion
In political communication retractors are used for several reasons: to reverse
previously spoken statements and present an alternative viewpoint; to “achieve
"pseudo-consensus", an apparent but not genuine agreement with another speaker's
point of view” (Weintraub, 2003: 144); and to add up stylistic coloring to political
speeches through producing contrast, also referred to as antithesis (Den Hartog and
Verburg, 1997; Clark and Greatbatch, 2011). The examples of retractors in our research
would be:
(1) Freedom has many difficulties and democracy is not perfect. But we have
never had to put a wall up to keep our people in (Kennedy, “Ich bin ein Berliner”).
(2) We must maintain defenses of unassailable strength. Yet we seek peace; so
we must strive to reduce arms on both sides (Reagan, “Brandenburg Gate Address”).
(3) In Ankara, I made clear that America is not – and never will be –at war with
Islam. We will, however, relentlessly confront violent extremists who pose a grave
threat to our security… (Obama, “A New Beginning”).
Our research demonstrates that the speeches of John F. Kennedy, Ronald Reagan
and Barack Obama contain similar mean frequencies of retractors: 8.3, 6.6 and 8
respectively (see Diagram 1), which generally supports our Hypothesis 1.
Another observation concerns the fact that the frequencies of retractors do not
fluctuate drastically in the speeches of charismatic presidents, which displays the
category as less context-dependent. For instance, in 10 out of 18 speeches the
frequencies of retractors range from 5 to 8. We consider this range as a moderate use
of the category, based on the mean score of retractors for seven post-World War II
American presidents, which was measured at the level of 6.5 units per 1000 words
(Weintraub, 2003). In our research standard deviation is 2.2 for John F. Kennedy, 2.5
for Ronald Reagan and 1.3 for Barack Obama while the range indices are 6.6, 6.6 and
3.3 respectively.
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Iaroslav Kovalchuk
Diagram 1. Overall mean frequencies of retractors (units per 1000
words)
10
8
6
4
2
0
8,3
6,6
8
7,6
Kennedy
Reagan
Obama
Ford
It should be noted that the overall mean score of retractors in the speeches of
Gerald Ford is similar to those of charismatic presidents – 7.6. However, the range of
scores (8.2) and standard deviation (3) is bigger for Gerald Ford in comparison with
charismatic presidents.
John F. Kennedy used retractors most frequently in his “Inaugural Address” – 12.3
whereas the lowest score of the category for him is in “Cuban Missile Crisis Address” –
5.7 (see Diagram 2). Again, relatively low use of retractors in the latter may be
perceived as the intention to position oneself as a decisive leader who has a clear
solution for the security crisis the nation faces and who will adhere to the course of
action he announces.
Ronald Reagan used retractors most frequently in “Shuttle “Challenger” Tragedy
Address” – 10.7, while his “Inaugural Address” contains the lowest score of the
category – 4.1.
The mean scores of retractors in the speeches of Barack Obama have insignificant
variance. The only exception is “Nobel Prize for Peace Acceptance Speech”, which has
the highest score of the category – 10.1. The lowest score of the category is 6.8 units
per 1000 words in “President-Elect Victory Speech”.
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
Diagram 2. Frequencies (axis 0Y) of retractors in different speech sets (axis 0X)
14
12
Kennedy
10
8
Reagan
6
Obama
4
Ford
2
0
1
2
3
4
5
6
Gerald Ford uses retractors least frequently in “1975 State of the Union Address” –
3.6, whereas the highest score of the category is in his “Inaugural Address” – 11.8
Contrary to the scores of charismatic presidents, Gerald Ford uses retractors
moderately (from 5 to 8 units per 1000 words) only in two speeches out of six under
study.
It should be noted that all the four presidents under study have practically
identical scores of retractors in the speeches delivered abroad. Thus, the mean score
of the category in “Ich bin ein Berliner” (Kennedy) is 7.1, in “Brandenburg Gate
Address” (Reagan) – 7.7, in “A New Beginning” (Obama) – 7.3 and in “Helsinki Address”
(Ford) – 8.2. Moderate use of retractors in the above mentioned speeches adds more
diplomatic style to the communication of the presidents, allowing them to make clear
statements, at the same time leaving space for maneuvering. When there arises a
need to deliver a sharp and explicit message to the international community, the
amount of retractors decreases, as it was the case with “Cuban Missile Crisis Address”
by John F. Kennedy (mean score of retractors – 5.7) and “40th Anniversary of D-Day
Address” by Ronald Reagan (mean score of retractors – 4.3).
In general, our findings prove that the speeches of both charismatic and noncharismatic leaders have similar frequencies of retractors and that these frequencies
are moderate. A rather stable use of the category by charismatic speakers indicates
that the category does not heavily depend on the context in which a speech is uttered.
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Iaroslav Kovalchuk
At the same time the moderate use of retractors characterizes American presidents as
emotionally controlled personalities, able to reconsider their own decisions in case of
necessity.
Unlike retractors, explainers are employed to rationalize the message,
demonstrate causal connections between particular statements or events and justify
one’s point of view. The examples of explainers we have identified in our research
include:
(4)
Freedom in America is indivisible from the freedom to practice one's
religion. That is why there is a mosque in every state in our union (Obama, “A New
Beginning”).
(5)
Our problems are manmade; therefore, they can be solved by man
(Kennedy, “American University Commencement Address”).
(6)
Since this is Notre Dame I think we should talk not only about your
accomplishments in the classroom, but also in the competitive arena (Obama,
“Commencement Address at the University of Notre Dame”).
(7)
Divided there is little we can do – for we dare not meet a powerful
challenge at odds and split asunder (Kennedy, “The Inaugural Address”).
(8)
So as we begin, let us take inventory (Reagan, “The Inaugural Address”).
The mean score of explainers for the first seven post-WWII American presidents is
5.5 units per 1000 words (Weintraub, 2003). The average frequency of explainers in
the speeches of John F. Kennedy is 4.9, in the speeches of Ronald Reagan – 2.9 and in
the speeches of Barack Obama – 5.2 (see Diagram 3).
The overall mean score of explainers in the speeches of Gerald Ford is 3.1. At the
same time all of his speeches under study contain lower than average level of
explainers. We may conclude that charismatic leaders should not avoid reasoning in
the speeches, though it was suggested by Le Bon (1952). Contrarily, it is more
important to balance emotional and rational components of the speeches in the way
that one’s communication style does not sound too apologetic or too categorical. The
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
speeches of John F. Kennedy and Barack Obama demonstrate such moderation,
whereas Ronald Reagan and Gerald Ford project an image of more rigid and decisive
politicians, for whom decision-making process does not encompass extensive
discussions.
Diagram 3. Overall mean frequencies of explainers (units per 1000
words)
6
5
4
3
2
1
0
5,2
4,9
Kennedy
2,9
3,1
Reagan
Obama
Ford
Such a consistent pattern made us shift perspective on the presidential discourse.
We assume that the above mentioned personality traits may be linked not to the
charismatic appeal of politicians, but to their party affiliation. A number of empirical
studies (e.g. Benoit, 2004; Jarvis, 2004; Cho and Benoit, 2005; Cho and Benoit, 2006)
prove that partisanship influences political discourse features not only in terms of its
ideological content, but also in terms of deeper psycholinguistic structures. According
to Jarvis (2004), Democrats need to be “careful with their discourse in the face of
many loosely organized cadres of heterogeneous interests” whereas Republicans are
“constrained in a different manner, required to bespeak more confident claims prized
by a more unified group” (Jarvis, 2004: 414).
Benoit’s (2004) study reveals even more differences in Democratic versus
Republican discourse. For instance, Democratic candidates discuss policy more than
Republicans whereas Republicans tend to devote more attention to character in their
speeches. Such a division is natural as Republican politicians “embrace the philosophy
of a limited role for government and of heightened individual responsibility” (Benoit,
2004: 92). That is why they stress governmental policy less than Democratic politicians,
who often look to the government to solve societal problems (Benoit, 2004: 92). In
terms of policy there are typically Democratic (education, health care, environment)
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Iaroslav Kovalchuk
and typically Republican (taxation, foreign policy, crime) issues. In terms of character
utterances the Democrats employ more empathy words (e.g., cares for voters,
compassionate, understands voters), and linguistic units associated with drive (e.g.,
hard-working, determined, strong). On the other hand, Republicans use more words
related to sincerity (e.g., consistency, honesty, trust) and morality (e.g., ethical, just,
moral).
Since Republicans are less prone to debate over their policy issues and they often
appeal to the moral values of the followers, which are dogmatic and do not require
extensive explication, the representatives of this party will tend to be less explanatory
in their communication style. Hence Ronald Reagan and Gerald Ford, who were
Republican American presidents, have lower scores of explainers in their speeches
than Democratic John F. Kennedy and Barack Obama.
Furthermore, based on the results of our study, we may conclude that there exists
a certain dependence of the frequency of explainers on the context, in which a speech
is delivered. In its turn, it influences the variance of explainers mean scores. For
example, the mean scores of explainers in the speeches of John F. Kennedy range from
1.6 in “Cuban Missile Crisis Address” to 7.4 – in “Houston Ministerial Association
Address” (see Diagram 4).
Diagram 4. Frequencies (axis 0Y) of explainers in different speech
sets (axis 0X)
8
7
6
5
4
3
2
1
0
Kennedy
Reagan
Obama
Ford
1
2
3
4
5
6
In “Cuban Missile Crisis Address” the last thing one would expect from the
president of a nation under threat is an explanatory style. Due to the fact that the
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
threat is evident and tangible and the president is expected to come up with a detailed
plan of actions, but not their justification, the amount of explainers in this speech is
low. On the other hand, “Houston Ministerial Association Address” is not a presidential
speech, but an address of a candidate who runs for the highest office in the country.
Since John F. Kennedy was the first Catholic to be elected as U.S. president, in his
address he tried to explain why his religious beliefs should not influence the final vote
and perception of his candidacy by the public. It correlates with a high score of
explainers in this speech.
Ronald Reagan uses explainers less frequently than John F. Kennedy and Barack
Obama. The mean scores of explainers in his speeches range from 0 in “Shuttle
“Challenger” Tragedy Address” to 4.8 – in “Brandenburg Gate Address”. “Shuttle
“Challenger” Tragedy Address” is the only speech out of 24, in which no explainer was
used. It may be explained with a small length of the speech (652 words) and extreme
emotionality of the address as the president was speaking to the public not on some
political or security issues, but rather he was trying to re-unite the nation in the
moment of grief and express his condolences to the families who were directly
affected by the tragedy. Contrarily, “Brandenburg Gate Address” contains Reagan’s
appeal to demolish Berlin Wall and re-unite East and West Germany into one country,
so relatively high score of explainers in this speech may be viewed as an attempt to
justify these actions.
In terms of explainers use, the style of Barack Obama is similar to the one of John
F. Kennedy. The mean scores of the category in his speeches range from 2.4 in “A
More Perfect Union” address to 7.4. – in “Nobel Prize for Peace Acceptance Speech”.
Awarding Barack Obama with Nobel Prize for Peace after less than one year of his
tenure as U.S. president and in the times, when American troops were still at war in
two countries, caused a lot of controversy and debate worldwide. Frequent use of
explainers may be interpreted both as an indicator of apologetic style and an attempt
to justify U.S. military actions on the world scene. The low amount of explainers in “A
More Perfect Union” address, to a certain degree, would contradict our previous
conclusions on John F. Kennedy. In many ways “A More Perfect Union” address is
similar to Kennedy’s “Houston Ministerial Association Address”. It is a candidate
speech, in which Barack Obama mentions that his candidacy is not the most
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Iaroslav Kovalchuk
conventional one (he was the first Afro-American to be elected as U.S. president), and
in which he comments on the racially charged remarks of his former pastor Jeremiah
Wright, which put the whole Obama’s campaign under threat (Rowland and Jones,
2011). However, instead of rationalizing and explanatory style, Barack Obama shifts
the focus of his speech and appeals to the need of re-uniting all the Americans,
regardless of the color of their skin or ethnicity, in the face of economic crisis and
social security issues. Hence, employment of such a strategy may justify a low amount
of explainers in this speech.
In the speeches of Gerald Ford the mean scores of explainers range from 1 in
“Republican Nomination Address” to 5.2 – in “Commencement Address at Chicago
State University”. It should be noted that all three university commencement
addresses in our research have identically moderate scores of explainers (Kennedy –
5.8, Obama – 5.3 and Ford – 5.2).
To sum up, our findings do not support Hypothesis 2. Though overall mean scores
of explainers and respective scores in majority of speeches are slightly lower than in
the speeches of the first seven post-WWII U.S. presidents, no clear connection
between charismatic appeal and the use of explainers may be traced. Moreover, on
the basis of explainers analysis we may draw a clear distinction between Gerald Ford
and Ronald Reagan versus Barack Obama and John Kennedy. The latter two tend to
use explainers moderately, trying to balance emotionality and rationality in their
speeches, while Reagan and Ford are more categorical, which is rooted in specific
features of Republican party discourse. In general, we may say that explanatory or
apologetic style is not typical of charismatic leaders. However, the frequencies of
explainers may be modified in accordance with the purpose of a speech or its topic. It
may be interpreted as a capability of charismatic politicians to accommodate their
communication style to the final aims of communication and as an indicator of
charismatic leader’s rhetorical flexibility.
