Short essay on workplace ethics

timer Asked: Dec 11th, 2018
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Question description

I was given a short scenario to analyze. There are a total of five key points that need to be addressed, which can be found in the attached "Assignment 3" file. Final document needs to be 350-500 words. The other documents should be used for reference purposes.

Group A (The Maintenance Unit Timecard) You will read the following scenario and answer the questions that follow the scenario. You MUST answer question number 1. Additionally, you MUST select two of the other questions (listed at the end of the scenario) to respond to within your group discussion board. Scenario: You are the second in command for a maintenance unit and you work for Major Leadon. One morning Major Leadon overheard a conversation between two civilian employees assigned to the unit. Bob Stuart, supervisor of a bench work section, was talking to Jack Goodall, a propulsion systems specialist. Bob: Your work coming along okay, Jack? Jack: Just fine. I'm all caught up for now. Bob: That job I gave you yesterday looked like a real stinker; did you finish with it already? Jack: Yep. Took it home and worked on it there last night so I wouldn't be rushed today. Bob: Jack, I know you have a good shop at home and love to work, but you know we don't like for anyone to take work home with them. In fact, I had asked Fred to come over and give you a hand this morning if you needed it. Jack: Yeah, he told me, but I knew he had his hands full for right now, so I told him not to bother; I could handle it. Bob: What are you working on now? Jack: This is the motor off my kids go-kart...needs a good going over. Putting in new rings and grinding the valves. Bob: You think you should be doing that on government time? Jack: Well, why not? I got the Air Force out of a bind on my own time last night. Besides, I can't grind the valves at home as I don't have the equipment. I see nothing wrong with it. Bob: It just looks bad to be doing personal work on the job. You know that as well as I do. Jack: Well, when I'm caught up with my work and nobody else needs me, what do you want me to do, stand around and look pretty? Bob: Now, don't get huffy. We have been through this before. Remember how we both almost got fired last year when you brought your boat motor into the shop and proceeded to scatter parts all over the place? Jack: Sure, I remember. That overzealous Captain Buckholz is gone, and I believe the guy we have now would be more reasonable. After all, my work is all caught up and I'm not bothering anyone else. Besides I do a lot of Air Force work at home so I can have time out here to use tools that I don't have at home. All I'm asking is that you treat me with a little trust. I'm an honest guy and the Air Force gets a full measure from me without ever having to pay overtime. Bob: Okay Jack, you have been warned. Questions: You MUST answer question number 1. Additionally, you MUST select two of the other questions to respond to within your group discussion board. 1. Describe the ethical problems and tension that seem to be present in this scenario (You MUST answer this question). 2. In the “Professional Ethic, Duties, and Obligations” reading, on page 45 Coleman says that loyalty is not an “all or nothing concept” and that loyalty is a particularly problematic virtue. There are various reasons why some loyalties thrive and some falter. Assess the problems and tensions this scenario might drive as it relates to loyalty. (The reading is available HERE) 3. According to the Kelley’s Followership Model, as discussed in the Leading in the Organization self-paced course (Latour & Rast - "Dynamic followership: The Prerequisite for Effective Leadership" available HERE), how would you characterize Jack as a follower? 4. What type of leadership style, according to the Full-Range Leadership Model, would you use to address this situation? Is this style different from your preferred leadership style? Explain. (The reading is available HERE) 5. Using the below reference to support your response to this question, what elements presented by the author might prove beneficial to handling this situation and why? Reference: Emelander, Stan. “On the Job with Emotional Intelligence” Defense AT&L, March-April 2013, 51-54. (Available HERE) Adapted from: Jeanne M. Holm Center for Officer Accessions and Citizen Development “Corrective Supervision and Counseling,” Case Study #1 in Air and Space Studies 300 Leadership Studies, 2016-2017 Edition: 9
3 Professional Ethics, Duties, and Obligations CASE STUDY 3.1 The HMAS Westralia Fire BACKGROUND This case discusses a fire that broke out onboard HMAS Westralia on May 5, 1 998. This narrative of the events on board was compiled from the public version of the report of the Department of Defence Board of Enquiry into the fire' and from the report of the findings of the Western Australian Coronial Inquest into the deaths of the four crew members who were killed.2 HMAS Westra/ia departed Fleet Base West at 0900 on Tuesday May 5, 1998. The ship was scheduled to transfer some of its approximately 20,000 tons of diesel fuel cargo to HMAS Success and then to proceed to northern waters.At approx­ imately I 030, during a routine roving check of the Main Machinery Space (MMS), Petty Officer (PO) Hollis discovered a serious fuel leak coming from the port main engine, spraying onto the catwalk between the main engines, into the bilge. and flowing under the starboard main engine. PO Hollis immediately reported the leak to the Engineer, Lieutenant Commander (LCDR) Crouch, who relayed the report to the bridge; in response both engines were stopped, some 30 seconds after the leak was first reported. The ship was sent to "emergency stations:· and the Sea Standing Fire Brigade (SSFB) were ordered to report for action as a precaution. A few minutes later, fire erupted from the top of the starboard main engine, apparently from another, as yet undetected, fuel leak. Lieutenant (LT) Walters, who observed the outbreak of the fire, gave evidence that the flame resembled a blow· torch, with a flame approximately 6 meters (20 feet) high. Eight members of the crew were in the MMS at this time, all either on the middle or lower catwalks: three laying out fire hoses or extinguishers as a precaution; four. including LT Walters. dealing with various aspects of the repair of the fuel leak from the port main engine; and one, a midshipman attached to the engineering staff for training, apparently observing the repairs. Chapter 3: Professional Ethics, Duties, and Obligations The fire had several immediate effects.Various electrical cables directly above t he main e n gine s were quickly burnt in the fire, severing power supplies for machin­ ery, communications to the bridge, and the MMS evacuation siren. Smoke and toxic gases being given off by the burn i ng insulation covering the cables added to the quantity of gases be ing generated in the MMS. LT Walters im me diate ly raced to the Machinery Control Room (MCR) and reported the fire. Some of the personnel in the MMS attempted to fight the fire using handheld and trolley mounted foam extinguishe rs, but their efforts had little to no effect.Visibility in the MMS rapidly dropped to zero, since the entire area was filling with thick black smoke.At this point, since the starboard ladder was engulfed in flames, there was only one means of escape from the MMS; up the p ort ladder to the MCR. Some personnel did indeed escape this way, but this escape was rendered extremely hazardous by the he at and smoke, and by occasional fireballs that washed over the port ladder. apparently drawn upward by the draft of air up the funnel immediately overhead. Knowing that there were still personnel unaccounted for and believed to be trapped in the MMS, the team leader of the SSFB asked LCDR Crouch for permission to send two members of the SSFB (who were equipped with breathing apparatus, an ti-fl ash gloves, and hood, but not full fire-p rote ction suits) into the MMS to search for missing pe rson nel, but permission was refused. Within minutes it became necessary to order the evacuation of the MCR due to the buildup of smo ke . At this point it was still uncertain how many personnel were unaccounted for. After evacuating the MCR, LCDR Crouch telephoned the bridge and spoke with the Commanding Officer (CO), recom m en d i ng an immediate C0 drench. 1 which would flood the MMS with carbon dioxide gas, thus cutting off the oxygen supply that the fire needed to continue to burn. The CO declined to activate the C01 dren ch at this point and directed that a hose team be sent into the MMS to search for missing personnel. When giving evidence to the Board of Inquiry. the Engineer explained: Now, I ...said to the comm anding officer. recommended the C02 d ren ch, I knew what his answer was going to be because that's the answer that I would have given me if I was the CO an d someone had rung me up a n d (said) that to (me), "No, go in and s earch for them," but that's the advice I had to offer him because that's what I felt a t the time. I d id n't believe I ha d the time or that the command­ ing officer would be prepared to spare the time to listen to me explain ... the reasoning behind my wanting to CO, drench and I can't reiterate e nou gh chat I honestly believed the commanding officer's decision was correct in saying . "Do not CO, drench. Search."1 Having determined that four people were unaccounted for. LCDR Crouch advised the aft Damage Control team to prepare a team in full firefighting gear to enter the MMS as soon as possible.Ten minutes later Hose Team I e nt ered the MMS, and reporting finding nothing. with visibility zero and temperatures extremely hi gh. T h e C O left the brid ge and went to the main Damage Control station to d iscu ss the sta­ tus of the fire with LCDR Crouch.There was still a major concern over the missing personnel, but also a realization that the personnel in the MMS were unlikely to be 33 34 MILITARY ETHICS alive. Command priority thus shifted to saving the ship. The CO ordered the hose team to continue searching the MMS for a fur ther 5 minutes and then to activate the co2 drench. Firefighting teams reentered the MMS some 25 minutes after the activation of the C02 drench and reported intense heat and zero visibility in the dense smoke. Firefighting efforts were directed by the use of thermal imaging scanners. which allowed the hoses to be directed at all hot spots. During these efforts, the firefight­ ing teams discovered the bodies of Leading Seaman Bradley Meek, Petty Officer Shaun Smith, Able Seaman Phillip Carroll, and Midshipman Megan Pelly. One hour after teams reentered the MMS, and almost exactly 2 hours after the first fuel leak had been reported, the CO was informed that the fire had been extinguished. DISCUSSION Those who serve their country as members of the defense forces perform a role that is essentially unique in society. Consider, for example, the following differ­ ences between those who are serving in the armed forces of their country and those who work in civilian employment within that country. Those in military service are required to do things that few, if any, other members of society are expected or even able to do. Those who serve in the military do so knowing that they may be killed while doing their duty. In some special circumstances a mem­ ber of the defense forces could be routinely and lawfully ordered by their superiors to act in a manner that places their life at risk, another demand placed on few members of the civilian community; only those in the emergency services face anything like this situation. Members of the military are subject to laws and restrictions that are not imposed on other members of society. Members of the military are also called on to act in ways which would, under other circumstances, be considered to be seriously ethically wrong, in that they may be required to kill other people and/or engage in acts that cause widespread destruction of property to further the interests of the state. What this means, in the end, is that it is impossible to discuss how members of the military ought to act in particular situ­ ations without first understanding the specific ethical and legal requirements of the military role. Therefore, in this chapter I will discuss the nature of professions in general, and of the profession of arms in particular, to better understand the demands this places on the ethical decisions of those in the military. Since the actions of mili­ tary personnel will also be constrained by international law in many situations and this will often have a significant and direct impact on their decision making, par­ ticularly with regard to their conduct in combat operations, the nature and origin of international law will also be discussed at times in this and subsequent chap­ ters. Chapter 3: Professional Ethics, Duties, and Obligations 35 THE PROFESSION OF ARMS f The terms "professional" and "profession" are used so often these days that few people are clear about their true meanings. The word "professional" is now used in quite a number of contexts. Sometimes it is used to simply refer to someone who is being paid for their work, as is the case when we talk about a professional sports person. Sometimes the term is used to recognize someone who is particularly good at their job; if I was to suggest that a carpenter did "a really professional job," then I would be using the term in this manner. But the base meaning of the term "professional" is simply to indicate that the person being referred to is a rec­ ognized member of a particular profession. So what is a profession? There is some dispute about the term, but most attempts to define a profession incorporate a number of common features in that they suggest that the members of a particular profession must (a) provide an important public service; (b) possess special knowl­ edge and/or expertise; (c) exercise autonomous professional discretion in their practice; and (d) be governed by a body made up of members of that profession and subject to a specific code of conduct-in other words the members of the profession govern and regulate themselves (at least to a large extent) according to standards not required of those not within the profession.4 The traditional profes­ sions were divinity, medicine, law, and (possibly) the profession of arms. It could be argued that professions were originally defined simply by virtue of being respectable occupations for the sons of gentlemen, but all of the traditional professions do seem to capture the features just mentioned, a fact which separates the traditional professions from other occupations of the time. Members of the professions have traditionally enjoyed high social standing and were often seen as leaders among their communities, possibly because early professionals were in fact often the younger sons of lesser nobility. It is probably this fact that has led to the use of the term "professional" as a term of praise, as in my earlier example of the carpenter who does a professional job, and has also led to many other varieties of employment seeking to be formally endowed with the status of a profession. It is true, however, that the range of modern occupations that can legitimately be termed professions is quite broad, since a modern list of professions is likely to include things such as dentistry, veterinary science, accountancy, engineering, architecture, optometry, physical therapy, and so on, alongside the traditional professions. Members of professions are often granted special rights or privileges as a result of their professional status. Members of certain medical professions, for example, have the right to prescribe medications, a right not given to ordinary members of the community. However, along with these special rights come moral obligations beyond those held by ordinary members of the public. For example, a medical doctor has historically been considered to have a moral obligation to assist those in medical need wherever and whenever such encounters occur, although modern litigation has tended to modify this in a number of jurisdictions. 36 MILITARY ETHICS While it might be suggested that the profession of arms no longer exists in modern times, I think that at least some members of the defense forces do qualify as members of a profession; this would include at least those who are members of the officer corps as well as senior noncommissioned officers.5 The public service that members of the military perform is obvious, in that they protect the whole of society from external threats. In addition it is obvious that this service to society is not simply self-serving, as members of the military often serve society at detri­ ment to their own self-interest. Since one of the hallmarks of a traditional profes­ sion is the requirement that the needs of those served come above the needs of the professional, the selfless service of military members certainly suggests that military service is a professional service, provided that other requirements for professionalism can be met. Military officers clearly possess special knowledge and expertise, which in many cases is expertise that is not available to those outside the military and can only legitimately be practiced within the bounds of the military profession. Most significantly in terms of the professional status of military officers, the special knowledge they are required to possess and apply is not simply applied in a rou­ tine fashion; they exercise professional discretion in their practice. It is perhaps this factor that separates what is expected of officers from what is expected of the enlisted personnel that they lead, in much the same way that it separates archi­ tects, who are usually considered to be members of a profession, from draftsmen, who are not. However, I am inclined to think that senior noncommissioned offi­ cers are also expected to exercise similar discretion in their military practice and would thus suggest that it is not simply officers who are members of the profes­ sion of arms, though one might question exactly how far down the command structure such membership extends. The governance of the profession of arms is obviously rather different from the governance of the other traditional professions, in that the government has direct control over the military in a way that does not occur with other professions. Consider the difference between government control of medicine and government control of the military, for example. Whereas a government might employ a lot of medical personnel in hospitals and regulate the practice of medi­ cine in various ways, members of the various medical professions still have the opportunity to work for other people or even for themselves, and thus may no longer work at the direction of the government. Military personnel do not have this option since a country's military, at least in any true democracy, will always work under the direct control of the civilian government. In years gone by the government was also the only possible legitimate employer for a member of the military profession, but in modem times the rise of private military companies has changed this situation, at least to some extent. Overall there is justification for claiming that the profession of arms still exists as a profession, and thus I will refer to the duties of military personnel as professional duties; I hope that those who disagree about the professional status .