5. Conclusion
Our research demonstrates that all the four presidents under study have
moderate scores of retractors, which may be explained with their desire not to express
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
high levels of impulsivity, at the same time leaving some space for verbal maneuvering.
A slight difference in the use of retractors by charismatic presidents concerns their
relatively stable frequencies across different contexts, whereas for non-charismatic
Gerald Ford the index of standard deviation is higher.
The differences in the use of explainers by the four presidents are more explicit.
However, they are revealed not in the framework of charismatic versus noncharismatic rhetoric, but in the opposition of John F. Kennedy and Barack Obama
versus Ronald Reagan and Gerald Ford. Democratic presidents tend to use explainers
more frequently since Democratic discourse in general is characterized by a more
explanatory communication style. Nevertheless, charismatic presidents are more
skillful in adjusting their use of explainers to the context requirements than noncharismatic Gerald Ford.
References
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Saddam Hussein and Bill Clinton. Ann Arbor: The University of Michigan Press.
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WILLIAMS, E. A., PILLAI, R., DEPTULA, B. and LOWE K. B. (2012). The effects of crisis, cynicism
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attributed charisma in the 2008 presidential election. The Leadership Quarterly 23, 324341.
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IAROSLAV KOVALCHUK is a PhD student in Language Sciences at the University of the Algarve,
Portugal, for the period of 2010-2013. The title of his research is “Linguistic component of a
charismatic leader appeal”. His academic interests include verbal behaviour of political leaders,
critical discourse analysis, psychological content analysis, personality assessment, charismatic
leadership and impression management techniques. The major focus of his research is
American presidential discourse. He has presented results of his research at several
international academic conferences in Poland, Sweden, and Portugal. In 2009, Iaroslav
Kovalchuk graduated from the National University of Ostroh academy (Ukraine) with an MA in
English and Literature, and served an internship as Canada Ukraine Parliamentary Program
coordinator.
Submitted: October 2012.
Accepted: January 2013.
| 22
Free relative clauses: a new teaching approach for Italian learners of Latin and
German
Orações relativas sem antecedente: uma nova abordagem de ensino para estudantes
italianos de Latim e Alemão
Sabrina Bertollo • Guido Cavallo
Department of Linguistics, University of Padova, Padova, Italy
[email protected] • [email protected]
Abstract
In this work we would like to present a new teaching proposal for free relative
clauses, with a comparative perspective. The proposal is addressed to Italian
learners of Latin and German with an advanced knowledge of the morpho-syntax
of the three languages and tries to combine the theories proposed within the
Generative Grammar framework with the needs which emerge from school
teaching experiences. In the path we will develop, the students will be led to get
familiar with this construction, first in the native language and then in German
and Latin. Students will be stimulated to analyze the syntactic constraints, which
are different in the three languages, so as to develop a new grammatical
awareness and be in a position to correctly handle complex syntactic structures
such as free relative clauses. This will be helpful to adequately cope with this
specific construction, but it will also improve the overall skills.
Keywords: free relative clauses; Italian; Latin; German; syntax; teaching.
Resumo
Neste trabalho vimos propor uma nova técnica de ensino das orações relativas
sem antecedente ou livres de uma perspetiva comparativa. A proposta dirige-se a
italianos, alunos de Latim e Alemão, com conhecimentos avançados de
morfosintaxe nas três línguas e procura combinar as teorias propostas no seio do
enquadramento da gramática generativa com as necessidades que surgem da
experiência de ensino na escola. No caminho delineado, os estudantes serão
orientados para ganhar familiaridade com esta construção, primeiro na sua
língua-mãe e depois em Alemão e Latim. Os estudantes serão incentivados a
analisar os constrangimentos sintáticos, que são distintos nas três línguas, de
forma a desenvolver consciência gramatical ficando aptos a manusear
corretamente estruturas sintáticas complexas como as orações relativas sem
antecendente. Esta técnica será útil para lidarem adequadamente com esta
construção específica, e desenvolverá as suas competências em geral.
Palavras-chave: orações relativas sem antecedente; italiano; latim; alemão;
sintaxe; ensino.
Dos Algarves: A Multidisciplinary e-Journal no. 22 - 2013
ISBN 2182-5580 © ESGHT-University of the Algarve, Portugal
Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
1. Introduction
The aim of this paper is to propose a cross-linguistic teaching approach for free
relative clauses, a topic which isn’t organically treated by school grammars, but needs
to be explicitly taught, as school teaching experiences clearly show. The path we will
develop has been specifically planned for Italian High School students with an
advanced knowledge of the morpho-syntax of the languages we will take into account
(Latin and German). As the mother tongue of our students is Italian, we have thought
of a path which takes into consideration the specific syntactic behavior of this
construction in the three languages and we will adopt a comparative perspective.
We will first present the syntactic behavior of free relative clauses in Italian, by
providing the students with examples in their native language to elicit grammaticality
judgments and improve their familiarity with the construction. In the second part of
the proposal we will present the syntactic behavior of free relative clauses in Latin and
German to lead the students to compare the three languages and identify the different
constraints which can be at work. We will show that this method turns to be very
useful also in the active competence of the foreign languages: the new grammatical
awareness will stimulate the students to increase their degree of control in the L2.
For our teaching proposal to be effective, it is essential that our target students
have reached a very high level in the knowledge of the syntax of Latin and German,
which enables them to tackle this theme with all the necessary tools and allows them
to cope with a critical approach to the grammatical question.
The goals we expect to attain are:
o Correct comprehension/formation of free relative clauses in German
o Correct comprehension/translation of free relative clauses from Latin and
German into Italian
The goals we have planned to achieve require that a series of cognitive processes
take place. As for comprehension the students are led to analyze the structures of the
target language, so that they fully understand the message without any ambiguity.
Moreover the students are led to correctly learn the formation rules of free relative
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Sabrina Bertollo • Guido Cavallo
clauses in German and to enrich their active syntactic competence on the basis of a
new awareness. Finally the students are stimulated to make comparisons between
languages and are led to initiate a complex transfer process, which is unavoidable to
consciously translate from a language into another. Once they are aware of the specific
constraints of the three languages, they have to appropriately deal with the syntactic
structures and be prepared to model their translation according to the requirements
of the target language.
2. Theoretical framework
Free relative clauses have been thoroughly described by scientific literature and
different models have been proposed. Within the Generative Grammar framework,
one of the most relevant was outlined by Bresnan & Grimshaw (1978): they claimed
that the wh- pronoun which introduces the free relative clause is an argument of the
matrix clause. As we will see further on in the discussion, this approach is problematic
as it doesn’t account for the so-called non-matching cases, this means the instances in
which the Case required by the matrix verb is not the same displayed by the wh- item.
Another proposal - cited in Pittner (1991) – and first made up by Haider in 1988
supposes that the wh- item is both the complement of the matrix clause and the
relative clause introducer. This approach has been partly unconsciously assumed by
many Italian school grammars, which often refer to this kind of wh- pronouns as mixed
pronouns being allegedly simultaneously both the complement of the matrix verb and
a relative pronoun. Once again the main problem with this theoretical proposal is that
it doesn’t account for the non-matching cases displayed by languages, such as German
and Latin, with a rich case morphology. Groos & van Riemsdijk (1981) are probably the
first who hypothesize that there must be a null, silent element governed by the matrix
clause, while the wh- pronoun is part only of the secondary clause. The model we will
adopt is the one adapted by Benincà (2010) on the basis of Cinque (2003), which is one
of the further developments of Groos & van Riemsdijk (1981):
(i) [DP_ [CP who/what THAT you saw]].
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This model combines two main requests: it guarantees scientific accuracy and, if
we adequately simplify it, it can serve as a basis to develop effective teaching paths.
We will now explain the model we have sketched above. Free relative clauses are
introduced by a pronoun (chi in Italian) which can be syntactically compared to the
English pronoun who. This pronoun always appears at the beginning of the relative
clause, in the left periphery, which, in the Generative Grammar framework, is referred
to as CP layer. The model contains also the THAT item, which accounts for the
possible/obligatory presence of this element immediately after the relative pronoun.
Though this is not superficially visible in Italian – which is a language that doesn't
display morphological distinction for Case – the introducer of the relative clause is
assigned by the embedded verb both a Case and a thematic role. This is evident if we
consider languages such as Latin or German, which have morphological marks for Case:
German:
(1)
Ich lade ein, wem
I
invite,
du geholfen hast.
whoDAT you helped
have2nd SING
Latin:
(2)
Cui permittit necessitas sua, circumspiciat exitum mollem
WhoDAT allows necessity his, looks-for
exit
easy
“The person to whom his personal situation allows it, has to look for an
easy way to go out of this”
(Seneca, Epist. 70, 24)
The German and the Latin examples clearly show that the pronoun has received its
Case from the verb of the subordinate clause. If the Case were assigned by the matrix
verb, the pronoun would bear Nominative for the Latin clause and Accusative for the
German. As we will see further on in the paper, the wh- item always has to meet the
syntactic requirements of the embedded verb and can never remain silent.
Another element of the model is still to be explained: DP_. It indicates the nominal
phrase, to which the entire relative clause refers. Intuitively, as headed relative clauses
always have an antecedent, free relative clauses have one, as well, but the key point is
that it remains silent, it is not lexicalized, though it is still there at an abstract level.
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Sabrina Bertollo • Guido Cavallo
Thinking of a silent antecedent is not only epistemologically correct, but it also has
the advantage of being very helpful in teaching this syntactic construction; in enables
us, in fact, to ask our students to insert the lacking antecedent in all the cases in which
the target language has to lexicalize it, while the source language doesn't need to.
Complex sentences in Latin and German that contain free relative clauses with
formation rules which differ from Italian are very difficult for our students to process.
Learning that this construction works differently in the three languages and specifying
what these constraints actually are, enable the learners to adopt new strategies to
correctly understand, translate and produce in the foreign language.
Before turning to the actual teaching proposal, however, it is essential to overtly
make clear (first of all for teachers) what the syntactic configurations for free relative
clauses in the three languages are, so as to effectively focalize on the difficulties
students have to face. Naturally, when the formation rule of the clause is identical in
the native and in the foreign language, the students don't encounter any specific
difficulties, whereas they tend to wrongly extend the pattern of the native language to
the foreign.
2.1 Free relative clauses in Italian
Italian introduces free relative clauses with the wh- item chi, which is not
morphologically distinct for Case: it can serve as subject, object, or other complements
(in case of matching of the P which governs the wh-):
(3)
Invito
a cena chi
mi è simpatico
Invite1st SING to dinner, whoNOM to me is nice
(4)
E’ venuto anche chi
hai
avvertito ieri
Is come also whoACC have2nd SING told
(5)
Mario parla solo con chi
yesterday
gli conviene parlare
Mario talks only with whoIND him it is worth to talk
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Italian can form the semantic equivalent of a free relative clause with a light headed
relative clause, whose head is either a pronoun (colui/quello – with no deictic content)
or a noun generically referring to a human being such as la persona. The relative clause
is introduced by the complementizer CHE, or, in some specific contexts, it can be
introduced also by the relative pronoun IL QUALE. The relative pronoun CUI can be
used only in indirect cases1.
(6)
a. La persona che ha sbagliato
deve pagare
The person who has made a mistake must pay
b. Chi ha sbagliato
deve pagare
Who has made a mistake must pay
Although there is not always full semantic equivalence between light headed
relative clauses (6a) and free relative clauses (6b), the opportunity to transform free
relatives into headed relatives has to be borne in mind, since – under certain syntactic
configurations – it is the only possible solution to translate German and Latin
sentences into Italian.
We will now see in detail what the Italian possible configurations are. As our
purpose is to concretely deal with this construction, whenever it is problematic, we will
just concentrate on the configurations in which the constraints are not the same in the
three languages. In this respect, the contrastive perspective and the comparison with
the native language are particularly helpful.
The Italian possible configurations are:
1
OK Quello che ha chiesto il suo aiuto non prende mai bei voti
*Quello il quale ….
OK Colui che / colui il quale (very formal, less formal in the plural: coloro i quali)
OK La persona che…
* La persona la quale
OK La persona con la/della/ per la/ … quale ho parlato ….
OK La persona con/ di/ per/…cui
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Sabrina Bertollo • Guido Cavallo
I. Both silent antecedent and wh- in a structural Case (not necessarily the same)
(7)
Chi
vuole del pane lo chieda
WhoNOM wants some bread it ask
(8)
Ho
incontrato chi
ha parlato alla conferenza
Have1st SING met ØACC whoNOM has talked at the conference
In (7) there is perfect matching between the Case required by the matrix verb and the
Case governed by the embedded verb: they both require the Nominative. As happens
in most languages there is no problem in forming free relative clauses under these
conditions. In (8) there is no Case matching: the silent antecedent bears Accusative
Case, while the wh- is the subject of the relative clause and has therefore Nominative
Case. This configuration is fully grammatical in Italian and would be generally accepted
by speakers.
II. P which governs a silent antecedent and wh- in a structural Case
(9)
Ho
dato
il libro a
chi
lo ha chiesto
Have1st SING given the book to Ø whoNOM it has asked
(10)
Ho
comprato il regalo
Have1st SING
per
chi
mi ha offeso
bought the present for Ø whoNOM me has injured
Also this type is always possible in Italian.