· Chapter 3: Professional Ethics, Duties, and Obligations 37 of military officers will at least accept my use of the term as useful shorthand. However, whether one accepts the professional status of military personnel or not, it is dear that the role that they play brings with it certain particular, and somewhat unusual, moral duties. ROLE MORALITY Certain roles within society, especially professional roles, seem to create unique moral obligations at odds with ordinary morality. Consider, for example, the moral duty of a lawyer who is defending a person that they know is guilty of a serious crime. Ordinary morality would suggest that if you know that a person is guilty of a serious crime then you ought to do all that you legally can to ensure that person is convicted for their crime. Yet despite knowing that this client is guilty the lawyer is obliged to do his or her best to ensure that this cli­ ent is not convicted; the lawyer's professional duty to ensure the integrity of the criminal justice system requires lawyers in such situations to act in a manner that would be considered wrong by ordinary morality. Lawyers are not alone in facing these sorts of situations. Priests are duty-bound to honor the sanctity of the confessional, even in cases where penitents confess to serious crimes. This priestly duty has long been respected in law, though recent changes in legisla­ tion have been made in some jurisdictions that would require priests to reveal details of such confessions in certain situations, such as in child sex abuse or murder cases. People who occupy specific roles in society may also be required to do things f that would be supererogatory (i.e., going beyond the call of duty) for ordinary people in an identical situation. Consider the response to the attacks on the Twin Towers in New York on September 11, 2001, for example. There is a famous pho­ tograph showing long lines of people filing down the emergency stairs to get out of the towers in the immediate aftermath of the attacks, which also shows the New York firefighters climbing up those same stairs to get to the fires on the upper floors. These firefighters were required by their role to head into the danger that basically everyone else was heading away from; on that day it cost over three hundred and forty of them their lives. People who occupy specific roles in society may also find it necessary to develop skills and character traits that would normally be considered vices, rather than virtues. Undercover agents, for example, need to be convincing liars. So for someone in such a position the ability to lie to others would be a virtue, even though an ability such as this would not usually be considered virtuous in normal circumstances. When considering the role military personnel perform, the ability and willingness to harm others in the pursuit of important objectives might well be considered to be a virtue, though under normal circumstances I think most 38 MILITARY ETHICS people would consider this to be, at the very least, a significant flaw in a person's character, even if they were not willing to go so far as to call this a vice.6 In general terms, people who occupy particular roles may sometimes be mor­ ally required to (1) routinely do things that would normally be wrong, (2) do things that would be supererogatory for ordinary people in an identical situation, and (3) do things in specific situations that would be wrong for ordinary people in an identical situation. The duties of military personnel flow out of the oath(s) of office military per­ sonnel take, and out of the mission of such state military forces. Modern military oaths obviously vary from one country to another. In the United States, all mili­ tary personnel swear an oath to uphold and defend the Constitution; in the United Kingdom and in most other Commonwealth countries, military personnel swear an oath to be faithful and bear true allegiance to the current monarch (and their heirs and successors); Polish officers swear an oath to bear faithful allegiance to the Republic of Poland; and so on. Although these oaths may be different, the oaths of all genuine modern democracies seem to share at least one important feature in common. All these various oaths, despite their differing emphases and phrasings, require military personnel to swear their loyalty to the state as a whole, or to some idealized repre­ sentation of the state such as the Constitution, rather than to the governing body, to a specific individual, or even to a specific elected office.7 The duties encapsu­ lated by an oath to serve the state as a whole are subtly different than would be captured by an oath to simply serve the needs of the elected government of the day. This is an important distinction, since it means that even though there is civilian control of the military within a democracy, there are some limits to that control, which are actually incorporated into the military oath itself Thus if the civilian government of the day was to order the military to do something that was clearly at odds with the interests of the state as a whole, then military personnel could legitimately refuse to obey such an order. Consider the U.S. situation as an example here. There might seem to be little difference between (a) swearing an oath to uphold the Constitution, when that Constitution establishes the President as the Commander in Chief of the armed forces; and (b) simply swearing an oath to be faithful to the orders of the President who is the Commander in Chie£ In nearly all situations the two oaths would be identical in effect, but in some extreme situations the two oaths could have dramatically dif implications. If, for example, a President were to lose an election and then order the military to impose martial law across the country to allow that President to retain power, then the military, having sworn an oath to uphold the Constitution, could quite obviously, and legitimately, refuse such an order since such an order would violate the Constitution they have sworn to uphold. If the military simply swore to obey the orders of the President, on the other hand, they might well want to refuse to obey an order to impose martial law, but it is no longer so obvious that they can do this without breaking the oath that they have sworn.8 Chapter 3: Professional Ethics, Duties, and Obligations 39 Given that military personnel promise to serve the state, the mission state­ ments of state military forces will obviously also be very important in determining the role morality of military personnel. Most Western democracies have fairly sim­ ilar mission statements for their military forces, which amount to defending the country, including its people and its national interests. The role morality required of military personnel thus flows out of the oath of service taken by them, out of the general mission of military forces, and out of the command structure of those military forces, which has been established in order to better fulfill the overall mis­ sion of the defense forces. Members of the military will have a duty to (1) deal out death and destruction, often not in strict self-defense, in accordance with interna­ tional law and the legitimate demands of the civilian government that controls the military; (2) follow all legal orders; (3) risk their own life and health in dangerous missions where this is necessary in order to fulfill the overall defense mission, which in some cases might also include a duty to sacrifice friends and/or colleagues in the fulfillment of those missions; (4) deploy when required, again in accordance with international law and the legitimate demands of the civilian government that controls the military; and (5) accept a curtailment of the usual right to free speech, especially with regard to public criticism of the civilian government. Specific aspects of some of these duties will be explored in later chapters. For example, the legitimate demands of civilian government with regard to making war will be discussed in Chapters 4 and 5, and the duty to follow orders, includ­ ing discussion of what orders ought to be given, will be specifically discussed in f Chapter 6 as well as being examined during discussions of other issues in later chapters. However, at this point it should already be clear that examining issues in military ethics requires consideration of the role morality entailed by military service. This often means that what military personnel are ethically required to do will be different from what is required of others in similar situations. MILITARY VALUES AND MILITARY VIRTUE The defense forces of most modern democracies have a statement of values or list of military virtues that is intended to remind members of the military what is considered important and thus how they are expected to behave, both in peace­ f time and at war. Unfortuna�ely, such lists are often somewhat confused over the distinction between values (the ideals a community cherishes, such as freedom and equality) and virtues (desirable characteristics of individuals, like courage and honesty).9 As Paul Robinson notes, most such lists are inward looking in that they focus only on the individual member of the military and perhaps on their rela­ tionshjp with other members of the military, and on what is necessary to make those military personnel functionally effective; to ensure they will follow orders and efficiently use deadly force when required. "They seem to ignore the fact that the purpose of military ethics is not solely to produce soldiers who will be I 40 MILITARY ETHICS efficient, but also to limit the use of force and to protect others from the power that soldiers wield."10 Equally problematically, whereas some military services do devote a substan­ tial amount of time to training their members about these values and their mean­ ings, in many cases these lists seem to be presented with little in the manner o f explanation. I n training establishments and recruitment centers in many countries around the world one can find posters displaying the values of one military service or another, apparently with the assumption that the terms included on such lists will be clearly understood by all those who read them. While this may be true o f some virtues, it is certainly not the case with others. Even when examining virtues that appear to be obvious, like courage, for example, most military personnel are likely to think of this virtue in terms of physical courage, say in the face of the enemy, rather than moral courage; doing what you know to be right even when this is unpopular. Given the wide range of military organizations across the world, and the dif­ fering values that they have, it would be foolish of me to attempt to discuss in detail all of the various virtues that seem to be expected of military personnel in all these different countries. However, there are some military virtues that seem to be almost universally accepted: courage, which as I have already mentioned ought to be taken to include moral as well as physical courage; honesty, which in some lists of military values may be subsumed under the headings of credibility, or integrity, or honor; and loyalty, to both the state and to other members of the military. These virtues, being so widely accepted but also, in at least some circum­ stances, so problematic, deserve closer examination. All three of the major mili­ tary virtues I have mentioned are important in the following case, though each is important in a different way. CASE STUDY 3.2 Leave No One Behind Many military organizations use the code, "Leave no one behind." This phrase creates a deep individual commitment among fighters which will, in turn, strengthen the fighting spirit and morale of a unit. It helps to assure the families of the fighters that their relative will not be left behind/alive or dead, they will be brought home. But this code also places a heavy moral burden on the Commanding Officer. He or she must ask: How many healthy fighters will I risk to bring home one wounded fighter or a body? This becomes one of the most difficult moral decisions o f Command; losing a n unknown number o f lives of your people t o uphold the important code,"Leave no one behind." This case is a peace-time sce­ nario, which probably occurs much more frequently than the war-time scenario, and has the exact same moral decision at its core. Chapter 3: Professional Ethi cs, Duties, and Obligations He was one of those rare naval aviators who were universally admired. In both social and official situations, he always seemed to ask the right question, and he seemed to find that balance between being friendly and professional at the same time. When he walked into the squadron ready-room people would sit up a little straighter; not because he required it, but because they admired him, and they wanted his respect. As Commanding Officer of Helicopter Antisubmarine Squadron NINE. (HS-9), CDR James "Fox" Davis knew his men and women, and he understood his mission. The Squadron's many missions included Anti-submarine/Anti-surface operat.ions, Combat Search and Rescue (CSAR), and logistics support for the Carrier Battle Group. Clearly. their everyday embedded mission was Search and Rescue (SAR). As CDR Davis used to say with pride, "On a good day we catch a submarine. On a great day we save a life." The SAR mission and particularly the CSAR mission were well respected in the fleet; not only because the HH-60H "Seahawk" would be there to pick you up out of danger, but because the aircrew would often (selflessly) risk their lives to make the dangerous pick-up. CDR "Fox" Davis knew the fine line between bravado and professionalism. He inst.illed in his Squadron the idea that if you have to take risks. make sure you under­ stand, plan for, and minimize those risks while performing your duty. HS-9 was three months into a six-month deployment on the Carrier, and they had established a superb record with the Carrier Air Wing Commander (CAG). The CAG is the Commander of all the aircraft squadrons and is responsible for aircraft operations to the Battle Group Commander.The squadron CO worked for the CAG, and although the CAG was an F/A-18 "fighter-jock," he treated his HS skipper with private and public respect. "Fox" Davis's squadron was also respected by the CAG and Battle Group staffs not only for getting the job done, but also for taking care of their people, and even getting the routine admin paperwork in on time (a trait not all that common among naval aviators). Every Tuesday at 13:30 during the deployment, the Squadron skipper held training with his pilots and crews. They would review basic procedures (NATOPS). and talk about operational and emergency flight parameters. In aviation terms. they discussed normal and emergency "envelopes"-the parameters of safe flight-and which of these areas a pilot could trade off in emergency situations of mechanical failure or weather conditions. His pilots felt comfortable enough with their skipper to ask hypothetical questions, such as, "Skipper, what if we were in the situation where . .. :· During normal flight operations, an HH-60H would be airborne in a "Primary Search and Rescue" position to immediately rescue a downed pilot or man over­ board. On this day, they were transiting the North Atlantic, and as was often the case in October, the weather was terrible and unpredictable. Depending on where you were in relation to the land masses and islands. you could find a sudden change in the weather in both wind speed and wave height. With winds at 45 knots (gusts to SS), and waves and swells over 25 feet (40 feet crest to trough). all aircraft were either struck down to the hanger bay. or tied down on the flight deck.The Air Boss had just called CDR Davis and asked him 41 42 MILITARY ETHICS to keep HH-60H, call sign "Troubleshooter 6 1 s;· on the flight deck in an Alert 30 launch status. but with double tie downs, and extra straps on the wildly bouncing rotor blades. Davis complied, but knew that if the helo were needed it would cake quite a bit longer to make it ready. "Fox" Davis was in his stateroom trying co do paperwork while the carrier rolled and pitched. His Squadron Duey Officer, LT "Puck" Evans, had just reported to him that the Alert 30 was set with Troubleshooter 6 1 5 and LCDR "Chipper" Morrison as Aircraft Commander. The Alert 60 was also set with Troubleshooter 722, with LT "Pigpen" Phillips and his crew. On his desk, CDR Davis had a small communications panel with several phones. At that moment, two of the phones rang at the same time. Davis was startled a bit, because one call appeared to be coming from the Air Boss and the other from his squadron ready room. "This can't be good!" he thought. He answered the Air Boss call first. "Davis. here." "Fox, we have a confirmed man overboard from the USS Mahan. They have a DR (Dead Reckoning) plot on his position, 5 miles from us." "What are the weather conditions?" CDR Davis asked, as he tried to turn on his closed circuit TY to see the topside camera picture. He tried all channels, but could not get a picture on the screen. "That's the problem," said the Air Boss, "We have about zero-zero conditions (visibility) and 45-knoc winds and 25-foot swells." (This explained why he couldn't get a picture on his closed circuit TY.) CDR Davis knew he would be asked for a recommendation at the end of this call, so his mind began co go through the flight envelopes, helicopter launch and recovery parameters, the hypothermia cables (how long a person can survive in this water), and the qualifications of his crew.After reviewing all those considerations, the image of the sailor in the water trying to survive caused him to quickly say,"Lee's launch 6 1 S and reset 722 as an Alert I 5 standby. I'll assemble the rescue coordina­ tion team in CVIC." Within seconds, "Now launch the alert helo!" came over the I MC. By the time CDR Davis got down the passageway co the ready room, LCDR "Chipper" Morrison, his co-pilot, the hoist operator and rescue swimmer in full water survival gear ran past him with flight helmets in hand. CDR Davis didn't want to stop them with a long talk, because he knew that they were crying to focus on the rescue mission, and they were well trained; they knew what to do.They knocked three sailors and a supply officer off their feet as they ran to the flight deck. Within 1 2 minutes, and 18 minutes ahead of schedule, Troubleshooter 6 1 5 lifted off the flight deck with almost zero-zero visibility, disappearing into the fog at about 30 feet of altitude. Every second counts. They established radio commu­ nication with the USS Mahan and were directed to the estimated position of the man in the water.They radioed back that the visibility was about 50 feet and there was no ceiling. In ocher words, they could see less than SO feet around chem and chat was it. In the calculus of finding a lone sailor in 20 foot waves. high winds. and reduced visibility.the odds for success on this mission were very low, but there was Chapter 3: Professional Ethics, Duties, and Obl igations a chance.This mission was well out of safe flight parameters, but a human life was at stake. Davis sent his XO to the CVJC, and he went to the ready room to be with his pilots. Jn the ready room, time sort of stood still, as they waited for news from 6 1 S. The "Alert IS" crew of Troubleshooter 722 was standing by in the aircraft, with their fingers on the engine start buttons. CDR Davis tried to look calm for his squadron pilots, but he knew this mission was at (or beyond) the limit of his crew's and aircraft capabilities. He thought to himself, "With these conditions, they are working very hard just to stay out of the water themselves, making finding the man overboard very difficult." After all, he'd done this himself several times before--each time not finding the survivor despite his best efforts. But. "We have to do everything we can." Then the phone in the Ready Room rang, "Fox, this is the Air Boss." His voice was steady but very serious. "Mahan says that 6 1 S spotted something in the water, and on the way down to a hover, caught a gust or a large wave, and they believe 6 1 S went in the water. Mahan hasn't heard from them in over 2 minutes." This is every squadron Commanding Officers' nightmare call. There was a long pause on the phone, as the Air Boss understood that Davis would need a few seconds to assess the information.After a few seconds came the inevitable question, "Skipper, do you want to launch 722 to go after them!" As CDR Davis focused on this question, all the sounds in the ready room were filtered out by his concentration. Time seemed to stop as he considered what to do. Should he risk another flight crew to save the first crew in the water! Maybe he should "cut his losses" and declare that it's unsafe to fly. He knew he was well outside safe flight parameters. He had many people to answer to. including his CAG, his pilots, and their families. CAG certainly wouldn't want to Jose another plane or crew. But his squadron pilots would certainly want to make another res­ cue attempt. His squadron would want to launch every flyable helicopter to save a life. (Often, in these situations, the CO will be the only one to hold them back from a high-risk rescue. They are trained to save lives, and he knew they would be ready to go in an instant.).What about the families, he thought. How can I tell them I didn't try to save their husbands and sons! But if I send another crew, and they go down, how will I explain to their families that we flew in these conditions­ twice! All his years of flight training allowed him to stay cool and think calmly under stress. But his flight training never prepared him for this decision. In vivid detail, he thought. "Every second counts for survivability. A perfectly good helicopter went down because of the weather.Will 722 have a better chance or could they go down too!" Whil� the Air Boss waited on the phone for an answer, CDR "Fox" Davis was trying to decide: What is the right thing to do? sou11ce: Case written by CAPT W Rick Rubel, U.S. Navy (Ret). and reprinted with permission from W Rick Rubel."leave No One Behind." joumol ofMilitary Ethics 3(2004). 