III. Silent antecedent in a structural Case and wh- governed by a P
(11)
*Ho
incontrato
Have1st SING met
per chi
lavori
ØACC for whoIND.OBJ work2nd SING
With the exception of a very specific range of cases, which we will not cope with in
this paper, this configuration is always impossible in Italian. We won’t discuss the
reasons why this type is ungrammatical either2. For teaching purposes the important
2
For a detailed discussion on this see Bertollo and Cavallo (2012).
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aspect is that (11) is only grammatical if it is rewritten as in (12) (or in an equivalent
manner):
(12)
Ho incontrato la persona per cui lavori
It is necessary to bear in mind the ungrammaticality of this type, since it is
responsible for most translation and production errors in Latin and German.
2.2 Free relative clauses in Latin and German
The configuration in I (always possible in Italian if the antecedent and the relative
pronoun bear either the Nominative or the Accusative) regardless of the fact they have
the same thematic role, is possible in German if
-
the silent antecedent is inanimate:
(13)
Ich mache was mir am besten gefällt
I do only what medat best like
(14)
Ich lese nur was mein Lehrer mir empfohlen hat
I read only what my teacher me recommended has
-
The silent antecedent is animate provided that there is matching between its
Case and the Case of the pronoun:
(15)
Wer mir geholfen hat ist ein guter Kerl
Who me helped has is a good boy
(16)
Heute habe ich getroffen wen du gestern schon getroffen hattest
Today have1st SING I met whoACC you yesterday already met had
This configuration is possible in Latin as well, even though it is generally avoided if
the antecedent is animate and there is no Case matching between the pronoun and
the antecedent.
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Sabrina Bertollo • Guido Cavallo
The configuration in II (silent antecedent governed by a preposition and relative
pronoun as subject or direct object of the clause) is widespread in Italian, is
grammatical in Latin, although it is very rare, and is impossible in German. This is
instantiated by the following sentences:
(17)
(18)
Ho
comprato un regalo per chi ha vinto
Have1st SING bought
a present for who has won
Scipio cum
paulo ante nominavi interiit
quos
Scipio with Ø whoACC short ago cited
died
Scipio died with those I mentioned a short time ago
(B. Afr. 96.2)
(19)
*I habe ein Geschenk gekauft, für wer
I have a
gewonnen hat
present bought for whoNOM won
has
We won’t further discuss why this configuration is marginally possible in Latin. It is
however interesting to note that the ungrammaticality of (19) seems to be due to a
morphological reason: while in Italian the wh- doesn’t display any morphological
distinction for Case, in German it does and wer can in no way serve as the superficial
object of für which governs the Accusative. This seems to be confirmed by the [animate] case of German, in which a similar configuration is possible with was being
both the Accusative and the Nominative form (see Pittner 1991 and Vogel 2001 for a
detailed discussion on this).
The configuration in III (the silent antecedent is either the subject or the object of
the main clause, while the relative pronoun is governed by a preposition or bears a
Case different from Nominative or Accusative) is basically always impossible in Italian,
but is fully grammatical in Latin and German, as shown by examples such as:
(20)
Cui
permittit necessitas sua, circumspiciat exitum mollem
WhoDAT allows necessity his,
looks-for
exit
easy
“The person to whom his personal situation allows it, has to look for an easy
way to go out of this”
(Seneca, Epist. 70, 24)
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(21)
Ich lade ein, wem
I
(22)
invite,
du geholfen hast
whoDAT you helped
have2nd SING
*Ho incontrato con chi sei uscito ieri
Have met Ø with whom are gone-out yesterday
This means that Latin and German can avoid to lexicalize their antecedent in a
structural Case, also when the wh- bears an oblique Case (a prepositional phrase in
Italian). The antecedent is somehow recovered in the syntactic chain and the sentence
correctly works.
Table 1: Formation rules of free relative clauses
P which governs
Silent antecedent
a silent antecedent and
in structural Case and
wh- in structural Case
wh- governed by a P
Italian
YES
NO
Latin
RARE
YES
German
NO
YES
In table 1 we will sum up the contrasts we would like to focus on in our teaching
proposal.
2.3 The teaching proposal
After having shown what the distribution of this construction in the three
languages is, we will now turn to the actual teaching proposal, which will be developed
on the basis of a comparison between the three languages.
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Sabrina Bertollo • Guido Cavallo
2.3.1 The most common errors
School teaching experience and, more specifically, a corpus formed by translation
and analysis tasks submitted to Italian High School students show that the errors made
by learners are very consistent and can be traced back to the contrasts between the
three languages which have been outlined in the previous sections.
Translation and production difficulties of Italian students are basically due to the
over-extension of the requirements and constraints of their mother tongue to the
target languages:
-
They form free relative clauses in German according to the pattern in II (first
column of the table): they keep the antecedent silent, though it is governed by
a preposition, and they introduce the relative clause either with the case
governed by the preposition or with the case required by the embedded verb.
It is in any case wrong.
-
They wrongly translate into Italian the pattern in III (second column): they
cannot correctly put into their native language a configuration in which the
silent antecedent bearing a structural case has not been lexicalized. This means
that they do not manage to insert the lacking antecedent and they look for lastresort solutions, which try to reproduce the Latin syntax, though the result is
not grammatical in Italian. In most cases they fail to understand the meaning of
the sentence.
-
They have a poor production of free relative clauses in German: students tend
to over-extend the constraints of Italian to German and avoid to produce free
relative clauses which would instead be grammatical. This is of course not a
real error if the student succeeds in finding an alternative solution. However, in
the light of a general improvement of active competences, this goal can be
legitimately pursued.
We claim that these errors are mainly due to at least three co-occuring factors,
which aren’t generally considered by many teaching approaches: there is no
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
systematic reflection on free relative clauses; an in-depth knowledge of the syntax of
free relative clauses lacks; an effective contrasting analysis is absent. These aspects will
be crucial in the teaching proposal we will outline.
2.3.2 What is a relative clause and how does it work?
First of all we will briefly remind the students the basic structure of a relative
clause. The only way to tackle with a theme of such a complexity is to “decompose”
the syntactic structure of relative clauses and to analyze their characteristics.
A relative clause is a subordinate clause that expands a nominal phrase. By means
of a relative clause two sentences which share an argument can be joined:
a. Gianni had an idea
b. The idea convinces everybody
a+b The idea that Gianni had convinces everybody
This argument receives two thematic roles, which are assigned by two different
verbs. In a. idea is the object of the verb to have, while in b. the argument idea is the
subject of the verb to convince. Free relative clauses differ from headed relative
clauses in that they have no visible antecedent.
The mechanisms which are at work with free relative clauses are, however, not
that different: they are formed by two units, which are syntactically different, though
interdependent. The arguments selected by the verbs separately receive a thematic
role and a Case. The separateness of these mechanisms is a basic assumption of the
path we will propose. We will assume that the students have already been made
familiar with these notions before starting a syntactic reflection on free relative
clauses.
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Sabrina Bertollo • Guido Cavallo
2.3.3 The actual proposal
To raise the students’ familiarity with the construction, we will first provide them
with some simple Italian free relative clauses and ask them to gradually reconstruct
the thematic grids of both the matrix and the embedded verb.
A sentence of this type can be:
(23)
Ho
invitato chi è venuto
Have1st SING invited who is come
Intuitively, the sentence (which displays a mismatch between the Case of the
silent antecedent and the Case of the wh-) is fully grammatical for any speaker of
Italian. An overt analysis is therefore necessary to come to a syntactic awareness
which otherwise would lack.
After stimulating the students’ own reflection, we will come to the following
analysis3:
(24)
IoAgent Nom ho invitato ØThemeAcc [SUB4 chi Agent Nom è venuto]
The explicit syntactic analysis will clearly show the unaware mechanisms we apply
whenever producing or even processing a free relative clause. The emergence of these
mechanisms can lead the students to critically use these cognitive tools for the foreign
languages as well.
The analysis in (24) is the starting point which will be crucial for the following steps
of our path.
We will now go back to the two series of errors we have outlined, which are due
to the contrasts we have formalized in table 1. We will now analyze them separately
on the basis of the new grammatical awareness of (24).
3
For the present proposal we will adopt the following simplification of the classification of thematic
roles: we will use the labels Agent and Patient only for verbs of process which involve volition and a
change of state; Theme will be used for direct objects of verbs which do not involve an Agent.
4
SUB stands for “subordinate clause”
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
Silent antecedent in a structural Case and wh- in oblique case
Most problems in this type of configuration emerge whenever a student has to
translate from Latin and German into Italian. Italian learners of Latin (a language which
in Italy is learned mainly passively and therefore is not spoken, but translated)
generally make two errors when they put the sentence into Italian. A possible
stimulus-sentence is the following:
(25)
Ille amat cui odio est
(adapted from Terence)
He loves to-whom in hate is
If the students have to deal with a sentence such as (25), in which the Accusative
antecedent is not lexicalized, two typically wrong translations they propose are:
(26)
*Egli ama a
chi è in odio
He loves to whom is in hate
(27)
*Egli ama chi è in odio
He loves who is in hate
In (26) the student chooses to maintain the Case of Latin and doesn’t insert the
antecedent, which is compulsory in Italian, being this configuration ungrammatical. In
(27) the student recovers the government of the Italian verb “amare” (to love), but the
case required by the embedded verb is not signaled in any way and the interpretation
is therefore wrong.
Following the model we proposed in (24), (25) can be analyzed as in (28):
(28)
IlleExperiencer Nom amat ØTheme Acc [SUB cui Experiencer Dat odio est]
The Case and the thematic role of the null antecedent are selected by the verb
“amare” and are easily recoverable in the context.
Table 1 warns us that it is impossible to translate the sentence into Italian without
integrating the silent antecedent. Its lexicalization is compulsory.
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Sabrina Bertollo • Guido Cavallo
It is anyway sufficient to take only one logical step: we only need to insert the
pronoun (our head) in the Case required by the structure in (28).
We easily come to (29):
(29)
IlleExperiencer
Nom amat
eum [SUB cui Experiencer Dat odio est]
The translation is now straightforward. The most effective translation strategy is
to form a light-headed relative clause, which is, as already noted, semantically very
similar to a free relative clause.
(30)
Egli ama colui a cui è in odio
This sentence, which is stylistically not particularly good, is at least grammatically
correct and guarantees that the meaning of the sentence has been captured. Now a
better version can be quickly found: e.g. “Egli ama chi lo odia”.
When the silent antecedent is in the Nominative, the situation is even more
complicated for students:
(31)
Cui permittit necessitas sua circumpspiciat exitum mollem
They tend to translate this sentence as in (32):
(32)
*A chi permette la sua condizione, cerchi una facile via di uscita
Once again, if there is no systematic grammatical reflection, the student tends to
preserve the structure of the target language and confines Italian into syntactic
possibilities that it does not have.
(31) poses a further problem, which is common also to German: that is the
prolepsis of the relativizer. The relative clause comes first and the matrix comes after
it. This is particularly frequent in Latin with the Nominative as a silent antecedent, but
can be found in German also when the antecedent is in the Accusative or Dative form 5.
5
Wem du geholfen hast, ist sicherlich ein guter Kerl.
Wen du geliebt hast, den liebt jetzt Maria
Wer wenig Geld hat, *(dem) verleihe ich gerne mein Auto.
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
This has nearly always pragmatic implications, which we do not necessarily aim to recreate in the target language, being it probably too difficult for our target students.
In Italian the antecedent must obligatorily precede the wh- and the sentence in
(31) can be correctly translated as:
(33)
Colui al quale la propria condizione lo permette, cerchi una facile via
d’uscita
To come to this result we need to make some logical steps explicit, so that the
reconstruction of the sentence according to the syntax of Italian is easy attainable. (31)
has therefore to be analyzed as (34):
(34)
Ø i [SUB Cui permittit necessitas sua], circumspiciat exitum mollem
This enables the student to make visually clear that something is lacking in front of
the wh-. The further step will be the co-indexation of the silent antecedent with the
verb it agrees with in the matrix clause:
(35)
Ø i [SUB Cui permittit necessitas sua],circumspiciati exitum mollem
If we now use the scheme in (18) we will have the following result:
(36)
ØiAgentNom
[SUB
CuiBeneficiaryDat permittit
necessitas
suaInitiatorNom],
circumspiciati exitum mollemThemeAcc
The lexicalization of the antecedent is the following step:
(37)
IsiAgentNom
[SUB
cuiBeneficiaryDat
permittit
necessitas
suaInitiatorNom],
circumspiciati exitum mollemThemeAcc
The correct translation is the one we proposed in (33).
If we want to optimize the potentialities of our method, however, we have to
show that it is effective in learning a spoken language such as German. This language
doesn’t display any peculiarity with respect to this construction, if we compare it with
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Sabrina Bertollo • Guido Cavallo
Latin, therefore the pattern we proposed for Latin can be totally applied to German,
with no substantial modification.