252-56. 43 44 MILITARY ETHICS Courage: To attempt a rescue in these conditions requires physical courage. However, as was mentioned in the context of Aristotelian virtue theory in Chapter 2, courage is a virtue but recklessness is not. If the flying conditions are so bad that rescue would be essentially impossible, then CDR Davis will have tO possess the moral courage to restrain his squadron and prevent them from attempting an impossible rescue. Honesty: One military virtue that is especially important, but often not well recognized, is the virtue of honesty. In one form or another it appears on virtually all lists of military virtues or military values, sometimes on its own, sometimes tied into other terms like "credibility," or as an aspect of more overarching terms. Some lists of military virtues include honor, for example, which is usually taken to mean an allegiance to one's duty and to doing what is right; this clearly also includes an expectation of honesty. "Integrity," which is also often found on lists of military virtues, is almost always defined in terms of soundness of character and also clearly includes an expectation ofhonesty.11 The reason that honesty is so important as a military virtue is that military decisions often put lives at risk, especially in war but also in peacetime, and an incredible number of those decisions are based on trust; trust that the information being supplied from the field is correct, trust that the readiness reports are an accurate indication of the unit's ability to operate, trust that the individuals involved are actually trained to the required standard. Trust is fundamentally dependent on honesty. If it is learned that someone is being dishonest then that trust starts to break down, and even if the dishonesty is not discovered, decisions are being made with inaccurate information, which often means an increased risk for those being ordered into action. If a pilot's training records have been falsified, for example, and that pilot is ordered to do something that he is, on paper, capa­ ble of doing but that he has not actually been trained to do, then this will mean that he and the people around him are going to be placed at more risk. Consider the situation in Case 3.2 (Leave No One Behind). When CDR Davis decided to launch a helicopter to try to find the man overboard, his assessment of the risk involved was based on quite a few assumptions, foremost among them being that he was launching a perfectly good helicopter with a skilled and fully trained pilot at the controls. If this is not actually true, then he is putting lives in even more danger than he believed, perhaps placing them at so much risk that the operation should not reasonably be carried out at all. CDR Davis's assumptions are based on trust and honesty: trust that the maintenance personnel have not cut corners and then lied in their maintenance reports; trust that the pilot's past training and operational records honestly reflect the pilot's capabilities; trust that the pilot who will fly the mission is not lying when he says he is fully fit and up to the task, as opposed to actually feeling extremely sick and having reported for duty simply because he didn't want to let anyone down; and so on. The actions of his subordi­ nates are also based on trust: trusting that CDR Davis won't risk their lives by sending them out on this dangerous mission if there is simply no prospect of Chapter 3: Professional Ethics, Duties, and Obligations 45 being able to successfully carry it out, and also trusting that he is being honest with them about their chances of accomplishing a rescue. Loyalty: One particularly problematic virtue is loyalty, which needs to be especially well understood in the context of the military because it is so com­ monly regarded as a military virtue. In his chapter on ethics education in the military, Paul Robinson notes that loyalty (in one form or another) appears on 8 out ofthe 12 lists of military virtues included in his discussion.12 But loyalty often poses problems for military personnel because the demands of loyalty can easily come into conflict with the duties required by military service. A good example of this is when a soldier finds out that another soldier in his section has been engaged in some form of misconduct. In such a situation loyalty seems to demand one course of action, in this case to help the other soldier to avoid punishment for his misconduct, while the duties of military service seem to require that the misconduct be reported.13 Everyday understandings of loyalty tend to see it as an all or nothing concept; that if one is loyal to another person then this requires supporting that person in every way, and failing to do so is demonstrating disloyalty. Anyone who under­ stands loyalty in this way will thus almost certainly believe that "genuine loyalty" will place essentially unlimited demands on a person, a concept that seems neatly in parallel with the idea of military service itself being an unlimited liability con­ tract, a contract under which military personnel may have to go into harm's way, perhaps even die, in the course of their duty.14 Seeing loyalty in this way might be quite reasonable in some circumstances, such as in combat situations where military personnel place their lives in each others' hands and where they almost routinely take great risks, even extreme risks, to protect the lives of their col­ leagues. However, viewing loyalty in this "all or nothing" manner will be much more problematic in the much more common, even mundane, noncombat situations in which duty and loyalty seem to come into conflict. What is not often recognized, unless it is specifically discussed, is the fact that people actually have many loyalties, to family, friends, colleagues, organiza­ tions, countries, and to themselves, and these loyalties can sometimes come into conflict with each other. With this in mind it is important to understand what it actually means to be loyal and to be disloyal. Some loyalties are generally seen to be more important than others; some loyalties even have legal protection. A judge or lawyer may be thought to have a loyalty to the law (or perhaps more specifi­ cally to the criminal justice system), but even if they have taken an oath to uphold the law this does not mean that loyalty cannot be legitimately overridden by another loyalty, such as their loyalty to their spouse. Suppose, for example, that the spouse of a judge was accused of a crime, and the judge was believed to pos­ sess evidence about that crime. The judge has loyalties both to the law and to their spouse, but we would not say that they were being disloyal to the law if they were to refuse to testify against their spouse, and in fact in most jurisdictions the right to refuse to give testimony against one's spouse is protected by law. 46 MILITARY ETHICS When loyalties come into conflict, a person can chose to act on one loyalty rather than another, but this does not mean that they are as a consequence being disloyal. I would argue, along with John Kleinig, that a person is only disloyal if they abandon the bonds of loyalty for reasons that are self-serving.15 When loyal­ ties come into conflict, acting in accordance with one loyalty does not necessarily mean disloyalty to another, though of course it may well be perceived as such. Thus, in many cases where a person chooses to act in accordance with one loyalty and not another, although they may be accused of being disloyal, this is often an inappropriate accusation. Of particular interest in this regard are those situations where a person who has done something wrong requests (or even demands) in the name of loyalty that another person place themselves at some risk to either cor­ rect the problem or attempt to ensure that it will not be discovered. CASE STUDY 3.3 The Training Course Captain Cupples's battalion was scheduled for deployment to the Middle East in the near future and he was trying to squeeze in as much time with his newborn son as possible. Consequently he was rather unimpressed to be informed, on very short notice, that he and three other officers from the battalion would be required to attend a week-long course on the use of new technology in multinational opera­ tions. He was even less impressed when he was informed that the course was in another country. since this added to the length of time he would be away, and meant that he would also have to cope with jet lag a.s well. Cupples knew his battalion wasn't expected to be engaging in any coalition operations during the deployment, and he had attended a similar course in his own country only a few months earlier, so he thought this course was a waste of time and money, especially since it was apparently all taking place i n a fairly expensive hotel. When Cupples arrived for the start of the course he was rather surprised to realize that he and the three other officers from his battalion were the only officers from their country present; all the other course participants were foreign military personnel.All were scheduled to be deployed to the Middle East around the same time, and this course was apparently part of a new effort at international cooper­ ation in the area. Cupples was also both surprised and happy to see that one of the main instructors was an old friend of his from the Academy, Marc Schwartz, a recently retired Army officer who was now working forAIM Robotics, a private mil­ itary company right at the cutting edge of new technology. Marc's last deployment before retirement had been to the Middle East. and the course proved to be very down to earth and much more useful than Cupples had expected both in terms of teaching him about the latest technological developments and making good con­ tacts with officers in the military forces of other countries. Marc proved to be very knowledgeable about the best local restaurants as well as new military technologies, and he decided that it was his "patriotic duty" Chapter 3: Prnfc:ssional Ethics, Duties, and Obligations 47 to look after the four Army officers. He took them to a different restaurant every night and even paid for all their food and dri nk, waving away every one of their attempts to contribute with a cheerful cry of"It's all on the AIM expense account. My boss told me to take people out every n ight-it's why I'm running this course in the first place." After returning home, Cupples had the luxury of a couple of days off before having to report for duty again, time that he enjoyed spending with his family.When he returned to duty the following week, Cupples was walking down the corridor when he met Captain Gruen, one of the other officers from his battalion who had attended the course. Gruen informed him that since the accounting period had closed off the previous day, the CO had ordered Gruen (technically the senior offi­ cer of the four who had attended the course, and the only one on duty in any case) to submit the expense claims for all four course attendees. "I just submitted forms for the usual daily allowance for meals and incidentals" said Gruen. "You can stop by the CO's office sometime today to sign it. Every­ thing with this course happened so fast he wasn't sure what expense.s the unit would get stuck with, maybe even our flights and he's happy that everything else was taken care of." Cupples nodded absently, his mind on other things. and then he paused as a thought struck him; he hadn't spent a cent all week.The h otel they were staying in had provided free airport transfers, both breakfast and lunch had (somewhat unex­ pectedly) been provided to all participants in the course, and Marc had paid for everything else. "I don't think that's right. I'm pretty sure the book says we can only claim for meals and incidentals if we actually paid for them, and I know I didn't pay for anything at all this last week." Gruen grinned knowingly. "Maybe. It's one of the quirks of the new defense expense system that you get the full day's expenses if you only pay for one "major" meal, and since you don't have to keep receipts anymore, no one will ever be able to check up on it.Anyway, it's too late now, the claim's gone in and everyone else has signed it.The way I figure it, since the boss is happy with th e cost, it must be OK. Consider it compensation for being away from your family." Cupples felt a little uncertain, but he knew if he didn't sign the form that had already been submitted in his name, then the others would all get into trouble. Since they were being deployed soon and would have each other's lives in their hands, Cupples didn't want to cause any problems; he signed the form in the CO's office later that day. Four weeks later the battal ion deployed to the Middle East. There are several aspects of this case that could be considered problematic; for example, accepting food and drinks on the AIM expense account could be an issue, especially if these officers will later have to make recommendations about purchasing technology from that company. However, the issue I want to focus on for the purposes of this discussion is the clearly inaccurate expense claim that Gruen has submitted, apparently with the collusion of the other officers who 48 MILITARY ETHICS attended this course. Submitting an expense claim like this is a straightforward case of fraud, at least in every jurisdiction that I can think of. Thus when Gruen suggests that Cupples ought to go along with the others and submit a form claiming expenses that Cupples is not entitled to, Gruen is actually asking Cupples to collude with him in defrauding the government (and by extension every taxpayer in the country). Acting in such a manner is clearly wrong, since it is both illegal and in obvious violation of the officer's duty to serve the state. Thus this is a test of integrity. It is obviously wrong to submit a fraudulent claim but there is temptation to do so since there is little likelihood of being caught. However, when I have discussed situations like this one with military personnel, they have often suggested that this is not a simple test of integrity, but rather that it is an ethical dilemma, since Cupples's loyalty to Gruen and the other officers will mean that Cupples should not reveal their wrongdoing and thus he should go along with them in submitting an inaccurate expenses claim. In other words it would be disloyal of Cupples to reveal the wrongdoing of the other officers by refusing to submit a similar expense claim. To be clear, what these people are sug­ gesting is not that the loyalty that Cupples feels towards Gruen and the other officers makes this a more difficult test of integrity (i.e., that it gives him even more reason to do something that he knows is wrong), but that consideration of the virtue of loyalty, a virtue so often emphasized to military personnel, actually changes this situation enough so that it is no longer clear what the right thing to do is, and turns it into a genuine ethical dilemma. This sort of thinking reveals two big problems. The first problem is the way in which such thinking seems to elevate the virtue of loyalty to a status far above any of the other military virtues; that when questions of loyalty arise, other military virtues, such as moral courage and honesty/integrity/honor, simply go by the wayside. The second problem this sort of thinking reveals is a lack of under­ standing of what loyalty actually means, as well as when and how it ought to be appropriately displayed. When a military officer engages in misconduct and then asks another offi­ cer to help cover things up, if the second officer agrees to help cover up the mis­ conduct, then this will itself be a form of misconduct, and thus entails a level of risk for the second officer. If they refuse to help cover up the misconduct, then they will often be accused of being disloyal, in many cases not only by the offi­ cer who engaged in the misconduct in the first place but also by other military colleagues, even those who thoroughly disapprove of the original act of misconduct. Given that the original act of misconduct is itself a form of disloy­ alty, in that it is disloyal to the officer's oath of office and to the aims and ideals of the military, it seems odd in such a case to accuse the second officer of being disloyal; odd to even suggest that their loyalty could or should be requested or even demanded by someone who is actually demonstrating a lack of loyalty at the time, as well as displaying a lack of other important military virtues such as honesty or integrity. Chapter 3: Professional Ethics, Duties, and Obligations 49 What I have just described here is a more general version of the siniation with which Cupples was faced; Gruen has done the wrong thing and asks Cupples to demonstrate loyalty to him and the other officers by not revealing their misconduct, which in this particular situation actually requires Cupples to become complicit in that misconduct himsel£ It is difficult to see how the loyalty that Cupples is demonstrating to Gruen and the other officers, by colluding in their submission of an inaccurate expense claim, can truly be thought to be virtu­ ous, given that Gruen is demonstrating a lack of virtue in several respects, in that he is showing a lack of honesty, a lack of loyalty to his oath of service to his coun­ try, and even a lack of loyalty to Cupples, since he is asking Cupples to engage in illegal activity. Cases like this one demonstrate that loyalty, especially unthinking loyalty, is not always a military virtue, but that it can actually be a vice if the loyalty is displayed in inappropriate ways or inappropriate situations. Loyalty, as a virtue, is only ever an instrumental virtue, in that loyalty is only good as a consequence of the effects that it brings about and not good in and of itsel£ This means that the character (or characteristics) of the person or object of loyalty will be extremely important in determining whether loyalty is in fact a vir­ tue; if the object of loyalty is a worthy one, then loyalty will be a virtue, but if a person is loyal to a malevolent ideal or to an evil person, then they are not dem­ onstrating a virtue at all. Thus someone who is intensely loyal to the ideals of the Klu Klux Klan, for example, cannot in any sense be considered to be virtuous as a result of that loyalty; whereas someone who is loyal to the ideals of a benevolent organization, such as the International Red Cross, is demonstrating a virtue as a result of that loyalty. What this means in military terms is that it is virtuous to demonstrate loyalty to those people who are upholding the values and mission of the defense force, but loyalty to those who are acting in ways that undermine those values, and the overall mission, is not virtuous and might even be considered to be a vice. When loyalty is poorly or wrongly understood, this can have the effect of making fairly straightfonvard tests of integrity look like genuine ethical dilem­ mas. In most military cases a better understanding of loyalty reveals that this is in fact a false impression, and that loyalty, appropriately displayed, does not act as a significant modifier of ethical action in such situations. If a situation is one that would usually be seen as a test of integrity, but on this occasion loyalty seems to suggest that a different course of action might be the ethically correct option, then this can really only mean that one's duty in such a situation appears obvious but that the apparent obligations of loyalty in the case mean that it seems like doing one's duty may not be the ethically correct thing to do. In other words, duty pulls in one direction and loyalty in another, as was the situation for Captain Cupples in Case 3.3 (The Training Course). It is hard to think of a single military situation like this that does not involve the decision maker (A) becoming aware of the wrong doing of another person and then A either (1) ignoring, (B), who they feel some bond of loyalty with, (2) covering up, or (3) colluding in the 50 MILITARY ETHICS wrongdoing of B because of the loyalty that they feel. Doing any one of these three things will usually be wrong, though they are not all equally wrong, since colluding in the wrongdoing will almost always be worse than simply ignoring it. What is dear though is that in any situation like this B really cannot be demon­ strating loyalty to A; it is simply a case where loyalty is being demanded by some­ one who by the very act of demanding loyalty is in fact demonstrating their own disloyalty. When properly understood, in any situation like this considerations of loyalty are not sufficient to turn what would normally be a test of integrity into an ethical dilemma. To be clear, I am certainly not suggesting that the situation that Cupples had to deal with was an easy one. Tests of integrity can perhaps, at least in some cases, be even more difficult to deal with than ethical dilemmas, especially when doing what is right will involve significant costs or other harms to those a person is close to. Given the particularly close, almost familial, bonds that exist in many military units, especially combat units, it is no surprise that the pull of loyalty in such units will be very strong indeed. One specific area where military commanders need to consider the issues posed by duty and loyalty is with regard to the issue of military personnel report­ ing the misconduct of others.16 It is quite common for military personnel to be ordered to report the misconduct of others, and the mere duty to follow orders might be thought to be sufficient to ensure that the personnel receiving such orders would see any situation like this as a test of integrity. However, unless the demands of loyalty are properly understood by the personnel involved, then such situations are much more likely to be viewed as genuine ethical dilemmas. It is only in recognizing the disloyalty inherent in a demand by a colleague to help to cover up their misconduct, despite the duty to report it, that military personnel are likely to start to view such a situation as a test of integrity. Of course this does not guarantee that the person will actually report the misconduct of their col­ league, since even when a person knows they are facing a test of integrity they may still do the wrong thing. However, there is another difference between tests of integrity and ethical dilemmas that is important here. In some cases a person who has to deal with an ethical dilemma may never actually know whether they did the right thing or not, since they might not know whether things would have turned out better if they had taken a different course of action. A person who knows that they are facing a test of integrity, on the other hand, knows what the right thing to do is, even if they do not actually do it. Thus it is no small thing for a military officer to be able to educate those under their command to recognize the difference between a test of integrity and an ethical dilemma, especially in sit­ uations where loyalty may come into play. If Captain Cupples thinks the situation he faces is a genuine ethical dilemma then he might go along with the actions of Gruen and the other officers all the while believing that he is actually doing the right thing. On the other hand, if he sees the situation as a test of integrity he might still go along with the actions of Gruen and the other officers, but at least Chapter 3: Professional Ethics, Duties, and Obligations 51 he would now recognize that he is doing the wrong thing, and this is significant in itself. Of course some people in the military will do the wrong thing, but it will always be better if they know they are doing the wrong thing than for them to act wrongly but think what they are doing is acrually ethically correct. THE TRIANGULAR BALANCE Commanders must balance three responsibilities when engaged in any form of operations, in war or in peacetime.17 These arc the mission; (2) (1) the responsibility to achieve the responsibility to protect their own forces; and (3) the respon­ sibility to protect other persons, wruch in peacetime operations will mean any bystanders or other innocent parties and in wartime operations wilJ include all noncombatants and their property. This triangular balance can be difficult to maintain, especially in combat operations, since it will often be the case that two of the considerations will come into conflict with the third one. CASE STUDY 3.4 Miiitary Dispute Over Casualties in Afghanistan In mid-June 2006, images captured by an Australian unmanned aerial vehicle (UAV) led to a clash between a senior Australian officer and U.S. defense force officials over the issue of civilian casualties. The UAV was apparently engaged in an unre­ lated mission, but was in a position where it was able to record the results of a U.S. missile strike on a compound that was allegedly a Taliban stronghold. The attack was part of the U.S.-led Operation Mountain Thrust. which was being conducted in Southern Afghanistan at the time. In public comments after the operation, the U.S. military said its missile strikes had been successful and had killed scores of Taliban fighters. What was apparently of concern to the seniorAustralian officer in this case was the fact that the images captured by the UAV appeared to show a number of civil­ ians. including children, being blown up during the strike.Australian Defence sources suggested that this officer, stationed at the military headquarters in Bagram, had confronted a senior U.S. officer over the operation and the level of collateral damage that it had caused. He also threatened to relay his concerns back to the Australian Department of Defence, an action that may well have caused the Australian govern­ ment to reevaluate its cooperation with the U.S. in Afghanistan.TheAustralian officer was particularly concerned that the U.S. had decided to attack the Afghan compound with missiles from a ground-based rocket system without asking for more informa­ tion about the target from the Australian forces, who were in a much better position than U.S.troops to carry out more detailed reconnaissance on the compound, which was located near the Australian area-of-operations. 52 MILITARY ETHICS However, this dispute between allies over the issue of civilian casualties did not become public until 2009, at a time when both the Afghan government and internationa l observers expressed major concerns about the level of collateral damage caused by U.S. air and missile strikes against apparent Taliban and Al-Qaeda targets. SOURCE: Based on Australian Defence Force reports and Nick Mackenzie, "Milicary Dispute over Casualties.'' Sydney Morning Herold, May 18, 2009. The apparent aim of the U.S. operation in Case 3.4 was to kill a large number of Taliban fighters, and the means used for the attack-a ground-based rocket system-ensured that the lives of U.S. personnel would not be risked in an assault. However, employing this form of attack meant that there would probably be a higher number of noncombatant casualties than would be the case if another form of assault had been chosen. It appears that the senior Australian officer mentioned in the case felt that the U.S. commander had placed too much empha­ sis on two factors, achieving the mission and protecting U.S. forces, and not enough emphasis on protecting the lives of noncombatants. The Australian offi­ cer obviously believed that other avenues of assault should at least have been investigated before a rocket assault of this type was launched. Learning to balance the competing considerations when making decisions of this type is such an important issue that I cannot consider it in detail at this point, but it will form the basis of the discussions in Chapters 7, 8, and 9 where these problems will be discussed in much greater depth. In peacetime operations the third point of the triangle, the responsibility to protect other persons, may sometimes be essentially nonexistent, but the other two points, fulfilling the mission and protecting military lives, can still come into conflict. Consider Cases 3.2 (Leave No One Behind) and 3.1 (HMAS Westralia Fire) in this regard. In Case 3.2, the CO had tO balance completing the mission, in this case the rescue of those lost at sea, with the risk to the lives of those who would be trying to complete that mission, the personnel in the second helicopter. A further complication for the CO is the fact that most of the people that he is trying to rescue, the crew of helicopter 615, are also under his direct command, which will almost inevitably lead to a sense of responsibility to protect them as well. In Case 3.1, the Captain of the Westralia had to balance completing the urgent mission that had arisen as a result of the outbreak of fire, which was the mission of protecting the ship, with the risk to the crewmembers trapped by fire in the MMS. The best course of action to protect the ship would be to engage in an immediate C02 drench of the MMS, and this is almost certainly the action the Captain would have chosen were it not for the fact that some crewmembers were unaccounted for. In this case the Captain chose to delay the C02 drench to Chapter 3: Profession al Ethics, Duties, and Obligations 53 attempt a rescue of those trapped in the MMS, a decision that almost certainly put the ship at greater risk. The problems associated with maintaining this triangular balance can also be exacerbated by other factors. One of these is the need for military personnel, on occasion, to operate in roles for which they have not been trained or in environ­ ments where the usual standards and procedures of military operations may not be appropriate. CASE STUDY 3.5 Esequtel Hernandez Shooting Eighteen-year-old Esequiel Hernandez was shot and killed during a government antidrug operation conducted near the U.S.-Mexican border town of Redford on the evening of May 20, 1997. There was little dispute about the basic facts of the case; Hernandez was shot and killed by Clemente Banuelos. an employee of the Federal government. However. while controversy is not unusual in cases where an American citizen has been killed by personnel in the employ of the government, this particular situation was almost unique. for Banuelos was not a police officer. FBI agent. or Border Patrol officer, but a U.S. Marine Corporal. The Posse Comitatus Act (a U.S. Federal law passed in 1878) generally pro­ hibits federal military personnel from acting in a law enforcement capacity within the United States, but specific exceptions can be approved by Congress. One such exception. prompted largely by concerns over drug smuggling across the U.S.-Mex­ ican border. allowed the Department of Defense to set up "Joint Task Force Six;· which from 1 989 co 1997 deployed troops to the border co assist with Border Pro­ tection. One task that these troops engaged in was covert surveillance of certain sites where U.S. Border Patrol officers believed drugs might be smuggled across the border. Corporal Banuelos was in charge of a squad of four Marines involved in such surveillance on the evening when Esequiel Hernandez lost his life. Given the covert nature of the operation, the Marines were dressed in ghillie suits (special camou­ flage clothing augmented with artificial foliage) in addition to their usual equipment. They also carried communications gear and their standard issue M-16 rifles. When Hernandez left his home that afternoon to tend to the family's goats. which generally roamed the area near the border, he took with him a World War I vintage bolt action .22 caliber rifle as protection against local predators such as coyotes. wild dogs. and snakes.While herding the goats his route took him within some 200 meters of the Marine observation point. and he apparently became aware that someone or something was in the area. and fired two shots in the general direction of the Marines. Banuelos ordered his men to lock and load, and proceeded to maneuver the squad so as to keep Hernandez under observation and to ensure that their position could not be flanked.The Marine command team was informed by radio that the unit had taken fire. and local law enforcement personnel were informed and requested to attend the scene. Over the next 20 minutes the Marines 54 MILITARY ETHICS kept Hernandez under surveillance, while he moved a short distance through the low scrub. apparently trying to ascertain whether there was still something watch­ ing him. When Hernandez raised his rifle again, apparently pointing in the direction of one of the Marines, Corporal Banuelos fired a single shot from his M-16, hitting Hernandez in the torso. The Marines cautiously approached the location, unsure whether Hernandez might be lying in wait for them, but Hernandez was dead when they found him. Various investigations into the shooting began as soon as the local law enforcement officers arrived on the scene. Eventually a Texas grand jury decided no criminal charges would be laid against Corporal Banuelos, a Federal civil rights investigation declined to charge any of the Marines. and a Marine Corps investi­ gation found that the Marines had acted properly in following both their orders and the standing rules of engagement during the incident. However, in 1998 the U.S. Government paid $1.9 million to the Hernandez family to settle the wrongful death case that the family was pursuing through the civil courts. SOURCES: Major GeneraljohnT.Coyne,"lnvestigation to Inquire into the Circumstances Surround­ ing the joint Task Force-6 OTF-6) Shooting Incident that Occurred on 20 May 1997 Near the Border Between the Uni ted States and Mexico" (the U.S.Marine Corps investigation of the inci­ r dent): S. C. Gwynne.Charlotte Faltermaye , and MarkThompson,"Border Skirmish;' Time Maga­ zine, August 25, 1997; andThaddeus Herrick."Family to Receive $1.9 Million in Border Shooting I Grand jury Again Refuses to Indict Marine," Houston Chronicle, August 12, 1998, pp.A l.A3. Case 3.5 illustrates some of the problems that can occur when military personnel are required to perform operations that would routinely be the role of the police. While there certainly are some similarities in the professional roles of police offi­ cers and military personnel, there are also some stark differences. Police officers are trained specifically to work to maintain law and order within the community and they operate by and large with the consent of the community in which they work. Military forces, on the other hand, exist to protect a country from external threats and aim to force those threatening the country into submission. Police usually work in pairs, in very small groups, or sometimes even by themselves, while military forces are trained and organized so as to be able to coordinate the actions of thousands of people. Police are usually equipped with a range of less than lethal weaponry, and in most jurisdictions are only empowered to use deadly force as an absolute last resort. Military personnel, on the other hand, are not rou­ tinely equipped with less than lethal weapons, but often carry a range of lethal weaponry, and are trained to use such weaponry in a wide range of circumstances. I certainly do not mean to imply that these differences between police and mili­ tary personnel are a bad thing, they are simply a result of the differing roles these two professions undertake and of the situations they routinely encounter while engaged in that role. However, these differences in role, training, and equipment become particularly important considerations in situations where those from one Chapter 3: Professional Ethics, Duties, and Obligations 55 profession are required, for whatever reason, to perform the functions of the other. It is rare for police officers to have to take on military roles, and this will usually only happen in extreme circumstances, such as when one country has actually been invaded by another and the police of the invaded country try to mount some sort of last ditch defense against an the invader.18 Historically it has been far more common for military personnel to be required to take on various policing roles, both within their own country and during operations abroad, and it is here where problematic issues can easily arise. The Marines involved in Case 3.5 (Esequiel Hernandez Shooting) acted exactly as they had been trained to do, and as they had been ordered to do in this situation. When fired on they did not reveal their presence, instead they remained concealed and followed Hernandez. When Hernandez raised his weapon and pointed it in the direction of one of the Marines, he was shot and killed, in accor­ dance with the U.S. Marine Corps Standing Rules of Engagement (SROE). The major problem with acting in this manner is that the Marines were essentially engaged in a domestic policing operation, and it is highly unlikely, to say the least, that police officers who were facing a similar set of circumstances would have shot and killed Hernandez without ever identifying themselves as law enforcement offi­ cers and/or giving him the opportunity to surrender. Because these Marines were being deployed for an operation that was outside the usual sphere of military expertise, the Marines were faced with a situation they had not been trained to deal with, and for which their usual training and SROE were seen to be inappro­ priate. Indeed, when assessing the actions of the Marines in this case, an attorney and an internationally recognized expert on military operational law, Colonel W. Hays Parks, noted that the SROE "May be legally correct for the purposes for which it is intended, but it is an inappropriate set of terms of reference for military support to domestic law enforcement operations"19 and that the ROE card issued to JTF-6 personnel, including the Marines involved in this operation, "May be consistent with (the SRO£) and the JTF-6 commander's intent, but it is not an accurate statement of U.S. domestic law relating to the use of deadly force.''20 Perhaps the easiest way to deal with the sorts of problems that arise when military personnel are tasked with policing operations would be to simply ensure that military personnel do not do these sorts of jobs. However, as we shall see in later chapters, although it may be possible to avoid placing military personnel in policing roles within a country's purely domestic context, this is not the case for many military personnel who are deployed overseas. This is because there are many places around the world where military personnel are being forced to engage in counterinsurgency operations, which arc at the very least police like in their nature and, in those contexts, situations like Case 3.5 (Esequiel Hernandez Shooting) cannot simply be avoided, and thus military personnel will have to be prepared to deal with them when they arise. Having examined some of the requirements of military professionalism and some of the virtues military personnel are expected to display, it is now time to 56 MILITARY ETHICS turn to the business of armed conflict itself. To do this, it is best to start by exam­ ining when it is actually ethically appropriate to become involved in such a con­ flict. This is the topic of the next two chapters, which examine such issues in the context of traditional conflicts, and then in less traditional modern conflicts. NOTES 1. Commonwealth of Australia, Report ofthe Board ofInquiry into the Fire in HMAS WESTRA.LIA on S May 1998 (Canberra: Defence Publishing Services, 1998). 