Sentences such as (38) can be analyzed exactly as we did for Italian and Latin (39):
(38)
Ich liebe wem du geholfen hast
I love whoDAT you helped have2nd SING
(39)
IchExperiencerNom liebe ØThemeAcc [SUB wemBeneficiaryDat du geholfen hast
The sentence can be easily translated if we insert the antecedent, which in
German can remain silent: “Io amo la persona a cui hai prestato aiuto”.
German poses however a further problem of different nature: Italian native
speakers tend to avoid the formation of sentences such as (38) because they extend
the constraints of Italian to the target language. Ideally, if we aim at making the
students reach proficiency, and be aware of all the possible structures of the foreign
language and actually produce them, we can adopt the same pattern we outlined in
(36-37) and just reverse it.
Starting from an Italian input such as (40), table 1 suggests that in German we can
simply delete the antecedent and the sentence can be re-analyzed and translated into
German as in (41):
(40)
IoAgent Nom ho incontrato coluiThemeAcc [SUB a cuiBeneficiaryAcc hai
I
have met
the guy
to whom
have2ndSing
dato il libro
given the book
(41)
IchAgent Nom habe ØThemeAcc getroffen [SUB wemBeneficiaryDat du das Buch
gegeben hast
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
Antecedent governed by a preposition and wh- in a structural Case
We will repeat as (42 - 43) the sentences which exemplify the typical contrasts of
this configuration:
(42)
Ho comprato un regalo per chi ha vinto
(43)
Scipio cum quos paulo ante nominavi interiit (B. Afr. 96.2)
(44)
*Ich habe ein Geschenk gekauft für wer gewonnen hat
As the type in (43) is very rare in Latin, we will focus on the problem posed by
German. The most common error this time is the inappropriate formation of sentences
such as (44) because this type is possible in Italian. Students do not take into
consideration that in German morphology blocks this configuration.
For this type of error we have to carefully analyze the structure of the sentence in
Italian and use the model in (24):
(45)
IoAgentNom ho comprato un regaloPatientAcc per ØBeneficiaryAcc6 [SUB chiAgentNom
ha vinto
The table 1 reminds us that this configuration is impossible for German: the silent
antecedent must be somehow lexicalized. This can be done for instance through a light
head.
Starting from (42), we insert the antecedent where required, before we translate
into German:
(46)
IoAgentNom ho comprato un regaloPatientAcc per coluiBeneficiaryAcc [SUB che ha
vinto
To form a correct sentence in German of course the student has to pay attention
to the Case that the preposition governs. Per is translated into German as für and
requires the Accusative Case.
6
We assume that the P in Italian always assigns the Accusative Case on the basis of Caha (2009).
|40
Sabrina Bertollo • Guido Cavallo
(47)
IchAgentNom
habe
ein
GeschenkPatientAcc
gekauft
für(+ACC)
denjenigenBeneficiaryAcc, [SUB derAgentNom gewonnen hat
Naturally in (47) we cannot use the wh- item we normally use for free relative
clauses, because this is not a free relative clause but a light-headed relative clause,
which requires the insertion of the d- pronoun.
3. Final remarks
The teaching proposal we have outlined offers many advantages. It enables the
students:
-
To deeply understand the syntactic structures of their own language: they have
learned them spontaneously and use them with no awareness.
-
To think of the universality of the syntactic structures used by the human brain
to process language.
-
To further develop their awareness of the differences among natural languages
in the domain of syntax and in its interface with morphology.
-
To pass from a language to another with a new grammatical awareness.
What led us to think of this teaching proposal is the idea that the methods we use
to learn languages must have solid epistemological bases. The aim is to offer the
students the tools to reflect on human languages, so as to improve their skills and,
indirectly, to develop their cognitive abilities as well. Generative Grammar combined
with formal syntax is, in our opinion, a very robust basis from which we can start to
create an effective path which improves the grammatical reflection of the students
and pursues the goals we have prefixed. Previous attempts of joining formal syntax
and, more specifically, Generative Grammar with school teaching practice have been
successfully carried out for instance with headed relative clauses, interrogative clauses
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
in English, negation in German, the concept of transitivity, the noun phrase in French7.
Further research and future developments
The work we are carrying out is in fieri. Much research still has to be done also in
the field of teaching, specifically in the perspective of combining formal linguistics and
school praxis. As the path we have proposed is specifically restricted to a small chunk
of the bigger topic of free relative clauses, many other themes could be developed and
proposed in the schools. We will just cite some of these possible developments:
-
Teaching proposals on the pragmatics of free relative clauses (how to translate
a focused or topicalized free relative clause into the target language). The
problem emerges both for Latin and German.
-
Reflections on how to teach the type with the [- animate] antecedent.
References
BENINCÀ, P. (2010). Headless relatives in some Old Italian varieties. In R. D’Alessandro, A.
Ledgeway, I. Roberts, Syntactic variation. The dialects of Italy. Cambridge, UK: Cambridge
University Press.
BENINCÀ, P. (in press). Lexical complementisers and Headless Relatives. In L. Brugè et alii
(Eds.), Functional Heads. New York & Oxford: Oxford University Press.
BERTOLLO S. & CAVALLO G. (2012). The syntax of Italian free relative clauses. Generative
Grammar in Geneva, 8: 59-76.
BOSCO COLETSOS, B., COSTA M., (2004). Italiano e tedesco: un confronto. Torino: Edizioni
dell’Orso, 33-116; 263-279.
BRESNAN, J. E GRIMSHAW, J. (1978). The Syntax of Free Relatives in English. Linguistic Inquiry,
9, 331-91
CAHA, P., (2009). The nanosyntax of Case. PhD Thesis. University of Trømso.
CINQUE, G., (2003). The Interaction of Passive, Causative, and ‘Restructuring’ in Romance. In
C.Tortora, The Syntax of Italian Dialects, New York: Oxford University Press.
DUDEN, (2006). „Die Grammatik”, vol. 4, Mannheim: Dudensverlag.
7
A good number of articles on these topics have appeared in the on-line journal Grammatica e
Didattica which was started in 2007 within the Department of Linguistics at the University of Padova
(Italy).
Articles
are
downloadable
for
free
from
the
website:
http://www.maldura.unipd.it/ddlcs/GeD/quaderni_grammatica_didattica.html.
Further
projects
involving the introduction of Generative Grammar schemas into school practice have been led by Prof.
Renato Oniga at the University of Udine (Italy).
|42
Sabrina Bertollo • Guido Cavallo
GROOS, A. & VAN RIEMSDIJK, H. (1981). Matching Effects in Free Relatives. In A. Belletti, L.
Brandi & L. Rizzi (Eds.), Theory of Markedness in Generative Grammar. Pisa: Scuola
Normale Superiore, 171-215.
GROSU, A. (1996). The Proper Analysis of Missing P Free Relative Constructions. Linguistic
Inquiry, 27, 257-93.
LARSON, R. K. (1987). Missing Prepositions and the Analysis of English Free Relative Clauses.
Linguistic Inquiry, 18, 239-66.
PITTNER, K., (1991). Freie Relativsätze und die Kasushierarchie. In E. Feldbusch, R. Pogarell & C.
Weiß (Eds.), Neue Fragen der Linguistik. Akten des 25. Linguistischen Kolloquiums,
Padeborn. Tubinga: Max Niemeyer, 341-347.
STERNFELD, W. (2005). Do Free Relative Clauses Have Quantificational Force? In H.-M.
Gaertner, S. Beck, R. Eckardt, R. Musan, B. Stiebels (Eds.), Between 40 and 60 Puzzles for
Krifka.http://www.zas.gwz-berlin.de/publications/40-60-puzzles-forkrifka/pdf/sternefeld.pdf
VOGEL, R. (2001). Case conflict in German free relative constructions. An optimality theoretic
treatment. In G. Müller e W. Sternfeld, Competition in Syntax. Berlin/ New York: Mouton
de Gruyter.
SABRINA BERTOLLO and GUIDO CAVALLO are two Ph.D. students in Linguistics, at the University of
Padova (Italy). Their research programs involve the investigation of German relative clauses,
not only in the Standard, but also in dialectal varieties and of Latin Accusative, especially with
respect to psych verbs. They are editor (S. Bertollo) and director (G. Cavallo) respectively of the
on-line scientific journal Grammatica e Didattica (Grammar and Teaching), which is edited by
the Department of Linguistics of the University of Padova. They have participated as speakers
in conferences on teaching and on general linguistics. They have organized a conference (held
in Padova, Italy, on 13th-14th December 2012) devoted to teaching in its interface with the
developments of formal linguistics.
Submitted: October 2012.
Accepted: January 2013.
43|
La simulación empresarial como experiencia relacionada con el Marketing.
Una propuesta empírica
Business simulation as an experience related to marketing. An empirical proposal
Francisco J. Liébana-Cabanillas • Myriam Martínez-Fiestas
Departamento de Comercialización e Investigación de la Universidad de Granada
[email protected]•[email protected]
Resumen
El trabajo analiza la influencia del uso de las TIC y la importancia del trabajo en
equipo en las asignaturas de marketing de titulaciones de empresariales. El eje
principal de este trabajo se basa en identificar si la utilización de las TIC en grupo
favorece el aprendizaje de la disciplina del marketing, así como las habilidades
sociales del alumno. Con el objetivo de evaluar la influencia de la utilización del
simulador Markops Online en el aprendizaje del alumno, fue aplicado un
cuestionario a 784 alumnos de la Universidad de Granada.Los resultados
muestran como los alumnos perciben que el uso de dichas herramientas, a pesar
de requerir un mayor esfuerzo que las tradicionales prácticas de casos, les genera
mayor satisfacción, incrementa su aprendizaje de manera más atractiva y fomenta
el desarrollo de sus habilidades sociales.
Palabras clave: TIC; satisfacción; educación; aprendizaje; marketing; trabajo en
equipo.
Abstract
This paper analyzes the influence of the use of ICT and the importance of
teamwork for marketing subjects in business studies. The central theme of this
paper is to identify whether the use of ICT in groups enhances the learning of the
marketing discipline, as well as students’ social skills. At the University of Granada,
we conducted a questionnaire to 784 students over three academic years (20062009) with the aim of evaluating the influence of using the Markops Online
simulator on the student’s learning process. The results show how students
perceive that the use of these tools, although requiring greater effort than
conventional case studies, provides them greater satisfaction, increases their
interest in the learning process and helps developing social skills.
Keywords: ICT; satisfaction; education; learning; marketing; teamwork.
Dos Algarves: A Multidisciplinary e-Journal no. 22 - 2013
ISBN 2182-5580 © ESGHT-University of the Algarve, Portugal
Francisco J. Liébana-Cabanillas • Myriam Martínez-Fiestas
Resumo
Este artigo analisa a influência da utilização das TIC e a importância dos trabalhos
de grupo nas unidades curriculares de marketing nas licenciaturas em gestão. O
objetivo principal deste artigo é verificar se o uso das TIC melhora quer a
aprendizagem nas unidades curriculares de marketing, quer as competências
sociais dos alunos. Na Universidade de Granada, aplicámos um questionário a 784
aluno em três anos letivos (2006-2009) com o intuito de avaliar a influência da
utilização do simulador Markops Online no processo de aprendizagem dos alunos.
Os resultados mostram como os alunos percecionam o uso deste tipo de
ferramentas que, embora lhes exija um esforço maior do que os tradicionais
estudos de caso, dá-lhes maior satisfação, aumenta o interesse pelo processo de
aprendizagem e desenvolve competências sociais.
Palavras-chave: TIC; satisfação; educação; aprendizagem; marketing; trabalhos de
grupo.
1. Introducción
La reciente reforma de los planes de estudios universitarios en el marco
delpopularmente denominado como Proceso de Bolonia, fomenta la aplicación de
nuevas tecnologías docentes (Diniz et al., 2011), permitiendo que el alumno controle
su propio aprendizaje (Ruiz et al., 2006). Además, entre los nuevos retos y
compromisos planteados para el futuro en el Espacio Europeo de Educación Superior
(EEES) cabe destacar el planteamiento de un nuevo enfoque metodológico que
transforme nuestro sistema educativo basado en la “enseñanza” a otro basado en el
“aprendizaje”. Este proceso de mejora debe ser interactivo y se sustenta en tres
principios básicos (MEC, 2005): Mayor implicación y autonomía del estudiante;
utilización de metodologías más activas (como el uso de tecnologías multimedia); y el
papel del profesorado, como agente creador de entornos de aprendizaje que
estimulen a los alumnos. Esta visión constructivista del aprendizaje favorece el
conocimiento en otros entornos diferentes a los convencionales como el virtual
(Sanchez y Hueros, 2010).
El uso de equipos se ha convertido en una forma habitual de organizar el trabajo
en cualquier clase de organización (Nielsen, et al., 2005), por lo que su uso en la
educación superior universitaria está empezando a tener una importancia relevante,
considerándose un medio para mejorar la interactividad, potenciar las habilidades del
alumno para la resolución de problemas, su capacidad analítica y reflexiva, así como el
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
auto-aprendizaje. Por todo ello, se considera necesario realizar un análisis de las
percepciones y resultados obtenidos por los alumnos tras el uso de las mismas.