2. Western Australia State Coroner, Inquest into the Deaths of Shaun Damien Smith; Phillip John Carroll; Megan Anne Pelly and Bradley John Meek (HMAS Westralia) (Perth: Government ofW.A., 2003). 3. Report ofthe BoardofInquiry into the Fire in HMAS WESTRA.LIA, p. 50. 4. For some discussion of these issues see Jessica \/Volfendale, Torture and the Military Profession (New York: Palgrave MacMillan, 2007), especially Chapters 1, 2, and 3. 5. Of course some members of the military profession, such as engineers or medical personnel, may also be members of other professions as well. Some writers, such as Samuel Huntington, have argued that only officers are members of the military profession, whereas others, such as Jessica Wolfendale, argue that all military per­ sonnel are members of the profession. See Samuel Huntington, "Officership as a Profession" in Malham M. Watkin (ed.) War, Morality and the Military Profession, 2nd ed. (Boulder, CO: Wesrview, 1986); and Jessica Wolfendale, Torture and the Military Profession especially Chapter 3, "Professional Ethics and the Military," pp. 47-76. 6. My thanks to Lieutenant Colonel Chris Mayer for suggesting this example. 7. As an aside here, I should perhaps note for those unfamiliar with the legal situa­ tion in Commonwealth countries, and indeed in many other countries which oper­ ate as constitutional monarchies, the fact that military personnel swear to serve the monarch (albeit the monarch and their heirs and successors) is nor at odds with what I have said here, despite surface appearances. In such countries the monarch has symbolic power only, and while the monarch may be the symbolic head of the armed forces, they are not actually in the chain of command. Similarly, while laws in such countries might be enacted "in the name of the Crown" and require the assent of the monarch, who is technically the Head of State in such countries, before they can come into effect, many many years of tradition dictate that this assent is purely ceremonial. This is in marked contrast to the real power wielded by those elected to the position of President (and thus Head of State) in republics like the U.S.A. Thus in countries operating as constitutional monarchies, swearing to serve "the Crown" is in some respects a convenient legal fiction, and simply reflects a commitment to serve the state as a whole, rather than the government of the day. 8. In this context it is interesting to note that in 1934, after Adolph Hitler's rise to power, the German military oath was changed. It had previously been an oath of Chapter 3: Professional Ethics, Duties, and Obligations loyal service to 57 the German people and the country (rather like the modern oaths that I have been discussing here} but was changed so that German military personnel were now swearing to render unconditional obedience to Adolph Hitler, the Fuhrer of the German Reich and people, and Supreme Commander of the armed forces. Since the end ofWorld War II German military personnel have again sworn an oath to serve the state. 9. See Paul Robinson, "Introduction: Ethics Education in the Military" in Paul Robinson, Nigel de Lee, & Don Carrick (eds.}, Ethics Education in the Military (AJdershot, U.K.: Ashgate, 2008), pp. 1-12, especially pp. 5-7. 10. Ibid., p. 6. 1 1 . Dictionary definitions of these terms are often even more explicit about the link to honesty. The definition of "honour" in the Oxford English Dictionary, for example, mentions "an abhorrence of perfidy, falsehood and cowardice"; and the definition of "integrity" is "soundness of moral principle . . . especially in relation to truth and fair dealing; uprightness, honesty, sincerity" (Oxford: Clarendon, 1989). 12. See Robinson, "Introduction: Ethics Education in the Military". Included in the list are countries such as the U.S.A., the U.K., Australia, Canada, Israel, Germany, and France. 13. The U.S. Army's Mental Health Advisory Team IV conducted surveys of soldiers and marines serving in Iraq between August and October 2006. The results were presented to the Commandant of the Marine Corps in a briefing which can be found at As well as the usual questions related to mental health, this particular survey also included questions about battlefield ethics, broken up into sections on attitudes, behaviors, reporting, and training. In the section on reporting, those surveyed were asked whether they would report a member of their unit for various offenses. The results, which are included in Case Study 11.1 (The Petraeus Letter to the Troops}, were perhaps unsurprising given the extremely strong bonds ofloyalty that exist between members of a combat unit, but they were nonetheless of concern to the U.S. military hierarchy. 14. Such a claim is made by various authors, notably by Martin L. Cook in The Moral Warrior: Ethics and Service in the U.S. Military (Albany: State University of New York Press, 2004), p. 74. 15. John Kleinig, "The Blue Wall of Silence: An Ethical Analysis," Internationaljournal ofApplied Philosophy 15(2001), 1-24, p. 10. Kleinig's analysis focuses on the loyal­ ties that form the "blue wall" of poice, l but he notes that one might also talk about a "white wall" (physicians}, a "grey wall" (prison officers), a "red wall" (firefighters}, and others. See Kleinig's Note 8, pp. 15-16. In this context perhaps we might talk about the "camouflaged wall" of military personnel. This issue is discussed in more detail in my paper "The Problems of Duty and Loyalty," joumal ofMilitary Ethics 8(2009), 105-115. 16. Reporting the misconduct ofothers is sometimes referred to as "whistle-blowing," or by colloquial terms such as "
Dynamic Followership The Prerequisite for Effective Leadership LT COL SHARON M. LATOUR, USAF LT COL VICKI J. RAST, USAF Editorial Abstract: Rather than encouraging leaders to mentor followers to “follow me” as an imitation learning imperative, leaders may mentor to specific and objective abilities/traits to create dynamic sub­ ordinates. These dynamic follower competencies form a foundation from which follower initiative can grow to leader initiative more naturally. The identified follower competencies help leaders focus their mentoring efforts. This approach encourages followers to develop fully, based on their personalities, strengths and weaknesses, and situational factors. We have good corporals and good sergeants and some good lieutenants and cap­ tains, and those are far more important than good generals. —Gen William T. Sherman A RE YOU A leader? A follower? The reality is that we fulfill both roles si­ multaneously from the day we enter military service, throughout our ca­ reer, and well into our “golden years.” We are followers—following is a natural part of life and an essential role we play in fulfilling our war-fighting roles and missions. Since most in­ stitutions conform to bureaucratic or hierar­ chical organizational models, the majority of any military institution’s members are, by defi­ 102 nition, followers more often than leaders. Few professional-development programs—including those of the US military—spend time de­ veloping effective follower cultures and skills. Instead, commissioning sources, college busi­ ness programs, executive seminars, and pro­ fessional military education curricula focus on developing leaders. Some people would argue that the various military technical schools fill the gap in follower development for career-minded Airmen, both commissioned DYNAMIC FOLLOWERSHIP and noncommissioned. This approach only diminishes the value that followers contribute to war fighting. If technical training and con­ tinuing education/leadership development at the right time in a person’s career is an ac­ cepted “booster shot” for developing effective followers, why not implement a similar strategy to shape effective leaders? The answer is that most of us intuitively know that such mea­ sures fall far short of the requirement to at­ tract and retain people of the caliber the Air Force needs in the future. In other words, our service expends most of its resources educat­ ing a fraction of its members, communicating their value to the institution, and establishing career paths founded on assessing selected leadership characteristics—while seemingly ignoring the vast majority who “merely” fol­ low. This strategy is inadequate for honing warrior skills within the rapidly transforming strategic environment that will prevail for the foreseeable future. The present formula promotes the illusion of effectiveness, but it does not optimize insti­ tutional performance. How do we know this? A cursory review of retention rates among Air Force members indicates that among “follow­ ers,” instilling institutional commitment con­ tinues to be a persistent problem. For example, according to Air Force Personnel Center sta­ tistics, the service seeks to retain 55 percent of first-term Airmen, 75 percent of second-term Airmen, and 95 percent of the career enlisted force. With the exception of fiscal year 2002 when stop-loss measures prevented separation actions, the Air Force has not met these mod­ est goals for all three noncommissioned cate­ gories since fiscal year 1996.1 For crucial officer specialties, the story is not much better. The Air Force’s rated career fields (pilots, navigators, and air-battle managers) consis­ tently retain approximately 50–70 percent of their officers. Active duty service commitments and career incentive pays, however, tend to skew retention data in the aggregate. Non­ rated operations officers (space, intelligence, and weather) retain 48–65 percent of their members, while mission-support officers elect to stay in the service at an average rate of 44 103 percent.2 Air Force efforts to boost these numbers tend to focus on “quality of life” issues—a catchall category that includes proj­ ects such as better pay, housing, and base fa­ cilities. All of these initiatives are important and appreciated, but they fail to address the role individuals play in accomplishing the unit’s mission as followers. Rather than focus­ ing on the negative aspects of worker dissatis­ faction, follower-development programs should take advantage of opportunities to instill/ reinforce institutional values, model effective follower roles and behaviors, and begin the mentoring process. Developing dynamic followership is a disci­ pline. It is jointly an art and a science requir­ ing skill and conceptualization of roles in innovative ways—one perhaps more essential to mission success than leader development. Without followership, a leader at any level will fail to produce effective institutions. Valuing followers and their development is the first step toward cultivating effective transforma­ tional leaders—people capable of motivating followers to achieve mission requirements in the absence of hygienic or transactional re­ wards (i.e., immediate payoffs for visible products). This shift away from transactional leadership demands that we begin develop­ ing and sustaining transformational followership to enhance transformational leadership. A dynamic followership program should pro­ duce individuals who, when the moment ar­ rives, seamlessly transition to lead effectively while simultaneously fulfilling their follower roles in support of their superiors. This goal helps us identify a strategy for follower devel­ opment. Just as studies have identified desir­ able characteristics for effective leaders, so can we propose follower competencies upon which to base follower development in terms of spe­ cific skills and educational programs to ad­ vance critical thinking toward sound judg­ ment. This approach demands that leaders recognize and fulfill their responsibilities in developing specific follower attributes or compe­ tencies within their subordinates. Leadershipdevelopment experts have proposed models for identifying desirable traits in leaders; simi­ 104 AIR & SPACE POWER JOURNAL WINTER 2004 larly, followership studies can benefit from the discipline inherent in model development. A model that concentrates on institutional values and follower abilities would provide a starting point for synergistically integrating leader-follower development programs. As leaders capitalize on their followers’ compe­ tencies, they will equip their organizations’ members to achieve the visions they articulate for mission effectiveness. Revolutionizing Traditional Leader-Follower Roles Institutional changes in leader-follower roles and relationships lie at the root of why the Air Force needs to engage in dynamic followership programs to enhance its warrior culture. These shifts mirror similar shifts in business and industry. One researcher noted increasing pressure on all kinds of organiza­ tions to function with reduced resources. Re­ duced resources and company downsizing have reduced the number of managers and increased their span of control, which in turn leaves fol­ lowers to pick up many of the functions tradi­ tionally performed by leaders. . . . Furthermore, the nature of the problems faced by many or­ ganizations is becoming so complex and the changes so rapid that more people are required to solve them. . . . In general, making organizations better is a task that needs to be “owned” by followers as well as leaders.3 Corporate downsizing, increased pressure to deliver results, and increasing span of control for leaders are familiar concepts to military members. What some businesses and military institutions have missed as these pressures ex­ erted themselves on leader-follower cultures is that leaders have ample opportunity to learn strategies and techniques for coping with change in the workplace. Followers, however, generally face two choices: (1) undergoing on-the-job learning that levies leadership re­ sponsibilities on them without commensurate authority or (2) entering a defensive crouch against the increasing workload. Both choices erode individual morale and institutional mis­ sion effectiveness—neither proves effective for producing capable followers within our Air Force. According to Robert E. Kelley, a prominent social scientist in followership studies, “What distinguishes an effective from an ineffective follower is enthusiastic, intelligent, and selfreliant participation—without star billing—in the pursuit of an organizational goal.” Zeroing in on the task of developing followers, Kelley argues that “understanding motivations and perceptions is not enough.”4 He focuses on two behavioral dimensions for determining follower effectiveness: critical thinking and participation. Critical thinking involves going beyond collecting information or observing activities passively. It implies an active mental debate with things or events that we could otherwise process at face value. The active, independent mind confronts the situation and scrutinizes it closely, as if to stand it on its head or on its side, conducting a thorough examination of its far-reaching implications or possibilities. Many current, successful leaders cite critical thinking as a behavior they expect of their most valued followers. As for the concept of participation, a person engaged actively and comprehensively brings to mind an image of someone “leaning forward” into the situation at hand. This posture enables the person and those he or she affects to be in a position to anticipate requirements and plan accordingly. Conversely, passive individuals remain trapped in a perpetually reactive mode, placing them­ selves at the mercy of the prevailing current rather than preparing for impending tidal changes. In combination, critical thinking and participation generate four follower patterns. Kelley argues that effective followers tend to be highly participative, critical thinkers. This type of person courageously dissents when necessary, shares credit, admits mistakes, and habitually exercises superior judgment. Kelley suggests that this follower possesses several essential qualities: self-management, commit­ ment, competence (master skills) and focus, and courage (credibility and honesty).5 Al­ though many people would recognize these traits as leadership competencies, according DYNAMIC FOLLOWERSHIP to Kelley, they remain paramount to the sup­ porting role a follower plays. This type of fol­ lower represents the essential link between leader and follower cultures. As leaders de­ velop and transmit the institution’s “big pic­ ture,” they naturally turn to such individuals to help them communicate that vision to the rest of the institution. The effective follower’s invaluable perspective permits others to sepa­ rate the essential tasks required for mission accomplishment from the minutiae. As the leader leads, the follower actively participates in task completion toward mission accom­ plishment; the leader-follower relationship produces the dynamics necessary for the team to accomplish the mission. Those who prove able to follow effectively usually transition to formal leadership positions over time. More than any other measurable attribute, this phe­ nomenon clarifies the interactive nature of the leader-follower relationship. Kelley characterizes the other three follower types (table 1) as follows: “Sheep” are passive and uncritical, lacking in ini­ tiative and sense of responsibility. They perform tasks given them and stop. “Yes People” are live­ lier, but remain an equally unenterprising group. Dependent on a leader for inspiration, they can be aggressively deferential, even servile. . . . “Alienated Followers” are critical and indepen­ dent in their thinking, but fulfill their roles pas­ sively. Somehow, sometime, something “turned them off,” prompting them to distance them­ selves from the organization and ownership of its mission. Often cynical, they tend to sink gradu­ ally into disgruntled acquiescence.6 Kelley offers an important observation with regard to some followers’ influence on some leaders, cautioning that the latter re­ main comfortable with—or even embrace— the “yes people” or other less effective follow­ ers. Follower development is a leader’s utmost responsibility. Willingness to move beyond comfort zones is fully expected of tomorrow’s leader. Emerging security threats demand that we do so. Other researchers describe