Por otro lado, este trabajo pretende contribuir a un mejor conocimiento de la
didáctica colaborativa utilizada en espacios virtuales, dado que se analiza si la
experiencia a través de la utilización de Markops Online en grupos de trabajo,
contribuye al desarrollo y formación de los alumnos para el mercado laboral. El Espacio
Europeo de Enseñanza Superior da una importancia elevada al trabajo en equipo,
tanto como metodología de aprendizaje activa y participativa, como por su relevancia
como competencia profesional de alta valoración. Por tanto se estima necesario
incorporar en las enseñanzas regladas, el entorno virtual en el proceso de aprendizaje
de los alumnos para el desarrollo de habilidades de trabajo en equipo (Lin y Tu, 2012),
dado que dichas habilidades se consideran vitales en la actualidad en el mercado
laboral.
En definitiva, el presente trabajo trata de resumir tres años de experiencia en la
aplicación del simulador Markops Online en las prácticas de marketing,
fundamentando se en dos premisas principales: la evidente necesidad de las nuevas
tecnologías y del trabajo en equipo en el entorno laboral actual.
2. Los juegos de simulación empresarial
La formación universitaria ha experimentado en los últimos años profundos
cambios por la implementación de las Nuevas Tecnologías de la Información y
Comunicación, TIC, las cuales están cambiando la manera de concebir los procesos de
enseñanza-aprendizaje (Ferro-Soto et al., 2009). Ante este nuevo contexto tecnológico,
los simuladores se configuran como una alternativa innovadora y atractiva a los
métodos de enseñanza tradicionales a través de la reproducción de una realidad de
forma virtual, pero con un grado de precisión elevado, (Martín y Mc Evoy, 2003) e
incluso como una herramienta complementaria a los métodos tradicionales de
educación (King y Newman, 2009; Avramenko, 2012). En este sentido, la simulación
permite observar el comportamiento de los alumnos en situaciones reales de mercado,
pero sin asumir costes por los posibles errores derivados en la toma de decisiones.
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Francisco J. Liébana-Cabanillas • Myriam Martínez-Fiestas
Los juegos de simulación comenzaron a usarse en la década de los 50 cuando los
desarrollos tecnológicos de carácter informático lo permitieron principalmente en las
escuelas de negocio americanas (Marting, 1957), si bien es cierto que fue en los años
70 y 80 cuando su uso se generalizó y comenzó a expandirse por el resto del mundo
(Schriesheim y Schriesheim, 1974; Horn y Cleaves, 1980).
Hasta la fecha estas tecnologías han resultado útiles en el aprendizaje de
asignaturas relacionadas con los negocios, más concretamente en economía (Izquierdo
et al., 2007), organización de empresas (Arias-Aranda et al., 2008) así como en el área
de marketing (Liébana-Cabanillas et al., 2012)
Las ventajas de los juegos de simulación para los alumnos se pueden resumir en
(StratX Simulations, 2012): (1) los juegos de simulación no suponen riesgos derivados
de las decisiones reales, pero implican una experiencia real donde el alumno debe de
recapacitar sobre cada una de las decisiones que se le plantean en cada situación
determinada, (2) la implementación de este tipo de simulaciones permite a los
alumnos desarrollar una perspectiva a largo plazo, observando cómo éstas
repercutirán en el valor y el beneficio de la empresa en los próximos ejercicios, (3) las
decisiones operativas de los juegos de simulación implican la gestión de todas las
variables propias de la situación diaria de gestión de una empresa, (4) además
refuerzan el pensamiento competitivo y el propio conocimiento del mercado, ya que
de las decisiones que se lleven a cabo supondrán un efecto inmediato tanto en los
clientes como en el resto de los equipos que compiten en el mismo mercado y (5)
finalmente, se favorece el entorno de la propia herramienta a través de la propia
diversión de estas iniciativas.
La implementación y uso de este tipo de herramientas requiere de un tiempo de
adaptación del alumno a la herramienta por su complejidad (ya que aglutina la
“realidad virtual” de un mercado) lo que le obliga a una dedicación y un esfuerzo
adicional, si bien es cierto que mejora el aprendizaje, la retención y el nivel de
implicación (véase Figura 1).
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
Figura 1: Evolución del conocimiento
Fuente: Elaboración propia.
3. Metodología
3.1. El Contexto: Markops Online
La simulación a través del interface Markops Online es utilizada desde hace más de
25 años y se encuentra presente en más de 500 centros de formación, utilizando lo 8
de las 10 primeras escuelas internacionales de negocios. Este software proporciona la
posibilidad de que los alumnos tomen decisiones desde cualquier ordenador
conectado a Internet a cualquier hora del día, aplicando los conceptos teóricos de
Marketing en un entorno realista. Sus aplicaciones fundamentales son: (1) simular
negocios reales, aunque con una simplificación de la realidad con el objetivo de
maximizar su efectividad pedagógica; (2) crear un ambiente de negocio específico con
características propias respecto a productos, tamaño del mercado, canales de
distribución, etc.; y (3) adoptar un conjunto de decisiones relacionadas con el área de
marketing de la empresa que generen un entorno de aprendizaje realista.
El software Markops Online pertenece a la empresa StratX, la cual ofrece múltiples
software de simulación para estudiantes universitarios, profesionales del sector del
marketing e incluso para ejecutivos de alto nivel. En la actualidad se emplea en más de
90 países, 50.000 profesionales y 4 millones de estudiantes.
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Francisco J. Liébana-Cabanillas • Myriam Martínez-Fiestas
La experiencia concreta que se desarrolló para los alumnos de Universidad de
Granada supone el uso del programa Markops Online, el cual incluye las siguientes
fases:
Etapa 1: En el inicio del curso, se lleva a cabo la presentación por parte del
profesor de la experiencia y la explicación relativa a su utilidad y objetivos generales.
Igualmente se procede a iniciar la organización de la misma (fundamentalmente la
formación de equipos de trabajo compuestos por 4 o 5 personas), se produce el
registro de grupos en el sistema y se les comunica sus claves de acceso (Semana 1 a 2).
Etapa 2: Durante las primeras semanas del curso se procede también a la
explicación por el profesor del funcionamiento del programa (Semana 3 y 4).
Etapa 3: El planteamiento implica que cada grupo representa una empresa que
compite en una industria formada por un total de cuatro empresas. La situación de
partida de cada grupo-empresa, aunque distinta en cuanto a productos
comercializados, precios, etc., está equiparada. Durante 6 semanas (tiempo previsto
para la realización de 6 rondas de simulación) los alumnos toman decisiones de
marketing para su empresa, respetando siempre un calendario publicado y conocido
por todos (véase Figura 2). Cada semana el alumno cuenta con la información sobre el
ranking de empresas del sector y los resultados que ha obtenido su empresa-grupo
(consecuencia de las decisiones adoptadas en el periodo anterior). De esta forma, los
estudiantes reciben retroalimentación de forma inmediata y continua, lo que les
permite revisar sus conocimientos y, en su caso, ir corrigiendo errores. En base a esa
información tomarán las decisiones que estimen convenientes para la simulación
siguiente (Semana 5 a la 10).
Etapa 4: Terminado el periodo de decisiones los alumnos elaboran un informe
donde se precisa el análisis de la situación, los objetivos planteados y las decisiones
por periodos, y el análisis de resultados (Semana 10). Dicho informe se expone de
forma oral y pública en clase. En esta sesión final de exposiciones el profesor plantea
preguntas a los grupos y además es un foro de debate en el que los alumnos pueden
comentar sus experiencias (Semana 11 y 12).
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
El calendario final se resume en la Tabla 1.
Tabla 1: Calendario tentativo de actuaciones
SEMANA
Semana
1a4
Semana
5y6
Semana 7
Semana 8
Semana 9
Semana 10
Semana
11 y 12
TAREAS
Formación de grupos de trabajo (4 o 5 personas)
Identificación del estudiante en el servidor y entrega de claves de acceso
Estudio del funcionamiento del programa
Simulación
1y2
La simulación consta de seis periodos de
Simulación
decisión, y abarca un total de tres años de
3y4
actividad (en cada ronda se simulan seis meses
de actividad)
Simulación
5y6
Preparación de los informes finales
Presentación de los informes finales sobre la evolución de las simulaciones
Fuente: Elaboración propia.
Figura 2: Imágenes del software: Período 4
Fuente: Markops Online.
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Francisco J. Liébana-Cabanillas • Myriam Martínez-Fiestas
La aplicación del simulador Markops Online pretende dos objetivos fundamentales
(Véase Figura 3) (Sánchez et al., 2007): (1) el uso de las TIC en el aprendizaje y la
mejora de habilidades, y (2) la consecución, por parte del alumnado, de las
competencias propias derivadas del trabajo en equipo (Stevens y Campion, 1994), esto
es, interpersonales (resolución de conflictos, resolución colaborativa de problemas,
comunicación) y de auto-gestión (fijación de objetivos y gestión del rendimiento,
planificación y coordinación de tareas).
Figura 3: Objetivos fundamentales
Objetivos relacionados
con la metodología de
enseñanza-aprendizaje
•Que el alumno aplique las TIC en el
aprendizaje de esta materia.
•Desarrollar y potenciar las
habilidades para la resolución de
problemas del alumno, su capacidad
analítica y reflexiva y el
autoaprendizaje.
Objetivos concretos
respecto a la materia
•El desarrollo de nuevos productos a
partir del departamento de I+D.
•La preparación del lanzamiento de
nuevos productos, mejorando o
manteniendo los existentes.
•El trabajo con el departamento de
producción para planificar la
capacidad y planificación de la
producción.
•La toma de decisiones de marketing.
•La decisión sobre la distribución de
los productos a través de los
diferentes canales.
•La adquisición y análisis de estudios
de mercados en los que
fundamentar las decisiones.
Fuente: Elaboración propia.
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
4. Análisis de datos
Para la consecución de los objetivos de esta investigación se seleccionaron
alumnos, matriculados en diversas asignaturas de marketing (de diferentes
titulaciones), que habían manejado el software y se encontraban en disposición de
valorar su experiencia una vez que habían alcanzado los conocimientos requeridos
para la toma de decisiones (en materia de precios, producto, distribución y
comunicación).
Para llevar a cabo la autoevaluación se elaboró un cuestionario de evaluación de la
experiencia (al objeto de determinar la utilidad percibida por los alumnos del uso del
Simulador) que fue contestado por 784 alumnos en un periodo de tres cursos
académicos consecutivos (2006-2009).
El cuestionario fue contestado el último día de las sesiones. Dicho cuestionario
estaba compuesto por un total de 49 ítems medidos con una escala Likert (1-10). A
través del mismo se les solicitaba a los alumnos su opinión acerca de:
 Percepciones relativas a la participación en la simulación (relacionadas con el
aprendizaje, desarrollo de habilidades específicas, etc.)
 Percepciones relativas a la labor del profesorado.
 Percepciones sobre el suministrado.
 Percepciones sobre el software utilizado.
Valoración general de la simulación versus la realización de prácticas tradicionales
a través de casos prácticos.
Al objeto de analizar la efectividad de la utilización del programa en equipo, se
realizaron diversos tratamientos de los datos utilizando el software SPSS, versión 15.
Se hallaron y analizaron los estadísticos descriptivos de las variables observadas en el
cuestionario y se contrastaron diversas variables a través de la prueba estadística TStudent para muestras relacionadas, con el objeto de identificar la existencia de
diferencias significativas entre la valoración del uso del programa y la realización de las
prácticas con metodologías tradicionales.
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Francisco J. Liébana-Cabanillas • Myriam Martínez-Fiestas
5. Resultados de la investigación
Del análisis de los estadísticos descriptivos podemos destacar, en primer lugar,
que el software empleado es percibido por el alumno como una herramienta eficaz
para el fomento del trabajo en equipo (Lin y Tu, 2012), en la que se desarrollan
diferentes habilidades sociales y personales, estando íntimamente relacionado con el
contenido de la asignatura, obteniendo valoraciones medias por encima del 7 en las
respuestas relacionadas con este factor.
En segundo lugar, que la labor del profesorado es fundamental en el buen
desarrollo de la simulación, resultando valores medios por encima de 6,5 puntos.
En tercer lugar, que a pesar de que los alumnos consideran que el programa no es
fácil de usar, la valoración del uso de dicha herramienta para la realización de las
prácticas de marketing obtiene en todos los casos una puntuación media por encima
de 6 puntos.
Finalmente, la satisfacción del uso de las TIC en las asignaturas se encuentra por
encima del valor medio de 7. Así mismo, cabe destacar que las dispersiones en los
datos no eran elevadas en ningunos de estos ítems.
De las pruebas T-Student realizadas (véase Tabla 2 y 3), destacamos la existencia
de diferencias significativas entre las medias de los ítems que valoraban la diversión de
la utilización del software y la realización de casos prácticos tradiciones, así como el
conocimiento adquirido por ambas vías, siendo mejor valorado en ambos casos la
utilización del simulador Markops Online, lo que refuerza los resultados de
investigaciones similares (Bredemeier y Greenblat, 1981; Anderson y Lawton, 2009).
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
Tabla 2: Análisis descriptivos de las valoraciones de la diversión, esfuerzo y conocimientos
adquiridos mediante el uso del simulador frente a los casos prácticos tradiciones
Item valorado
Diversión con
Markops
Esfuerzo con
Markops
Conocimientos
adquiridos con
Markops
N
Media
772
6,755
770
8,272
771
7,179
Item valorado
Diversión
tradicional
Esfuerzo
tradicional
Conocimientos
adquiridos de
forma
tradicional
N
Media
702
5,501
700
7,443
697
6,878
Fuente: Elaboración propia.
Como se observa en la Tabla 2, la media de la muestra de la diversión con
Markops (6,755) supera en un 18,56% la valoración de los métodos tradicionales
(5,501). En relación con el esfuerzo, también se observa una puntuación superior en un
10% en el caso del simulador Markops (8,272) y los métodos tradicionales de
enseñanza. Finalmente los conocimientos adquiridos con Markops (7,179) superan un
4,19% a los conocimientos adquiridos por los métodos tradicionales (6,878).
Tabla 3: Prueba T-Student para muestras relacionadas de las valoraciones de la diversión,
esfuerzo y conocimientos adquiridos mediante el uso del simulador frente a los casos
prácticos tradiciones
Prueba t para muestras relacionadas
Significación
t
g.l.
Diversión Markops- Tradicional
13,611
701
0,000
Esfuerzo Markops- Tradicional
12,846
697
0,000
ConocimientosMarkops- Tradicional
4,546
696
0,000
bilateral
Fuente: Elaboración propia.
Así mismo, de acuerdo con la Tabla 3, se observó la existencia de diferencias
significativas entre la diversión alcanzada con Markops y los métodos tradicionales
(t=13,611, g.l.= 701, p=0,000), el esfuerzo (t=12,846, g.l.=697, p=0,000) y los
conocimientos adquiridos (t=4,546, g.l.=697, p=0,000).
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Francisco J. Liébana-Cabanillas • Myriam Martínez-Fiestas
6. Conclusiones
Las nuevas tecnologías en la educación superior aplicadas a los simuladores de
gestión de marketing fomentan el aprendizaje delalumno, mejorando el seguimiento
de las clases, dando lugar al aprendizaje informal, favoreciendo la mejor asimilación de
conocimientos y generando una actitud favorable hacia la asignatura entre otras
ventajas (Anderson y Lawton, 2009; Santos et al., 2010; Liébana-Cabanillas et al.,
2012).
En este sentido, los simuladores de negocios se constituyen como una
herramienta docente muy poderosa, dado que la utilización del simulador (como
Nuevas Tecnologías de la Información y Comunicación, TIC), favorece el aprendizaje
autónomo del alumnado, el trabajo colaborativo y el desarrollo de habilidades sociales
y personales específicas, que sin duda van a ser cruciales en la formación de los futuros
profesionales (Echazarreta et al., 2009).
Integrar la tecnología en la educación universitaria de marketing no consiste tan
solo en impartir una sesión de clase con un cañón proyector o facilitar el material
docente a los alumnos/as a través de una plataforma web, sino que debe entenderse
como una verdadera integración de los contenidos teóricos y prácticos aprendidos en
el aula en la realidad empresarial, puesta a disposición del alumno gracias a los
simuladores donde deberán aplicar todos sus conocimientos orientados a la gestión de
una situación de mercado real de consecuencias limitadas.
En este sentido, los resultados alcanzados sugieren que los estudiantes perciben el
uso de las TIC en las asignaturas de marketing como un estímulo para el auto
aprendizaje (Echazarreta et al., 2009), siendo una metodología útil y muy actual para
desarrollar las habilidades y conocimientos del alumno en el campo de la economía, la
gestión comercial y el marketing (Izquierdo et al., 2007; Pasin y Giroux, 2011; Tanner et
al., 2012; Liébana-Cabanillas, et al., 2012). En nuestro caso, los resultados destacan
como el uso de Markops es preferido por los alumnos tanto en la diversión que les
supone su implementación durante el curso, el esfuerzo que les requiere y finalmente
los mayores conocimientos adquiridos con su uso, frente a los medios tradicionales
que se emplean en clase.
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
Los resultados refuerzan la necesidad de actualizar la metodología utilizada,
incorporando las TIC en los sistemas educativos al objeto de fomentar el aprendizaje
del alumno, con una actitud más activa que con los métodos tradicionales, mejorando
el seguimiento de las clases, e incrementando sus habilidades sociales. Así mismo,
refuerza los resultados obtenidos por Batista-Canino et al.(2011) en relación con la
importancia del trabajo en equipo vía TIC.
Si bien es cierto que el uso de los simuladores ya está contrastado en la literatura
científica, consideramos que en el futuro, debería analizarse el efecto sostenido en el
tiempo del uso de los simuladores, realizando un estudio longitudinal para evaluar
tanto las ventajas que se han puesto de manifiesto en este estudio como su influencia
en la calificación académica. Además, proponemos la comparación de los resultados
académicos de los alumnos que han empleado esta herramienta frente a aquellos que
no lo emplearan, detectando puntos fuertes y oportunidades para el futuro.También,
la verificación del efecto comparativo de diferentes simuladores sobre los alumnos/as
para observar los efectos en el tiempo de una mayor exposición a simulaciones de esta
naturaleza. Finalmente, la valoración del efecto del profesorado en toda la secuencia
de aprendizaje, detectando elementos que determinen la actitud del mismo hacia este
tipo de herramientas.
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Education, 5 (2), 115-128.
FRANCISCO LIÉBANA-CABANILLAS is an Assistant Professor in the Marketing and Market Research
Department at the University of Granada (Spain) since 2000 and holds a Ph.D. in Business
Sciences from this university. He has a degree in Business and Administration Science and a
Masters in Marketing and Consumer behavior, from the same university. His main research
areas are the effectiveness of the mobile and online banking, Internet consumer behaviour
and e-banking acceptance. He has published various papers, a book (Pearson) and chapters in
multidisciplinary books. He has presented his research at several European Marketing
Academies and Associations. Currently he is carrying out different research projects on
Internet social networks, mobile payment, social commerce, Internet and effectiveness, multiobjective optimization and new technologies acceptance.
MYRIAM MARTÍNEZ-FIESTAS is an Assistant Professor in the Marketing and Market Research
Department at the University of Granada (Spain) and holds a Ph.D. Business Sciences from this
university. She has a degree in Business and Administration Science, a degree in Law, a Master
in Marketing and Consumer behavior, from the same university, and an Executive Masters in
Law and Business, from Garrigues Studies Centre and Harvard Law School. Her main area of
research and interest is green consumer behavior, effectiveness of the green advertising,
neuromarketing and psychophysiology, the results of which are reflected in various papers,
conferences and interdisciplinary workshops. She is currently working on different research
projects on emotion ads effectiveness and green consumer behavior.
Submitted: November 2012.
Accepted: March 2013.
|58
O impacto da liderança no bem-estar dos colaboradores – o papel dos líderes
e dos gestores na construção de modelos que promovam o bem-estar
psicológico no trabalho
The impact of leadership on employee well-being – the role of leaders and managers
in the construction of models that promote psychological well-being in the
workplace
Fernando Messias[1] • Júlio Mendes[2] • Ileana Monteiro[3]
[1]
[2]
Faculdade de Economia, Universidade do Algarve• Faculdade de Economia, Universidade
do Algarve • [3] Escola Superior de Gestão, Hotelaria e Turismo, Universidade do Algarve
[email protected] •[email protected] • [email protected]
Abstract
If leadership is the process of group influence on the achievement of objectives
(Fleishman et al, 1991; Bass, 1990), employee well-being can be considered as
one of the goals to be attained by the group through the action of its leader
(Rost, 1991). Well-being is a complex, multidimensional construct, which targets
the individual as a whole, considering it in its multiple physical, social and
psychological dimensions (Biswas-Diener, 2008; Lyubomirsky et al, 2005; Diener,
2000). It is often discussed in the literature in the light of two major perspectives
(hedonic and eudaemonic) and studied as a factor, element or variable that
influences staff performance and organisational effectiveness (Danna and
Griffin, 1999; Wright and Cropanzano, 2004; Harter et al, 2003). Having
established the relationship between well-being and organisational
effectiveness, it is necessary to understand how leaders influence the well-being
of their employees.
Keywords: Leadership, well-being, psychological well-being, psychological wellbeing at work, job satisfaction.
Resumo
Se a liderança é o processo de influência de grupo na realização de objectivos
(Fleishmanet al, 1991; Bass, 1990) o bem-estar dos colaboradores pode ser
encarado como um dos fins a alcançar pelo grupo através da ação do líder (Rost,
1991). O bem-estar é um constructo multidimensional complexo que visa o
indivíduo como um todo, concebendo-o nas suas múltiplas dimensões física,
social e psicológica (Biswas-Diener, 2008; Lyubomirskyet al, 2005; Diener, 2000).
É frequentemente discutido na literatura face a duas grandes perspetivas
(hedónica e eudaimónica) e estudado como fator, elemento ou variável que
influencia o desempenho dos colaboradores e os resultados organizacionais
(Danna e Griffin, 1999; Wright e Cropanzano, 2004; Harteret al, 2003).
Estabelecida a relação entre bem-estar e os resultados organizacionais, é
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Dos Algarves: A Multidisciplinary e-Journal no.22 - 2013
necessário compreender como os líderes influenciam o bem-estar dos seus
colaboradores.
Palavras-chave: Liderança, bem-estar, bem-estar psicológico, bem-estar
psicológico no trabalho, satisfação no trabalho.
1. Introdução
O trabalho alterou significativamente nas últimas décadas. Já não existe uma
relação estável de trabalho para toda a vida. A adaptação à mudança é uma constante.
Os ritmos de mudança cada vez mais acelerados exigem imediatismos de resposta
cada vez mais curtos com problemas ao nível do equilíbrio casa / trabalho. Para
Cooper & Robertson (2001), estas mudanças trouxeram consigo novos desafios ao
desenvolvimento e manutenção do bem-estar nas organizações e no local de trabalho.
Compreender o papel da liderança e do bem-estar são hoje realidades incontornáveis
em qualquer organização humana. Lideres e seguidores são duas faces da mesma
moeda. Ambos participam de um processo produtivo onde os papéis se equivalem. O
líder influencia o bem-estar do seguidor pela forma como constrói o seu papel no
processo de liderança.
Compreender como os líderes influenciam o bem-estar dos seus colaboradores é
hoje uma das preocupações fundamentais das organizações. Neste artigo
abordaremos o papel do líder, a relação líder-liderado, chefia-colaborador, e a
importância desta relação para o desempenho e resultados organizacionais.
Focar o papel do líder na promoção do bem-estar dos colaboradores é
fundamental nas organizações modernas. Ambos são a face da mesma moeda.
Influenciam-se mutuamente e é para o sucesso desta relação que procuramos
contribuir neste artigo. Iniciaremos por uma breve caracterização geral dos conceitos
de liderança e de bem-estar, focar-nos-emos de seguida no bem-estar psicológico –
distinguindo-o da satisfação no trabalho e integrando-o neste último – com o objetivo
de compreender como os líderes orientam o seu papel face à necessidade de
responsabilizar o colaborador (atribuindo-lhe tarefas e transmitindo-lhe objetivos) e à
inevitabilidade de monitorização do processo de liderança.
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Com base na revisão de literatura na temática da liderança e do bem-estar
pretendemos extrair um conjunto de conclusões que desafiem as chefias - líderes e
gestores - a repensar os seus papéis e a contribuir para a construção do bem-estar
psicológico (BEP) dos colaboradores.
2. Perspetivas e conceitos gerais sobre liderança
A liderança apresenta inúmeros significados, tantos quantos as pessoas que a
tentaram definir. Definir liderança é como definir amor, democracia, paz ou liberdade.
Embora cada um de nós intuitivamente saiba o que os outros querem dizer com estas
palavras, elas não significam o mesmo para todas as pessoas (Stogdill, 1974).
Estão identificados cerca de 65 diferentes sistemas de classificação desenvolvidos
para definir as dimensões de liderança (Fleishman et al, 1991). Um desses sistemas foi
o proposto por Bass (Bass, 1990: 11-20). Para este autor, a liderança deveria ser
perspetivada como um processo de grupo. Nesta perspetiva, o líder é o centro da
mudança no seio do grupo e incorpora a vontade do grupo. Um outro grupo de
definições encara a liderança do ponto de vista da personalidade, sugerindo que a
liderança é uma combinação de traços ou caraterísticas especiais que os indivíduos
possuem e que lhes permitem induzir os outros a realizar determinadas tarefas. Outras
abordagens focam a atenção na liderança como um ato ou comportamento - os líderes
fazem as coisas para provocar uma mudança no grupo – sendo aqui esta definida em
termos da relação de poder que existe entre líderes e seguidores. De acordo com esta
perspetiva, os líderes detêm o poder e usam-no para provocar a mudança nos outros.
Outros consideram a liderança como um processo de transformação que move
seguidores a realizar mais do que aquilo que é esperado deles. Outros ainda encaram a
liderança de uma perspetiva das competências. Nesta é enfatizada as capacidades
(conhecimentos e competências) que tornam possível o processo de liderança.
Independentemente das múltiplas formas em que a liderança pode ser
conceptualizada, algumas caraterísticas apresentam-se como transversais a toda a
investigação sobre o tema:
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a) a liderança é um processo;
b) a liderança envolve influenciar;
c) a liderança ocorre em contexto de grupo; e
d) a liderança envolve a realização de objetivos.