a somewhat similar approach to followership studies. From this perspective, effective followers are “intent 105 Table 1. Follower types High Alienated Followers Effective Followers Sheep Yes People Critical Thinking Low Passive Participation Active Adapted from Robert E. Kelley, “In Praise of Followers,” in Military Leadership: In Pursuit of Excellence, 3rd ed., ed. Robert L. Taylor and William E. Rosenbach (Boulder, CO: Westview Press, 1996), 137. on high performance and recognize they share the responsibility for the quality of the relationship they have with their leaders. . . . They know they cannot be fully effective unless they work in partnerships that require both a commitment to high performance and a com­ mitment to develop effective relationships with partners (including their boss) whose collab­ oration is essential to success in their own work.”7 This perspective illuminates two ideal follower-competency dimensions—“performance initiative” and “relationship initiative.” Within those dimensions are descriptors (or subscales) we could call competencies. They suggest that the ideal follower would act like a partner in the leader-follower relationship. Performance initiative, a commitment to the highest levels of effort, includes the following: • Working (effectively) with others. Followers balance personal interests with the inter­ ests of others and discover a common purpose. They coach, lead, mentor, and collaborate to accomplish the mission. • Embracing change. Followers are commit­ ted to constant improvement, reduction of all types of waste, and leading by ex­ ample. They are change agents. • Doing the job (competence). Followers know what’s expected, strive to be the best, and derive satisfaction from applying the highest personal standards. To them, work is integral to life. 106 AIR & SPACE POWER JOURNAL WINTER 2004 • Seeing one’s self as a resource (appreciating one’s skills). Followers understand their value to the organization and care for themselves as assets/investments. These competencies point to team builders who “lean enthusiastically into the future” and always strive to be the best. Relationship initiative, which acknowl­ edges that followers share the responsibility with leaders for an effective relationship and work to increase openness and understand­ ing to increase perspective around informed choices, includes the following: • Building trust (core values; their word is their bond). Followers invite honest feedback and share plans and doubts. They are re­ liable and earn their leader’s confidence. • Communicating courageously (honest, timely feedback). Followers tell unpleasant truths to serve the organization. They seek the same from others and risk self-exposure. • Identifying with the leader. Followers are loyal to their “partner in success” and take satisfaction in the leader’s success. • Adopting the leader’s vision (seeing the big picture from the boss’s perspective). Followers know the limits of personal perspective and actively seek others’ perspectives for greater team effectiveness. They have a clear understanding of priorities. Combining this dimension’s competencies sug­ gests a follower whose honest integrity earns the leader’s confidence. This is a follower (partner) whose loyalty creates an atmo­ sphere wherein the team members share in the leader’s success by adopting the organization’s vision as their very own.8 These dimensions allow us to characterize additional follower types (table 2). The “politician” possesses interpersonal qualities that might be misdirected and underappreci­ ates job performance. “Subordinates” are tra­ ditional followers, content to do whatever they are told. They might be disaffected or simply unaware of the possibilities for greater contribution. Lastly, “contributors” are work- Table 2. More follower types High Politician Partner Subordinate Contributor Relationship Initiative Low Performance Initiative High Adapted from Earl H. Potter, William E. Rosenbach, and Thane S. Pittman, “Leading the New Professional,” in Military Leadership: In Pursuit of Excellence, 3rd ed., ed. Robert L. Taylor and William E. Rosenbach (Boulder, CO: Westview Press, 1996), 149. horses and often a creative force. However, they could maximize their inputs if they put energy into understanding the boss’s per­ spective, gained through relationship build­ ing. It is the “partner” who blends excep­ tional work performance with perspective gained from healthy relationships to both the leadership and peer group. If we summarize what these prominent re­ search approaches offer followership studies, we might characterize effective followers in these terms: individuals with high organiza­ tional commitment who are able to function well in a change-oriented team environment. Additionally, they are independent, critical thinkers with highly developed integrity and competency. Thus, effective followers exhibit loyalty to the boss by endorsing organiza­ tional vision and priorities. A true-life example illuminates these observations and makes the point even more effectively. In his book American Generalship, Edgar F. Puryear Jr. interviewed Secretary of State Colin Powell and asked him why he believed he was selected to be chairman of the Joint Chiefs of Staff. Powell replied, Beats me. I worked very hard. I was very loyal to people who appointed me, people who were under me, and my associates. I developed a repu­ tation as somebody you could trust. I would give you my very, very best. I would always try to do what I thought was right and I let the chips fall DYNAMIC FOLLOWERSHIP where they might. . . . It didn’t really make a dif­ ference whether I made general in terms of my self-respect and self-esteem. I just loved being in the army.9 So the question becomes, How do we develop such individuals? The Case for Effective Follower Development There may well be legitimate disagreements about which follower competencies should have priority over others or which competen­ cies belong more to leader development versus follower development. Nevertheless, it is useful to talk about the prime mechanism by which fol­ lowers learn behaviors or competencies impor­ tant to their success: mentoring. Edgar H. Schein discusses the ways that leaders create cultures, including expected behaviors, through six “embedding mecha­ nisms,” one of which is “deliberate role mod­ eling, teaching, and coaching.” He relates a story that illustrates how to teach desired be­ haviors by example: The Jones family brought back a former manager as the CEO [chief executive officer] after several other CEOs had failed. One of the first things he (the former manager) did as the new presi­ dent (CEO) was to display at a large meeting his own particular method of analyzing the perfor­ mance of the company and planning its future. He said explicitly to the group: “Now that’s an example of the kind of good planning and management I want in this organization.” He then ordered his key executives to prepare a long-range planning process in the format in which he had just lectured and gave them a tar­ get time to be ready to present their own plans in the new format. By training his immediate subordinates this way, he taught them his level of expectation or a level of competence for which they could strive. This overt, public mentoring technique—or as Schein would characterize it, “de­ liberate role modeling, teaching, and coaching”—is key to developing effective followers.10 Effective leaders acknowledge that their perspective influences their subordinates. 107 Leader priorities become follower priorities. The leader transmits those items of concern by many means—some directly but others in­ directly or according to context. As long as followers clearly understand the leader’s ex­ pectations and necessary levels of competence, the actual amount of face-to-face time is gen­ erally not critical. Of paramount importance is leaders’ awareness of how their priorities and actions will set standards for their follow­ ers’ behaviors and values. A mentoring culture is necessary to pass on the obvious and subtle values, priorities, be­ haviors, and traditions in an organization. In another interview in American Generalship, Puryear speaks with Gen Bill Creech, credited with revolutionizing the way Tactical Air Command (TAC, forerunner of Air Combat Command) went about its mission when he served as commander from 1978 to 1984. General Creech describes several of the 25 bosses he had during his 35-year career: Only four of those bosses went out of their way to provide any special mentoring . . . to those of us who worked for them. And far and away the best of those four was General Dave Jones, whom I first worked for when he was the CINC [commander in chief, known today as the re­ gional combatant commander] of the United States Air Forces in Europe (USAFE). . . . He painstakingly taught leadership skills, . . . draw­ ing on his own experiences over the years, and he would take several days in doing so. . . . He provided lots of one-on-one mentoring that helped me greatly both then and over the years. It was those examples that I used as a baseline in setting up the mentoring system in TAC.11 Essentially, General Jones established a mentoring culture within USAFE when his followers emulated what he modeled. Reflect­ ing upon our own experiences, we can con­ clude that not every member of our Air Force is mentored actively by his or her leaders. We have some evidence of efforts to establish the importance of mentoring, but as of this writ­ ing, a visible endorsement of mentoring by uppermost leadership remains in its infancy. Fundamentally, the most important contribu­ tion leaders make to their units and the Air Force is to ensure that the mission can continue 108 AIR & SPACE POWER JOURNAL WINTER 2004 without them. Our culture has a tendency to re­ ward individuals who publicly stand in the limelight and to overlook those who do the “heavy lifting” behind the scenes. For that reason, embracing this contribution as the baseline for mentoring and translating it to everyday practice will remain problematic. In this vein, one of the coauthors of this ar­ ticle tells an interesting story. As a second lieu­ tenant, she encountered great difficulty with her supervisor, a first lieutenant, in aircraft maintenance. Their squadron commander— an “old school TAC” major—called them both into her office one day and conveyed this mes­ sage: “Ollie, your job is to teach Vicki every­ thing you know. If she fails when you leave the bomb dump, then you’ve failed. [Rast], your job is to learn. Dismissed!” That 45-second in­ teraction, literally, was the end of that particu­ lar “mentoring” session (there would be many others!), but it had profound effects on both young officers in terms of the way they viewed their roles as leaders, followers, teachers, and mentors. Dr. Schein would suggest that this transformation in conceptualizing the leader’s role as one of developing followers—in essence, working one’s way out of a job—is a prerequisite for mentoring to take root. Air Force Instruction (AFI) 36-3401, Air Force Mentoring, provides guidance to all Air Force members. It specifically charges all su­ pervisors to serve as formal mentors to their subordinates. There is room for robust infor­ mal mentoring once the culture formally takes root. According to the instruction, “Air Force mentoring covers a wide range of areas, such as career guidance, technical and professional development, leadership, Air Force history and heritage, air and space power doctrine, strate­ gic vision, and contribution to joint warfight­ ing. It also includes knowledge of the ethics of our military and civil service professions and understanding of the Air Force’s core values of integrity first, service before self, and ex­ cellence in all we do.”12 In concert with General Creech’s observa­ tions, AFI 36-3401 states that mentoring is the responsibility of leaders, requiring them— through direct involvement in subordinate development—to provide their followers with realistic evaluations of their performance and potential and to create goals to realize that potential. Importantly, the instruction encour­ ages informal mentors: “The immediate su­ pervisor . . . is designated as the primary men­ tor. . . . This designation in no way restricts the subordinate’s desire to seek additional counseling and professional development ad­ vice from other sources or mentors.”13 Therefore, mentoring relationships are vital to followers who seek to understand the sub­ stance behind their leaders’ actions. What were the leaders’ options? Why do bosses elect to do what they do and when they choose to do it? Asked how one could become a decision maker, Dwight D. Eisenhower responded, “Be around people making decisions. Those offi­ cers who achieved the top positions of leader­ ship were around decision-makers, who served as their mentors.”14 Hands-on Follower Development Let’s get more specific. Discussions of leader­ ship development tend to focus on acquiring key, separate competencies rather than imitating a leader’s style. We suggest that followers can develop themselves in much the same way.15 Traditional leader styles (e.g., autocratic, bu­ reaucratic, democratic, laissez-faire, etc.) are inadequate in dynamic, changing environ­ ments. Can any organization really afford to have a bona fide laissez-faire manager at the helm when the head office or major command mandates an overnight overhaul? Developing leadership competencies gives up-and-coming leaders a tool kit from which to draw, no mat­ ter the situation they might encounter. Dr. Daniel Goleman, the leading advocate of emotional intelligence, identifies five cate­ gories of personal and social competence: (personal) self-awareness, self-regulation, mo­ tivation, (social) empathy, and social skills. Looking more closely into, say, empathy, one finds specific competencies: understanding oth­ ers, developing others, acquiring service ori­ entation, leveraging diversity, and cultivating political awareness.16 He makes the point that DYNAMIC FOLLOWERSHIP each of us has areas in which we are more or less naturally competent. Some of us are more empathetic than others (because of early so­ cialization, emotional disposition, etc.) and therefore more proficient in empathy’s spe­ cific competencies. But the less empathetic individual is not a lost cause because mentor­ ing by senior leaders can enhance areas that need improvement. If we use our hypothetical but plausible set of follower competencies as a template (leaders can adjust the competencies included here to meet their own cultural norms and values), we can extrapolate a follower-competencies devel­ opment approach based on Goleman’s discovery work in leader-competencies development. He says that the follower requires behavior modifi­ cation, monitored by the mentoring leader. Organizations must “help people break old behavioral habits and establish new ones. That not only takes much more time than conven­ tional training programs, it also requires an in­ dividualized approach.”17 So which follower competencies need deliberate development? Plausible Follower Competencies and Components After examining a variety of research, this article has distilled several follower compe­ tencies: • Displays loyalty (shows deep commitment to the organization, adheres to the boss’s vision and priorities, disagrees agreeably, aligns personal and organizational goals) • Functions well in change-oriented environ­ ments (serves as a change agent, demon­ strates agility, moves fluidly between leading and following) • Functions well on teams (collaborates, shares credit, acts responsibly toward others) • Thinks independently and critically (dissents courageously, takes the initiative, prac­ tices self-management) • Considers integrity of paramount importance (remains trustworthy, tells the truth, 109 maintains the highest performance stan­ dards, admits mistakes) Our research leads us to believe that follow­ ers learn most effectively by observing the ac­ tions (modeled behavior) of an organization’s leaders. As Goleman points out, however, im­ pelling adults to adjust their behavior often re­ quires an individualized approach. Whether it’s called coaching (skill-specific training) or men­ toring (a longer-term relationship), in order for leaders to correct follower-competency deficits, they must pay deliberate attention to development opportunities for each individual. Tracking progress can occur through both formal and informal feedback. A mentor can ask the follower and his or her peer group how team-dependent things are going. How often is the suggestion box used? Are the sug­ gestions well thought out? (Are they relevant to things on the boss’s mind?) One can use customer-satisfaction forms to measure some competencies . . . and the list goes on. Cer­ tainly, the most important check is the ongo­ ing evaluation the boss makes throughout the developmental relationship with each follower. Conclusion We have explored followership, the one common denominator we all share as members of our culture, by briefly examining plausible competencies germane to effective following. We determined that these competencies should enable followers to become leaders almost ef­ fortlessly. By employing Schein’s discussion of the establishment of cultures, we made a case for leader involvement in the development of subordinates. Drawing on the followership studies by Kelley and others, we culled followerspecific competencies along the theoretical model of emotional intelligence suggested by Goleman’s competencies for leaders. Most im­ portantly for further study, we established the need for Air Force mentoring—the vehicle by which our service can pass on its culture to new generations. In our look at the specifics for developing better followers, we discovered the existence 110 AIR & SPACE POWER JOURNAL WINTER 2004 of many overlapping requirements between effective leader competencies and dynamic follower competencies. By considering these thoughts about follower-unique opportunities to support the mission and by naming followerspecific traits and abilities, leaders may now focus on deliberate development plans for their subordinates. In the future, communi­ cation, appreciation, and efficiencies be­ tween leaders and followers should vastly im­ prove as complementary and overlapping role requirements are articulated more effec­ tively in terms of a competencies-based devel­ opment approach for all. ■ Notes 1. “Talking Paper on Air Force Military Retention,” Information/Pages/General.asp (accessed 4 March 2003). 2. Ibid. Special thanks to Col Chris Cain for offering this data and commentary. 3. Richard L. Hughes, Robert C. Ginnett, and Gordon J. Curphy, Leadership: Enhancing the Lessons of Experience, 3rd ed. (Boston: Irwin McGraw-Hill, 1999), 32–34, 39. 4. Robert E. Kelley, “In Praise of Followers,” in Military Leadership: In Pursuit of Excellence, 3rd ed., ed. Robert L. Taylor and William E. Rosenbach (Boulder, CO: Westview Press, 1996), 136–37. 5. Ibid., 138–41. 6. Ibid., 137. 7. Earl H. Potter, William E. Rosenbach, and Thane S. Pittman, “Leading the New Professional,” in Military Leadership, ed. Taylor and Rosenbach, 148. 8. Ibid., 149–50. 9. Edgar F. Puryear Jr., American Generalship: Character Is Everything: The Art of Command (Novato, CA: Presidio Press, 2000), 229. 10. Edgar H. Schein, Organizational Culture and Leadership, 2nd ed. (San Francisco: Jossey-Bass, 1992), 230, 241–42. 11. Puryear, American Generalship, 218–19. 12. Air Force Instruction (AFI) 36-3401, Air Force Mentoring, 1 June 2000, 2. 13. Ibid. 14. Quoted in Puryear, American Generalship, 188. 15. See Daniel Goleman, Working with Emotional Intel­ ligence (New York: Bantam Books, 1998). 16. Ibid., 26–27. 17. Daniel Goleman, “What Makes a Leader?” Harvard Business Review, March–April 2000, 97.