Assim liderança pode ser vista como um processo pelo qual um indivíduo
influencia um grupo de indivíduos para alcançar um objetivo comum. Definir liderança
como um processo significa que ela não é um traço ou uma caraterística que reside no
líder, mas um evento (de transformação, de transação) que ocorre entre o líder e os
seus seguidores. Processo implica que um líder afete e seja afetado pelos seguidores. A
liderança não é linear, unidirecional, mas sim um evento interativo.
Assim definida a liderança está ao alcance de todos. Ela não está restrita apenas
ao líder designado ou reconhecido pelo grupo. A liderança envolve influência: ela está
preocupada com a forma como o líder afeta os seguidores. Influência é a condição
base da liderança. Liderança acontece em grupos e nos grupos. Os grupos são o
contexto em que a liderança ocorre. A liderança envolve influenciar um grupo de
indivíduos que tem um propósito comum. Pode ocorrer num grupo de trabalho
pequeno, num grupo, numa comunidade ou num grupo maior, englobando toda uma
organização.
Liderança inclui atenção aos objetivos. Isto significa que a liderança refere-se à
direção de um grupo de indivíduos para realizar tarefas, metas ou cumprir objectivos.
A liderança ocorre e tem os seus efeitos no contexto em que os indivíduos se movem
em direção a um objetivo. Os líderes precisam de seguidores e os seguidores precisam
de líderes (Burns., 1978; Hollander, 1992; Jago, 1982).
Para Burns (1978) discutir liderança é por vezes uma atividade encarada como elitista
dado o poder implícito e importância, muitas vezes, atribuída aos dirigentes na relação
líder-seguidor.
Os líderes não estão acima dos seguidores ou são melhores que estes. Líderes e
seguidores devem ser entendidos em relação uns aos outros (Hollander, 1992) e
coletivamente (Burns, 1978). Eles estão na relação de liderança em conjunto – são as
duas faces da mesma moeda (Rost, 1991).
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Dentro das diferentes conceções e perspetivas de liderança, esta pode ainda ser
entendida à luz do interaccionismo simbólico que pretende compreender a relação
líder-liderado, chefia-colaborador: o líder, concetualizando o seu papel pode fazê-lo de
duas distintas formas: ao ser-lhe dada uma posição de chefia na organização ele pode
construir o seu papel, identificando-se com os membros da hierarquia e relacionandose com os liderados com base numa relação assimétrica de poder; ou pode construir o
seu papel tomando como referente os liderados, procurando sentir e pensar como eles
pensam, colocando-se no lugar dos liderados, fazendo prova de maior complexidade
cognitiva e de maior criatividade e inovação (Sousa, 1999; Monteiro 2008).
O papel de líder é considerado um papel social emergente e iterativamente
reconhecido à medida que as pessoas vão trabalhando em conjunto (Griffin, 2002).
A interação que se estabelece assenta em processos de comunicação e em relações de
poder que forma e é formada pelas identidades individual ou pessoal/social ou
coletiva. Assim, emerge uma diversidade de identidades, em que cada um reconhece e
é reconhecido na sua diferença. O papel de líder constitui uma dessas diferenças,
sendo construído e reconhecido por todos os atores da interação. O líder é um
produto do grupo e participa ele próprio na criação do mesmo grupo.
3. Perspetivas e conceitos gerais sobre bem-estar
Na atual discussão sobre bem-estar, duas grandes perspetivas teóricas podem ser
distinguidas (Keyes & Waterman, 1993, Waterman, 1993; Ryan & Deci, 2001). Na
primeira delas denominada de “hedónica” ou de “bem-estar emocional” o bem-estar é
visto como um estado efetivamente agradável (um estado de prazer em contraposição
a um estado de dor, perspectiva que se aproxima à de Diener, 1984). Na segunda
tradição denominada de “eudaimónica” ou de “bem-estar psicológico” perspetiva-se
que o bem-estar não pode, nem deve ser, reduzido ao prazer ou ao facto de se viver
de acordo com um eu interior. Aqui o foco é viver uma vida com significado,
preenchida, procurando a auto-realização como um todo.
Alguns autores têm proposto algumas componentes adicionais de bem-estar. Por
exemplo, a componente social distinta do Bem-Estar Psicológico, BEP (Keyes &
Waterman, 2003). A componente da saúde é, por vezes, incluída como uma sub–
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dimensão (Argyle & Martin, 1991) bem como, por exemplo, outras componentes como a financeira, a mental ou a espiritual – a partir das quais o bem-estar pode ser
alcançado (Diener & Biswas-Diener, 2008; Harter & Rath, 2010).
4. Bem-estar psicológico
O bem-estar é visto como uma meta ou um fim a alcançar - como no caso em que
a felicidade é utilizada como alternativa ao BEP. Do termo felicidade qualquer pessoa
possui uma ideia relativamente consensual sobre o que poderá levar alguém a ser feliz
e o que poderá ser a felicidade. Todavia pese embora a felicidade possa ser um termo
utilizado com alguma frequência no nosso dia-a-dia, não quer isso dizer que esta seja
simplesmente uma função da riqueza material de cada um de nós. Pelo contrário.
Estudos sugerem que o aumento da riqueza material de cada um não apresenta uma
relação direta com o aumento da felicidade. A felicidade tem sido citada na literatura
sobre BEP mas parece que não tem despertado o interesse da maioria dos
investigadores em Psicologia Organizacional (Biswas-Diener, R, 2008). Estes têm-se
focalizado principalmente em constructos mais específicos como a satisfação no
trabalho. A satisfação no trabalho relaciona-se com a felicidade e o BEP. Mas não se
pode confundir com estes.
A distinção entre o BEP e satisfação no trabalho é importante pois permite realçar
a natureza única do BEP no trabalho. Esta distinção é tanto mais importante e faz tanto
mais sentido se percebermos que os impactos na organização são distintos. Por
exemplo, a satisfação no trabalho estuda a reação emocional do indivíduo ao seu
trabalho atual e o BEP é fator moderador entre satisfação e desempenho no trabalho
(Luthans & Youssef, 2007). Boniwell & Henry (2007) identificaram duas perspectivas do
BEP: a primeira associa o bem-estar a emoções e “estados de espírito” positivos
experienciados ou vivenciados pelo indivíduo e a factores de carácter mais geral, como
a qualidade de vida. Nesta perspectiva, o bem-estar é identificado por nos sentirmos
bem connosco próprios.
Para compreendermos melhor a distinção entre ambas as perspetivas, fixemo-nos
entre experiências de bem-estar (perspectiva eudaimónica) e sentimentos ou
“estados”
de
bem-estar
(perspetiva
hedónica).
A
primeira
é
alcançada
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individualmente, como um todo, de acordo com trajetos de vida individuais e
subjetivos, geralmente, num processo pessoal de busca constante de metas positivas a
alcançar. A segunda perspetiva (específica e circunstancial) é encontrada em
momentos e circunstâncias de bem-estar (tão abrangentes que podem ir desde o
estado de doença, dor física, emocional ou psicológica aos estados de êxtase
experienciados pelo indivíduo). À caraterística holística da primeira perspetiva, opõese a segunda preponderantemente circunstancial e mensurável.
Recentemente na área da Psicologia Positiva foi evidenciado que os fins a
prosseguir e as emoções positivas são os ingredientes chave para o BEP (Seligman et
al, 2005). A mensagem subjacente é que o desenvolvimento do BEP está dependente
de dois factores chave. O primeiro é o benéfico impacto que as experiências
emocionais positivas têm no crescimento do BEP. Estas experiências são tão
importantes que constituem uma espiral de recursos físicos, intelectuais e sociais
conducentes ao bem-estar emocional tendo inclusive sido proposta uma nova teoria
específica para as emoções positivas (Fredrickson & Joiner, 2002: 172).
Um segundo fator chave é um fim em si mesmo, ou seja, um propósito que
fornece direção e sentido às ações das pessoas reforçando o impacto que as emoções
positivas podem ter no BEP. Num estudo realizado em pessoas que se encontravam a
recuperar do trauma do ataque terrorista de 11 de setembro de 2001 nos Estados
Unidos da América, Fredrickson et al (2003) observaram os efeitos benéficos que as
emoções positivas podem ter nas pessoas sugerindo que encontrar um propósito
positivo é a mais poderosa ferramenta para cultivar emoções positivas em tempos de
crise (Fredrickson et al, 2003: 374).
Estes fatores permitem sugerir que um conceito de bem-estar mais completo deve
incluir tanto o prazer como o fim em si mesmo (um propósito).
Esta perspetiva do bem-estar psicológico encaixa muito bem no domínio
organizacional pois que nas organizações os indivíduos têm constantemente tarefas,
metas e objetivos a realizar. E é no como fazer tais tarefas, no meio para alcançar tais
metas e objetivos organizacionais, que a inclusão desta perspetiva do BEP faz sentido.
Experienciar emoções positivas e sentir que estas valem a pena.
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Isto implica que o BEP no trabalho seja um produto de sentimentos positivos que, por
sua vez, são consequência do fazer algo que é encarado pelo colaborador, como
positivo, vantajoso e merecedor de investimento pessoal.
5. Bem-estar psicológico no trabalho
Qualquer iniciativa por parte da organização para conseguir melhores resultados
através da força de trabalho poderá ser enquadrado em duas grandes áreas: recursos
humanos e gestão. Esta última deixa nas mãos dos gestores e dos líderes (e aqui
convém abrir um parênteses para introduzir a diferença na literatura entre uns e
outros). Para Bennis & Nanus (1985) “(…) os gestores são pessoas que fazem as coisas
bem e os líderes são pessoas que fazem as coisas certas”, p. 221; ou melhor, “líderes e
seguidores trabalham em conjunto para criar mudança, os gestores e os subordinados
unem forças para vender bens e serviços”, Rost, 1991: 149-152) os resultados da
organização.
Podemos dizer que a diferença entre gestores e líderes leva por um lado a
acentuar o papel dos gestores em construir um ambiente de entusiasmo e motivação
na força de trabalho, e a destacar o papel dos líderes em assegurar que o
comportamento do colaborador está alinhado com os objectivos organizacionais. Este
segundo ponto reforça a ideia de que as organizações necessitam de desenvolver
comportamentos
positivos
que
permitam
produzir
reações
positivas
dos
colaboradores (força de trabalho) e com esta maior eficiência nos processos de
trabalho e maior eficácia nos resultados organizacionais.
Esta ideia coloca em destaque a importância do comportamento dos gestores e
dos líderes em promover e sustentar níveis elevados de BEP. As chefias assumem um
papel fundamental neste processo pois são elas que se encontram maioritariamente
em contacto com os colaboradores e poderão monitorizar melhor (pelo menos com
maior proximidade e / ou influência) o resultado da sua força de trabalho.
Pelo que respeita ao BEP a questão central dessa relação (Chefia / Colaborador /
Colaborador / Chefia) traduz o sucesso (ou insucesso) do processo de liderança e de
gestão. O colaborador que se sentir suficientemente predisposto a atingir
positivamente os objetivos propostos pela organização dá um enorme salto em frente
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na construção do seu BEP e auto-confiança, cabendo ao líder ou ao gestor certificar-se
que os objetivos são possíveis de atingir facilmente, pois que doutro modo, o
colaborador precisará de apoio do líder ou do gestor.
Um terceiro caminho possível para a organização construir BEP nos seus
colaboradores relaciona-se com o processo de tomada de decisão. Perante situações
em que os colaboradores têm de tomar decisões ou comprometer-se com exigentes
objetivos organizacionais, a alternativa que permitir aumentar o BEP dos
colaboradores reflecte a melhor escolha para os interesses da organização.
A coerência entre os comportamentos que a organização reclama dos seus
colaboradores e os comportamentos que promovam bem-estar geram um ciclo de
aumento de BEP melhorando o sucesso da organização.
Podemos dizer que o desafio organizacional está para os colaboradores, como os
resultados organizacionais estão para os líderes e gestores. Aliás uma das teorias da
motivação mais citadas na literatura evidenciam precisamente esta ideia (goal-setting
theory; Locke & Latham, 1990). Quanto mais difícil se apresenta o desafio e quanto
mais difícil de atingir os resultados pretendidos, melhor o sentimento e satisfação de
os alcançar. Claro que se os desafios e os resultados são impossíveis de atingir e se o
controlo que se tem sobre eles for muito pouco ou pouco claros os objetivos, os danos
psicológicos podem ser iminentes (Locke & Latham, 1990).
6. A criação de modelos explicativos do impacto do líder nos
colaboradores
O BEP é importante para os colaboradores/subordinados, mas pode ser ainda mais
importante para as organizações. Para além do que ficou dito, há pelo menos uma
principal razão para isso: o BEP é dinâmico e sempre que este aumenta, tende a
aumentar o sucesso da organização.
O BEP está correlacionado com o desempenho e sucesso da organização (Wright &
Cropanzano, 2004).
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Uma vez estabelecida a relação entre o BEP e os resultados organizacionais, é
necessário compreender como os líderes influenciam o bem-estar dos seus
colaboradores – individualmente e em grupo.
A ideia base será compreender como os líderes (em especial, as chefias) orientam
o seu papel entre a necessidade de responsabilizar o colaborador, atribuindo-lhe
tarefas e transmitindo-lhe objetivos e a monitorização do processo de liderança,
traduzido no apoio e na presença que deve demonstrar ao grupo. Isto significa ir para
além das competências de liderança, dos comportamentos, para entrar na
complexidade das interações entre o indivíduo, o grupo e as variáveis situacionais. Por
exemplo, dois líderes de duas equipas podem perfeitamente transmitir a mesma ideia
ao grupo de formas completamente diferentes, dependendo do seu estilo de
liderança. Essa mesma ideia pode ser considerada por um grupo como um desafio
interessante a atingir, ao passo que pela outra equipa poderá ter sido encarado como
um desafio difícil (até impossível) e stressante, pese embora ambas as equipas se
encontrassem dotadas dos mesmos instrumentos, competências e recursos que lhes
permitissem responder ao desafio proposto por igual.
Por outro lado, a revisão da literatura realizada quanto ao impacto dos
comportamentos dos líderes nos subordinados, evidenciou a reciprocidade nos
comportamentos do líder face às respostas dos subordinados, destacando a relação
líder / subordinado, tendo em conta que o bem-estar do subordinado pode influenciar
o comportamento do líder. Para o grupo de investigação que reviu a literatura neste
domínio, a complexidade de relações no processo de liderança adensa-se quanto mais
rico e complexo for o cenário individual (dispositivo) e situacional onde os actores se
movem com vista ao óptimo do BEP e da eficiência individual, do grupo e da
organização (Van Dierendonck et al, 2004)
Uma outra linha de investigação analisa o impacto de estilos de liderança
abusivos, ineficientes, autoritários ou tirânicos projectados nos subordinados. Por
exemplo, Ashford (1994) foi um dos investigadores que discutiu esta linha de trabalho
em relação ao conceito de “petty tyranny”, seguido pelos trabalhos de Tepper et al
(2001). Nesta linha de investigação estes últimos autores descobriram que os efeitos
do estilo abusivo eram moderados pela personalidade dos subordinados. Mais tarde
Tepper (2007) reviu a literatura com ênfase nos antecedentes e consequências do
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estilo abusivo (ou melhor, nas palavras do autor, pela supervisão abusiva) chegando a
propor um modelo guia de uma linha de investigação facilitadora do registo dos
progressos científicos em torno do estilo abusivo (para o autor, supervisão abusiva).
Na revisão da literatura em liderança ineficaz alguns contribuíram para a discussão e
enfatizaram que a insensibilidade pela perspectiva dos outros talvez possa ser vista
como o principal factor no insucesso da liderança (Hogan et al., 1994; Hogan & Hogan,
2001)
Numa outra linha de investigação, foi sugerida a ideia de que as caraterísticas que
comummente levam a uma liderança eficiente e de sucesso, podem ser as mesmas
que podem conduzir à ineficiência e ao insucesso. Tais caraterísticas sob determinadas
circunstâncias ou se exageradas resultam em comportamentos que podem levar ao
insucesso (Flett & Hewitt, 2006; Burke et al, 2006b).
Estas características incluem arrogância, excessivo cuidado/precaução no trabalho
que acarreta consigo o excesso de confiança, de responsabilização e de orientação
para o resultado.
Flint-Taylor & Robertson (2007) desenvolveram e validaram um modelo
desenhado para ajudar a compreender o impacto dos líderes no bem-estar e
desempenho dos subordinados. A ideia base é que determinadas características da
personalidade conhecidas por associadas à liderança e desempenho eficiente podem
trazer consigo alguns riscos de manuseamento (cuidados trazidos à colação pela
investigação sobre liderança ineficiente). Alguns destes riscos relacionam-se
precisamente com o impacto negativo que o líder pode ter no bem-estar, desempenho
e produtividade do grupo.
O modelo do impacto da liderança de Flint-Taylor & Robertson, bem
fundamentado na literatura, numa primeira análise, parece não conseguir alcançar a
relação fundamental que nos preocupa: a relação entre a liderança, o bem-estar
psicológico e os resultados organizacionais. Contudo o modelo tem a virtude de nos
permitir entrar no campo das hipóteses (test predictive relationships) entre a
personalidade do líder e o BEP dos colaboradores / subordinados. As relações
preditivas (predictive relations) são baseadas em combinações de traços – uma das
soluções propostas por Zaccaro (2007).
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Este modelo pode contribuir para o desenvolvimento de uma teoria integrada da
liderança. Uma teoria deste tipo permitiria agregar as diferentes teorias da liderança
de uma forma coerente a estabelecer um conjunto de relações preditivas para
compreender melhor o impacto da liderança nas pessoas e nas organizações: certos
aspectos da liderança transformacional poderiam ser integrados na relação entre o
estilo de liderança e os resultados organizacionais (Howell & Avolio, 1993).
Contudo, a dificuldade em distinguir com segurança os estilos transformacional do
transaccional poderiam levantar problemas ao nível da validação (Judge & Piccolo,
2004).
6. Conclusão
A revisão da literatura permitiu extrair um conjunto de conclusões que desafiam os
líderes e gestores a rever os seus papéis na relação de liderança e contribuem para a
construção do BEP dos colaboradores. As conclusões extraídas da revisão da literatura
neste domínio são as seguintes:
a) A diferença entre gestores e líderes leva por um lado a acentuar o papel dos
gestores em construir um ambiente de entusiasmo e motivação na força de trabalho e
a destacar o papel dos líderes em assegurar que o comportamento do colaborador
está alinhado com os objectivos organizacionais;
b) Esta diferença reforça a ideia de que as organizações necessitam de desenvolver
comportamentos
positivos
que
permitam
produzir
reações
positivas
dos
colaboradores (força de trabalho) e com esta maior eficiência nos processos de
trabalho e maior eficácia nos resultados organizacionais;
c) Esta ideia coloca em destaque a importância do comportamento dos gestores e dos
líderes em promover e sustentar níveis elevados de BEP;
d) As chefias assumem um papel fundamental neste processo pois são elas que se
encontram maioritariamente em contacto com os colaboradores e poderão
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Fernando Messias • Júlio Mendes• Ileana Monteiro
monitorizar melhor (pelo menos com maior proximidade e / ou influência) o resultado
da sua força de trabalho;
e) O colaborador que se sentir suficientemente predisposto a atingir positivamente os
objetivos propostos pela organização dá um enorme salto em frente na construção do
seu BEP e auto-confiança, cabendo ao líder ou ao gestor certificar-se que os objetivos
são possíveis de atingir com relativa facilidade e segurança, pois que doutro modo, o
colaborador precisará de apoio do líder ou do gestor;
f) O BEP nos colaboradores pode ainda ser construído tendo em conta o processo de
tomada de decisão - perante situações em que os colaboradores têm de tomar
decisões ou comprometer-se com fortes objetivos organizacionais, a alternativa que
permitir aumentar o BEP dos colaboradores reflete a melhor escolha para os interesses
da organização;
g) A coerência entre os comportamentos que a organização reclama dos seus
colaboradores e os comportamentos que promovam bem-estar gera um ciclo de
aumento de BEP melhorando o sucesso da organização;
h) O desafio organizacional está para os colaboradores, como os resultados
organizacionais estão para os gerentes e líderes - quanto mais difícil se apresenta o
desafio e quanto mais difícil for atingir os resultados pretendidos, melhor o sentimento
e satisfação de os alcançar; claro que se os desafios e os resultados são impossíveis de
atingir e se o controlo que se tem sobre eles for muito pouco ou pouco claros os
objectivos, os danos psicológicos podem ser iminentes (Locke & Latham, 1990);
i) A complexidade de relações no processo de liderança adensa-se quanto mais rico e
complexo for o cenário individual (dispositivo) e situacional onde os actores que se
movem com vista ao óptimo do BEP e da eficiência individual, do grupo e da
organização (Van Dierendonck et al, 2004);
j) Os efeitos dos estilos de liderança abusiva podem ser moderados pela personalidade
dos colaboradores / subordinados (Ashford, 1994; Tepper et al, 2001; Tepper 2007);
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l) Na revisão da literatura em liderança ineficaz é revelado demonstra que a
insensibilidade pela perspectiva dos outros talvez possa ser vista como o principal
factor no insucesso da liderança (Hogan et al, 1994; Hogan & Hogan, 2001);
m) As características que levam a uma liderança eficiente e de sucesso, podem ser as
mesmas que levarão à ineficiência e ao insucesso. Tais características sob
determinadas circunstâncias ou se exageradas resultam em comportamentos que
podem levar ao insucesso (Flett & Hewitt, 2006; Burke et al, 2006b). Estas
características incluem arrogância, excessivo cuidado/precaução, perfeccionismo e o
vício no trabalho que acarreta consigo o excesso, de confiança, de responsabilização e
de orientação para o resultado;
n) O modelo do impacto da liderança de Flint-Taylor & Robertson, numa primeira
análise, parece não conseguir alcançar a relação entre a liderança, o BEP e os
resultados organizacionais. Contudo tem a virtude de permitir entrar no campo das
hipóteses (test predictive relationships) entre a personalidade do líder e o BEP dos
colaboradores / subordinados. O modelo agrega diferentes teorias de uma forma
coerente a estabelecer um conjunto de relações preditivas para compreender melhor
o impacto da liderança nas pessoas e nas organizações. Certos aspectos da liderança
transformacional poderiam ser integrados na relação entre o estilo de liderança e os
resultados organizacionais. Todavia, a dificuldade em distinguir com segurança os
estilos transformacional do transaccional levantariam problemas ao nível da validação
(Flint-Taylor & Robertson, 2007; Zaccaro; 2007; Judge & Piccolo, 2004);
r) O processo de liderança pode ainda ser entendida à luz do interaccionismo simbólico
que pretende compreender a relação líder – liderado, chefia – colaborador (Sousa,
1999; Monteiro 2008; Griffin, 2002).
Concluímos que o papel de líder é considerado um papel social emergente e
iterativamente reconhecido à medida que as pessoas vão trabalhando em conjunto. O
líder é um produto do grupo e participa ele próprio na criação do mesmo grupo. Líder
e seguidor, chefia e colaborador, estão interligados na relação de liderança. Ambos
desenvolvem os seus papéis na organização na medida em que “(…) líderes e
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Fernando Messias • Júlio Mendes• Ileana Monteiro
seguidores trabalham em conjunto para criar mudança, os gestores e os subordinados
unem forças para vender bens e serviços” (Rost, 1991: 149-152). Ambos contribuem
para a organização. Daí a importância fundamental do BEP. Este é importante porque é
dinâmico e sempre que este aumenta, tende a aumentar o sucesso da organização.
Estabelecida a relação entre o BEP e os resultados organizacionais, foi necessário ir
mais além, ou seja, foi necessário compreender como os líderes influenciam o bemestar dos seus colaboradores. A ideia trazida foi a de compreender como os líderes
orientam o seu papel entre a necessidade de responsabilizar o colaborador,
atribuindo-lhe tarefas e transmitindo-lhe objetivos e a monitorização do processo de
liderança, traduzida no apoio e na presença que deve demonstrar ao grupo.
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FERNANDO MESSIAS é licenciado em Direito. É advogado desde 1998. Em 2005 concluiu o Curso
de Especialização em Propriedade Intelectual na Faculdade de Direito da Universidade de
Bristol, Inglaterra. Em 2007 iniciou o Programa de Doutoramento em Turismo na Faculdade de
Economia da Universidade do Algarve. Em 2008 apresentou o Projecto de Tese de
Doutoramento “Liderança e Bem-Estar: o caso da hotelaria no Algarve”. Dedica-se em
exclusivo à conclusão da Tese de Doutoramento e à investigação em turismo, liderança e bemestar e ao Direito Empresarial & Fiscalidade, Direito do Turismo & Imobiliário, Direito da
Propriedade Intelectual & Tecnologias de Informação.
JÚLIO MENDES é doutorado em Gestão, ramo de Estratégia e Comportamento Organizacional
(Universidade do Algarve). Professor Auxiliar da Faculdade de Economia/Universidade do
Algarve e Membro da Coordenação do Programa de Doutoramento em Turismo. Director do
Mestrado em Gestão das Organizações Turísticas. Membro do Centro de Investigação sobre
Espaço e Organizações. Investigador na área da Gestão e do Turismo (Gestão Integrada da
Qualidade nos Destinos, Competitividade, Marketing, Gestão das Marcas, Imagem e
Experiência Turística). Orientou várias teses de Doutoramento e dissertações de Mestrado.
Publicou alguns artigos em revistas científicas e em capítulos de livros. Experiência profissional
em organizações públicas e privadas.
ILEANA MONTEIRO é doutorada em Psicologia das Organizações. Professora Adjunta da Escola
Superior de Gestão Hotelaria e Turismo da Universidade do Algarve, Faro, Portugal. Diretora
do Mestrado em Gestão de Recursos Humanos. Autora de publicações na área do
Comportamento Organizacional, da Criatividade e Inovação Organizacional. Foi técnica de
gestão de recursos humanos da Direcção-Geral da Administração Pública. É membro do Centro
de Investigação sobre o Espaço e as Organizações-CIEO/UAlg. Membro da Direção da Apgico –
Associação Portuguesa de Criatividade e Inovação.
Submitted: July 2012.
Accepted: January 2013.
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