Developing Your Full Range of Leadership: Leveraging a Transformational Approach Dr. Fil J. Arenas, Lt Col Daniel Connelly, USAF and Maj Michael D. Williams, USAF, August 2014 Blue Flag. A group of F-15E Strike Eagles taxi following a training combat mission Nov. 26, 2013, during 1 Blue Flag exercise on Uvda Air Force Base, Israel. “If your actions inspire others to dream more, learn more, do more and become more, you are a leader.” – John Quincy Adams Introduction In the preceding quote by our sixth president, he managed to capture the essence of leadership in nineteen words. Why has this concept of leadership become so elusive to so many? Leadership is a topic that has evolved over the course of humanity. Why are there so many theories? What is the best leadership model? So many choices–so little time. Air Force leaders 1 typically have a limited window to hone their leadership acumen apart from all of the other requisite professional education and qualifications. Where do we begin? Our first section Leadership Theory Evolution, will provide a theoretical background for your leadership foundation to help you synthesize leadership attributes over the last century. The major focus of this paper will center on The Full Range Leadership Model (FRLM) section. Thirdly, since teamwork is instrumental to organizational success, FRLM in Teams will examine team leadership through the use of FRLM behaviors. Finally, the concluding section Bringing Humanity to Leadership, concentrates on a leader’s ethical obligations; a key ingredient missing in most leadership programs today. Leadership Theory Evolution “He who loves practice without theory is like the sailor who boards ship without a rudder and a compass and never knows where he may cast.” —Leonardo da Vinci Why theories? In order for developing leaders to fully understand the relevance of today’s leadership evolution, it is essential that they are familiar with the past theories to ground their leadership growth. Although there are more individual leadership theories than we wish to cover at this point, we will highlight only eight major leadership categories of theories and associated models that have evolved since the early 20th century: Great Man, Trait, Behavior, Participative, Situational, Contingency, Transactional, and Transformational theories. This leadership theory background will provide a relevant foundation for the main focus of Full Range Leadership. Great Man Theory You’ve heard the phrase he/she is a born leader? In the early 1900s individual personal traits were studied to determine what made certain people great leaders as opposed to ordinary leaders. The theories that were developed as a result of these studies were referred to as “Great Man” theories which focused on analyzing specific innate qualities and characteristics present in great social, political, and military leaders such as Gandhi, Lincoln, and Napoleon.2 The term "Great Man" was used because, at the time, leadership was thought of primarily as a male quality, especially in terms of military leadership. During this period; health, physique and energy levels were recognized as important factors in the emergence of leadership skills. For many of these theorists, history was shaped by leadership of great men. For instance, without Moses, the Jews would have remained in Egypt; if it were not for Winston Churchill, the British would have given up; and Microsoft would never have appeared without the leadership of Bill Gates.3 The Great Man theory of leadership was created to demonstrate how failing organizations could be rejuvenated by business executives like Lee Iacocca, military leaders like General 2 MacArthur, and political figures like Winston Churchill. Earlier theorists like William James (1880), believed that certain changes in society were due to great men who initiated certain movements taking society in new directions of growth and prosperity. Further, he felt that the history of the world was created by the accomplishments of great men. A variant of the Great Man theory worth mentioning here was referred to as the Warrior Model of Leadership which appeared in several classics such as: Sun Tzu’s Art of War (c. 400 B.C.), Aristotle’s Politics (324 B.C.), Machiavelli’s Prince (1513), Gratian’s The Art of Worldly Wisdom (1643), and Clausewitz’s On War (1833).4 General Patton exemplified the warrior model during his military career. Further, wars are won or lost according to the basis of this theory, taking into account the leadership of the opposition.5 Trait Theories Following the extensive studies of great leaders throughout history under the original leadership approach, the trait theory was the next evolution of study. Hundreds of trait studies were conducted in the 1930s and 1940s to seek the essential qualities needed for leadership success. Typically, this approach examined leaders’ attributes such as personality, motives, values, and skills. Unfortunately, this massive effort failed to find absolute traits to guarantee successful leadership. One of the reasons for this unsuccessful approach was the lack of attention of intervening variables in the causation area that explained the relationships between traits and delayed outcomes such as group performance or leader advancement. The primary research method attempted to examine significant correlations between individual leadership traits and a criterion for leader success. Moreover, as research design improved, researchers progressed in discovering how leader attributes were related to leadership behavior and effectiveness.6 Stogdill (1948) became the first leadership researcher to summarize conclusions from these trait studies, eventually he came to two major conclusions. The first conclusion was that leaders and followers were not qualitatively different. Many followers in these studies were identified as just as tall, smart, outgoing, and ambitious as their leaders. Next, characteristics such as intelligence, initiative, stress tolerance, responsibility, friendliness, and dominance, had a limited impact on leadership success. Further, personnel that were smart, hardworking, conscientious, friendly, and willing to take charge were typically more successful at influencing a group. The personnel that were less smart, lazy, impulsive, grumpy, or did not prefer to be in charge were less likely to impact any group accomplishments. Further, having the right traits did not always guarantee leadership success, but improved the probability of influencing a group towards goal achievement.7 Behavioral Theories By the late 1940s to early 1950s, leadership researchers began to shift their focus from trait theory to examining specifically what workers did on the job or their behaviors. Once again researchers were interested in determining which leadership style was best by studying differences in behavior between effective and ineffective leaders. Additionally, a subcategory of this theory focused on the management of the work. The goal of behavioral research was to search for methods to classify behaviors that would facilitate our understanding of the study of 3 leadership. Further, hundreds of studies sought to find relationships between leadership behavior and factors of leadership effectiveness.8 The University of Michigan’s Survey Research Center created the “Survey of Organizations” questionnaire under the guidance of Rensis Likert. This survey attempted to classify effective and ineffective leaders by comparing the behaviors of leaders of highproducing units against leaders of low-producing units. This research resulted in the University of Michigan Leadership Model which identified two styles of leadership styles: job-centered and employee-centered leaders. The model was illustrated by a one-dimensional continuum between these two leadership styles. The job-centered style included scales measuring two job-oriented behaviors of goal emphasis and work facilitation. The focus of the job-centered style measured the extent to which the leader directs job completion. The leader in this instance monitors the subordinates closely, letting them know their roles and guiding them to goal achievement (a transactional approach). The employee-centered style measures two employee-oriented behaviors; supportive leadership and interaction facilitation. This style of leadership places emphasis on meeting the human needs of the employees while fostering relationships. In this case, the leader builds trust with followers by showing concern, sensitivity, support, and respect through effective communication9 (a transformational approach). The Ohio State University Personnel Research Board facilitated their own study to determine effective leadership styles during this period under the direction of Ralph Stogdill. This team created an instrument known as the “Leader Behavior Description Questionnaire (LBDQ).” The LBDQ truncated 1,800 leadership functions into 150 leadership behaviors centered around two leadership dimensions: initiating structure and consideration. The initiating structure behavior is synonymous with the job-centered leadership style which focuses on completing the job, while the consideration behavior concentrates on developing relationships and meeting human needs as in employee-centered leadership. Since a leader may score high or low on initiating structure and/or consideration, the “Ohio State University Leadership Model” identifies four leadership styles: low structure and high consideration, high structure and high consideration, low structure and low consideration, and high structure and low consideration. Leaders with high structure and low consideration behavior are usually one-way communicators as opposed to leaders with high consideration and low structure who tend to be more personable two-way communicators.10 Building on the Ohio State and Michigan studies, Robert Blake and Jane Mouton developed and published the “Managerial Grid” in 1964, updated in 1978, 1985, and 1991 it became the “Leadership Grid” when Anne McCanse replaced Mouton (died in 1987). The Leadership Grid was based on the same two previous dimensions which were renamed; concern for production and concern for people. The Leadership Grid labels five leadership styles: 1,1 impoverished; 9,1 authority compliance; 1,9 country club; 5,5 middle of the road; and 9,9 team leader. The impoverished leader (1,1) displays low concern for both production and people. The authority-compliance leader (9,1) has a high concern for production and a low concern for people. Whereas, the country-club leader (1,9) has a high concern for people and a low concern for production. The middle-of-the-road leader (5,5) has a balanced medium concern for both people and production. Finally, the team leader (9,9) thrives for maximum performance and employee satisfaction with a high concern for both people and production.11 4 These behavior models help to define our journey through leadership analyses and make relevant connections to future leadership models. Behavioral leadership theories “attempt to explain distinctive styles used by effective leaders, or to define the nature of their work.”12 The next section describes fundamental differences between directive and participative leadership attributes. Directive vs. Participative Leadership Typically, most leaders, managers, and supervisors are described as both directive and participative, depending on the specific circumstances. According to Tannenbaum and Schmidt (1958), direction and participation are on opposite ends of a leadership continuum with many levels in between each style of leadership.13 This model will be discussed in more detail in the Contingency Theories section. Directive leadership is focused on defining roles and clarifying follower expectations in order to achieve specific performance goals. These tasks require leaders to: guide and structure followers’ activities; define roles and communication patterns; clarify expectations, goals, and work methods; plan, schedule, and assign responsibilities; monitor and follow-up on assignments; and motivate and convey expertise.14 Directive leadership helps to guide followers through active problem solving and decision making approaches. Typically, directive leaders may make decisions, give orders or make announcements regarding their decisions without follower’s consensus.15 Participative leadership includes the use of various decision making approaches that allow followers or relevant others to have some level of influence over the leader’s final position or decision. Leadership theorists have proposed multiple decision taxonomies, but to date there is no agreement on the optimal method. Strauss (1977) points out that we must make a distinction between open procedures and actual influence. For instance, a manager may solicit ideas from followers, but choose not to incorporate them in the final decision process.16 Participative leadership offers a variety of benefits, but these advantages are dependent upon who the participants are, their level of influence, and other aspects of the specific decision. Multiple studies have indicated that four potential benefits are derived from participative leadership: higher decision quality (multiple participants would increase the quality of the decision by offering unknown information to the leader) , higher decision acceptance by participants (people are more likely to accept a decision that they helped influence), more satisfaction with the decision process (most people feel satisfied that they are treated with respect when they are allowed to express opinions or preferences regarding decisions that may affect them), and more development of the decision making skills (the experience of participating in decision making complexities develops participants).17 Participative leaders utilize group processes to increase follower inclusion, ownership, involvement, consensus, cooperation, and free and informed choice while avoiding unilateral control, hidden agendas, and inhibition of expression. Participative leadership encourages group members to feel free to participate actively in discussions, problem solving, and decision making.18 Next, we will briefly examine several contingency theories. 5 Contingency Leadership Contingency theories were based on the idea that in order for leaders to become effective, they must exercise their ability to align their leadership styles or behaviors with a specific setting or context. Sometimes called leader-match theory, leaders attempt to match their leadership behaviors to specific circumstances.19 Although closely connected to situational models, contingency theories explain leadership effectiveness using situational moderator variables. These variables help to examine why the effect of behavior differs across situations. 20 The next section will describe three noted contingency models: Fiedler’s Least Preferred Coworker Contingency Model (1967), Vroom and Yetton’s Normative Decision Model (1973), and Tannenbaum and Schmidt’s Leadership Continuum Model (1958, 1973, 1986). Least Preferred Coworker Contingency Model The first researcher who began adopting a contingency approach to leadership was Fred Fiedler in 1967. His Least Preferred Coworker (LPC) Contingency Model has been declared not only the earliest, but the most researched contingency approach in the leadership field.21 The LPC scale determines whether members have an affinity towards accomplishing a task or fostering relationships. Accordingly, members generating low LPC scores rate their leastpreferred coworker as incompetent, cold, or untrustworthy and are considered task-motivated. This leader is motivated by task accomplishment activities and may be considered highly punitive when task performance is substandard. Conversely, members achieving high LPC scores positively rate their least-preferred coworkers as loyal, sincere, or warm and are considered relationship-motivated. In this instance, the relationship-motivated leader would utilize an interpersonal relations approach to foster good relationships with followers.22 The relationship between the LPC score and leader effectiveness is dependent on situational vulnerability, sometimes called situational control, which determines how much control the leader has over followers in a given situation. Three factors are weighted for favorability when considering this control: 1) Leader-member relations – describes the extent of subordinate relations as loyal, friendly, and cooperative. 2) Position power – refers to the leader’s authority to evaluate, reward, and punish followers. 3) Task structure – measures the use of task standard operating procedures, descriptions, and performance indicators.23 Leadermember relations are assumed to be more important than task structure, which are assumed to rate higher than position power. Although a number of studies over the years have declared the LPC model as overall positive, Yukl (1970) posited that the LPC scores were more complex than assumed and may not be stable over time.24 Interestingly, factors such as relationships, rewards, punishments, and standards have become recurring themes to this point in leadership theory evolution. The next two models will turn to the decision-making process. Normative Decision Model When should the leader take charge? When should the leader allow followers to make decisions? These questions were addressed by Victor Vroom and Philip Yetton when they developed their first version of the Normative Decision Making Model in 1973 and expanded into four models in 1988 by Vroom and Arthur Jago.25 These new models were based on two 6 factors: individual or group decisions and time-driven or developmental-driven decisions for consideration. Finally, in 1988, Vroom revised once more and published the Leadership and the Decision Making Process where he outlined the current normative leadership model. This model is a time-driven and developmental-driven decision tree allowing the user to choose between five leadership styles (decide, consult individually, consult group, facilitate, and delegate) based on a series of sequential questions. These seven questions are answered either high or low in significance (based on the problem statement) as the user moves through the model from left to right concluding in a selected leadership style.26 Overall, this model has received considerable support from leadership researchers. One study analyzed battlefield behavior of ten commanding generals in six major American Civil War battles and found that commanders who acted in accordance with the prescriptions of this model had more successful campaigns than those who did not. Other critiques of this model focused on complexity, assumptions about leader’s decision making skills, and abilities to execute leadership styles.27 Leadership Continuum Model Tannenbaum and Schmidt’s Leadership Continuum Model (1958) described leaders as both directive and participative based on specific circumstances. Directive leaders fall on one extreme end of the continuum and make the final decisions for their followers. They provide directions and orders to their subordinates without explanation. The next level requires leaders to sell their decisions. Their persuasive approach is supported by providing an explanation or justification with their follower expectations. At the third level, leaders actually consult with followers before deciding on a course of action, typically soliciting feedback from subordinates. Participation by both leader and followers occurs at the fourth level. Leaders define limits and request consensus from followers on final decisions. Leaders actually delegate responsibilities to followers at the fifth level of the leadership continuum model, minimizing their involvement. The sixth level requires the leaders to establish limits and constraints, but the followers make the final decision upon leadership review. The opposite extreme end (seventh level) of the leadership continuum generally empowers followers to make ongoing decisions within defined limitations.28 Contingency theories assume that leaders are most effective when their behavior is contingent on situational forces, to include follower characteristics. The models above have described how both internal and external settings impact leader effectiveness.29 As noted earlier, these models are closely related to the situational models discussed in the next section. Situational Leadership Situational theorists believe that leadership is a matter of situational demands or circumstances that would determine the emergence of a leader, which was in direct opposition to trait theorists. As Stogdill (1975) noted in his earlier work, in situationalism, the leader is the product of a particular situation or circumstance unlike a self-made leader characterized by personality, drive, or unique ability. The controversy surrounding this debate has been documented since ancient times as described in Plutarch’s Parallel Lives (c.A.D. 100), whereby connections were drawn between leader emergence in Greece vs. Rome; while comparing Alexander the Great with Julius Caesar parallels.30 The following sections will briefly describe 7 two of the most popular situational leadership models during this period; House’s Path-Goal Theory of Leadership (1971) and Hersey and Blanchard’s Situational Leadership Model (1971). Path-Goal Theory of Leadership The intent of the Path-Goal Theory of Leadership was to explain how a leader’s behavior could influence a subordinate’s performance. Robert House (1971) decided to ameliorate the earlier work of Evan’s (1970) to include additional situational variables for consideration.31 According to House, “The motivational function of the leader consists of increasing personal payoffs to subordinates for work-goal attainment and making the path to these payoffs easier to travel by clarifying it, reducing roadblocks and pitfalls, and increasing the opportunities for personal satisfaction en route.”32 Choosing a leadership style that considers the characteristics of the group members as well as the demands of the assigned task is the leader’s challenge during path-goal theory. In those situations with a low degree of subordinate task structure, it becomes necessary for leadership to initiate more structure to clear up any task ambiguity for followers. In a situation with highly structured tasks, leadership guidance introducing more structure would be ineffective and may be interpreted as a form of micromanagement. Further, in order for leaders to be most effective, they should utilize behaviors that will complement their subordinates’ environments in addition to their own personal abilities.33 Situational Leadership Theory The Situational Leadership Theory model developed by Paul Hersey and Kenneth H. Blanchard in the 1970s was originally referred to as the Life Cycle Theory.34 Despite criticism for weak theoretical foundations and limited research support, this model has been widely used in leadership training within the corporate environment as well as many military settings. In fact, this leadership model was utilized at the Squadron Officer School from the 1970s through 2008. The basis of this model helped popularize the concept of contingency leadership during this period. Considering that different leader behaviors would be warranted depending on the work circumstances, made the argument that leadership was situational. Further, this model proposes that leaders are required to change their leadership behaviors based on the followers’ abilities and willingness to accomplish the particular task. Various levels of employee maturity were derived from this combination of ability and willingness. As discussed with previous models, the key behaviors tracked in this model were task and relationship. Additionally, these behaviors were combined to create four behaviors: telling (high task, low relationship); selling (high task, high relationship; participating (low task, high relationship), and delegating (low task, low relationship). Moreover, determining which of these behaviors to employ would be based on the follower’s maturity level. For instance, if the subordinate was willing and able (mature); the leader could utilize delegation. Alternately, if the follower was immature (not willing and not able), the leader would have to tell the subordinate how to accomplish the task.35 In 1985 Blanchard developed Situational Leadership II (SLII) which was a revised version of the original model with new categories. The leader behaviors were updated and categorized: S1Directing, S2-Coaching, S3-Supporting, and S4-Delegating, while the combination of the follower’s commitment and competence levels were depicted by developmental levels (D1, D2, D3, and D4).36 8 To become an effective leader, and still relevant for today’s leadership toolbox, is the capacity to recognize your follower’s needs and adapt your leadership style to meet their concerns. In order to truly understand leadership development, it is imperative that we have a foundational background of former theoretical constructs and recognize relevant components that are applied today. The goal of this section was to provide developing leaders with such a framework to foster connections between the evolution of past theories from the Great Man archetype to the present Full Range Leadership approach used at the Squadron Officer School (since 2010). Many original components of these models are still utilized today in various forms, as we draw on seminal concepts to develop our followers. The challenge for leaders is to learn when to incorporate various leadership styles and behaviors to remain effective; thus employing a Full Range of Leadership approach. Next, we will turn to our main focus; Transactional and Transformational Leadership theories. The Full Range Leadership Model When we speak of the “full range of leadership,” we are actually referring to Transformational and Transactional Leadership theories to include Laissez-Faire, the nontransactional approach to leadership. As depicted in Figure 1, these three styles of leadership and associated behaviors comprise the Full Range Leadership Model (FRLM). LaissezFaire Hands-Off Leadership Transactional Management by Exception (MBE) Transformational Contingent Individual Intellectual Inspirational Idealized Reward Consideration Stimulation Motivation Influence (CR) (IC) (IS) (IM) (II) Passive Active Figure 1. The Full Range Leadership Model Originally, transformational leadership was first described in 1973 by Downton; however, it was James MacGregor Burns that introduced this significant leadership approach in his classic text Leadership (1978). 37 Burns attempted to link leadership and followership roles while making a distinction between transformational and transactional properties. Transactional leadership behaviors focused on exchanges between leaders and followers as described in many earlier leadership models. For instance, leaders would offer incentives for performance to drive productivity; teachers would offer grades for completed assignments; or managers would reward employees for exceeding work goals. In contrast, a transformational approach seeks to engage a follower to not only foster a leader-follower relationship, but raise the level of motivation and morality. A transformational leader is attentive to the needs and concerns of followers and strives to help them reach their fullest potential.38 According to Bass (1985), transformational and transactional leadership approaches were not mutually exclusive and empirically proven to be positively correlated.39 Additionally, the transformational model is one of the current and 9 increasingly popular approaches to leadership today, which gained momentum in the early 1980s. In their 2001 study of articles published in Leadership Quarterly, Lowe and Gardner discovered that one third of leadership research focused on the transformational or charismatic perspective.40 The literature in this leadership approach suggests measuring individual traits using the FRLM can be measured using the Multifactor Leadership Questionnaire (MLQ). This is a scientifically validated assessment mechanism for determining individuals’ development levels in each of the areas depicted in the FRLM depicted above. Unfortunately, this survey costs about $100 per member and is financially implausible for most large military organizations, given today’s resource-constrained federal environment. To fulfill this leadership growth instrument, the Air University’s Squadron Officer College (SOC) has developed an assessment measurement which is based on the MLQ; the Leadership Development Survey (LDS). Coordinated with the author of the MLQ and the publisher, Mind Garden Inc., the LDS is a military-specific FRLM assessment tool. Knowing one’s strengths and weaknesses in terms of the FRLM is a key step in personal leadership development. It is important to note, however, that there is no “ideal” score. Members completing the LDS will gain greater insight into their individual strengths and weaknesses, resulting in a propensity score highlighting their leadership behavior preferences. Further, using these scores a developing leader receives a snapshot of their leadership behavior preferences to use as a starting point for a personal development plan that will focus on strengthening those aspects of the FRLM where they feel growth will be most valuable in their personal success. Over the last few decades, considerable interest has focused on transformational and transactional leadership growth. Bass (1985) emphasized a “full range leadership” approach that not only included these two styles, but incorporated an avoidant laissez-faire style as well.41 In addition to these three styles of leadership, Avolio and Bass (2002) identified relevant behaviors associated with each leadership style.42 The LDS report provides individual scores on eight different leadership style/behaviors: Laissez-Faire (LF), Management by Exception Active (MBE-A), Management by Exception Passive (MBE-P), Contingent Reward (CR), Idealized influence (II), Inspirational Motivation (IM), Intellectual Stimulation (IS), and Individual Consideration (IC). The “propensity scores” were based on the review of validated instruments that highlighted tendencies toward a particular style of leadership, while further illustrating specific behavior patterns. The LF style describes an absence of leadership or avoidant approach. The MBE-A, MBE-P, and CR behaviors are aligned with the Transactional Leadership style. While MBE-A focuses on the active monitoring of standards and procedures, MBE-P places emphasis on a passive approach to supporting standards and procedures, and CR ensures reward for performance. The II, IM, IS, and IS behaviors are incorporated within the Transformational Leadership style. Further, II describes a charismatic leader with the highest moral and ethical traits defining the paragon for all others to emulate, IM describes leaders that enthusiastically articulate organizational goals and powerful visions of the future , IS promotes creativity and innovation within the organization, and IC encourages the recognition of individual differences through coaching and mentoring methods. Transformational, Transactional, and Laissez-Faire are the primary leadership constructs identified through the LDS with emphasis on the associated leadership behaviors. The vision of the Leadership Development Survey is to provide a metric 10 for Squadron Officer School resident students initially and during the last week of their course to illustrate personal leadership growth and provide a “snapshot” for future leadership curriculum development. To begin our discussion of the FRLM styles and behaviors, we will begin with the non-transactional behavior laissez-faire (LF) leadership. Laissez-Faire Leadership (LF) The French phrase laissez-faire or “hands-off” leadership in this case describes a leader that abdicates responsibility, delays decisions, not interested in follower’s needs or providing feedback, and does not develop followers.43 Typically, when leaders exhibit laissez-faire behavior, they do not care if their followers maintain standards much less reach any performance goals! This type of leader is not engaged with subordinates and avoids taking a stand on any organizational issues. Further, the LF leader is often absent from work meetings and other related obligations and may avoid the daily work responsibilities altogether.44 To call LF a leadership style or behavior is actually an oxymoron; it is actually an approach to non-leadership. Do we exhibit any of the LF characteristics listed in Figure 2? Absolutely, there are times when we do not want to deal with our subordinates, bosses, spouses, or significant others! There are days that we choose to avoid meetings, tasks, or deadlines; these are normal behaviors. Our point here; is not to choose this approach as your style of leadership! Characteristics Example Near-avoidance or absence of leadership Supervisor is never available for followers Avoids making decisions Capt continually delays decision to hire contractor Abdicates responsibilities Supervisor ignores duties Avoids taking a stand on issues Boss does not support follower issues Does not develop followers Flight commander ignores subordinate’s PME requirements Figure 2. Laissez-Faire Characteristics The effects of LF leadership have been most pronounced in military commands throughout history. One of the most egregious cases of non-leadership was illustrated during the Crimean War (see Example in History insert) whereby Lord Raglan, the British commander-in-chief, surrounded by his staff (mostly blood relatives) displayed total disregard for his men. Not only was his incompetence matched by his leader inactivity, but he actually lost 35% of his army strength due to exposure, malnutrition, and cholera because he made no plans to house or supply his troops.45 Research has indicated that LF leadership has been linked to the lowest levels of subordinate, team, and organizational performance. Conflicts often occur between workers and leaders since role confusion is usually prevalent within organizations under this approach to nonleadership. Eventually, followers become detached from their leaders and begin substituting their 11 own knowledge, skills, and abilities to make up for the lack of guidance, often seeking support from others. Eventually, these followers become frustrated leading to dissatisfaction with their leader, job, and organization.46 In the military environment, this dissatisfaction could manifest into a variety of reactions ranging from substandard performance to separation. Example in History LASSIEZ-FAIRE AND THE CHARGE OF THE LIGHT BRIGADE All in the valley of death, rode the six hundred. "Forward, the Light Brigade! “Charge for the guns!" he said: Into the valley of death rode the six hundred. Alfred, Lord Tennyson’s poem summed up the charge of the Light Brigade, it was suicide. The order came directly from the commander of British forces in Crimea, Lord Raglan. It was 1854, the Battle of Balaclava raged around them and Lieutenant General (Gen) Lucan, commander of the British cavalry, sat in stunned silence. Charge straight through the valley ahead at entrenched enemy cannons I can’t see? Madness! The upstart Captain who brought the message, Louis Nolan, was shouting at him, doing little to help the situation. He directed Nolan to pass the order to the Light Brigade Commander, Major Gen Cardigan 47 Cardigan was equally stunned when Nolan arrived at his position, shouting orders again. Gritting his teeth in disbelief and anger, Cardigan raised his sword and spurred his 661 men forward, straight at 50 cannons and 20 infantry battalions. Cannon to right of them, wrote Tennyson, Cannon to left of them… Volley'd and thunder'd… Boldly they rode and well, into the jaws of death, into the mouth of hell. Seconds later, a shell tore through Nolan’s chest killing him instantly, the first of more than 290 casualties the Light Brigade would suffer that day.48 Nolan remained atop his horse for the mile long charge at the incredulous Russian gunners: what are the British doing? Are they drunk? Only after the charge had stopped did Nolan finally fall to the ground, a grisly reminder of the disastrous leadership they had suffered under Raglan since the start of the Crimean campaign. British troops didn’t know why they were being deployed or even headed to Crimea.49 Just getting everything off the ships took five days, their allies needed one. They even forgot to unload food or water. Earlier, at the battle of Alma, he directed his men to lie down for an hour and a half under direct artillery fire as he patiently waited for his allies to seize an objective. 50He was all over the battlefield, too far away to see or so close that his own staff wanted to abandon him.51 Raglan’s all too common lack of initiative allowed the Russians to secure the very positions the Light Brigade was now charging. Raglan’s effect on his officers was no better, insubordination was rife. Cardigan and Lucan, despite being brothers-in-law, had detested each other for the last 30 years. Nolan’s insubordination and, according to Lucan, “most disrespectful” manner heightened the tension. The hostility Raglan allowed to fester ensured the three men would never discuss the ill-fated order or even collaborate on a way to circumvent it.52 12 By the time the Light Brigade began its infamous charge, the British were losing more men from Raglan’s incompetence than the enemy. Tennyson would write an appropriate epithet for the men of the Light Brigade and their misfortune at the hands of Raglan, Someone had blunder'd: Theirs not to make reply, Theirs not to reason why, Theirs but to do and die. Source: Orlando Figes, The Crimean War: A History, New York: Picadore, 2011 While it is imperative that leaders recognize that productivity, cohesiveness, and work satisfaction suffer under LF leadership, of equal importance is knowing that an active leadership approach can transform followers into viable productive members once again. Often confused with delegation or empowerment, LF leadership does not seek to develop followers. Conversely, empowerment or granting autonomy to organizational members is a transformational approach to develop our followers into leaders.53 The next section describes a necessary style of leadership for our dynamic military environment; transactional leadership. Transactional Leadership Transactional leadership seeks to maintain organizational stability through regular social exchanges leading to goal achievement for both leaders and their followers. Typically, the leader enters into an agreement with followers to reach performance goals.54 For example in a military environment, a supervisor may offer various incentives to meet scheduled maintenance deadlines. In a corporate setting, bonuses or other compensation may be offered to meet performance expectations. Additionally, this approach may focus on monitoring followers’ performance and taking corrective actions as necessary. Burns (1978) described transactional leadership as an exchange relationship among leader and followers to satisfy self-interests. Building on this previous work, Bass (1985) included two relevant factors; contingent reward and management by exception. Further, he divided management by exception into active and passive approaches and included laissez-faire (discussed previously) as an avoidant leadership behavior.55 The following three subsections will describe these behaviors in more detail. Contingent Reward (CR). Contingent reward is a constructive transaction between leaders and followers. What does this mean? It is constructive because the leader actually sets expectations for followers that describe what must be achieved to meet expected standards of performance. This action is also constructive since it utilizes rewards to reinforce positive performance. The CR approach has been called an effective and powerful method to motivate followers by creating consistent expectations between leaders and followers. Further, CR is based on an implied agreement or contract which defines expectations of all parties. In a constructive transaction, the leader sets performance goals, guidance for meeting these expectations, and rewards or supports followers for meeting desired outcomes. The follower must meet all performance expectations to achieve these mutual goals in order to receive the contingent reward.56 For the followers, CR also provides direction or guidance defining how they can achieve their target performance goals. When leaders clarify such organizational goals and values, members are empowered to accomplish more meaningful outcomes. Additionally, the establishment of such mutual expectations helps to create an increased level of trust and 13 commitment from followers. Transactional leaders can further practice behaviors that guide and reward followers using CR by honing four key actions: a) Set goals for and with followers – by allowing followers to help set performance goals, they can align their own efforts with organizational expectations; b) Suggest pathways to meet performance expectations – providing followers with guidance on how to achieve their performance goals is an excellent display of constructive transaction and ensures success; c) Actively monitor followers’ progress and provide supportive feedback – it is critical for leaders to proactively monitor their subordinate’s progress in order to provide timely feedback, support, and necessary resources, and d) Provide rewards when goals are attained – exchanging extrinsic rewards and recognition for attaining performance outcomes is the key to contingent reward behavior.57 What happens when followers do not meet goals? A relevant example of this “agreement” can be seen in the Air Force fitness program. If members achieve a composite score equal to or greater than 90, they receive an “Excellent” and are only required to test annually; what a reward! If members achieve a “Satisfactory” or a 75-89.99 composite score, they must test semiannually; no reward, but they pass! Receiving a composite score of less than 75 results in an “Unsatisfactory” and will require corrective action which is associated with management by exception,58 described in the next section. The whole idea of utilizing CR for motivation is actually based on a tenet from educational psychology that posits that people tend to repeat behaviors that are rewarded. However, a critical issue involving this approach is consistency. In other words, provide the agreed-upon reward in a timely manner; likewise, rewarding for no good reason will confuse followers and they will fail to make the connection between performance and reward. Research has indicated that timing of the reinforcement affects the follower’s learning speed and performance as well. Additionally, there are advantages and disadvantages associated with contingent rewards. Consider that some people are motivated by money more than others, so any extrinsic rewards associated with promotions or pay increases may have mixed results. Also, remember that in many industries, monetary rewards may motivate performance quantity, but not necessarily quality. Further, extrinsic rewards may interfere or possibly lower intrinsic motivation affecting potential creativity and innovation. Extrinsic rewards may also have a temporary effect on motivating followers who may feel a sense of entitlement towards future reward incentives. The use of CR may assume that followers are driven by lower-order needs like food, money, and safety. Whereas, many followers are actually motivated by higher-order needs like socializing, achievement, and self-actualization. Moreover, CR leadership may inhibit teamwork when placing too much emphasis on individual extrinsic gratification.59 It is imperative that leaders understand what resources are available to them to offer as potential extrinsic rewards. Typically, CR is transactional when the reward is extrinsic or material such as a bonus or promotion. When the reward is psychological such as praise, this becomes more of a transformational approach.60 14 Example in History CONTINGENT REWARD AND THE FLYING TIGERS Sandy Sandell was running for his life. The Japanese pilot above was in a Jibaku, or suicide dive, and headed right for him. Just missing him, the Zero crashed into his parked P-40 Tomahawk in a giant fireball.61 Life in 1941 Burma was hell: awful food, diarrhea, malaria and now the Japanese were throwing aircraft at them. Luckily they were paid well, around $11,000 a month today. Sandy couldn’t help but chuckle, I still don’t think its enough for all of… this. He, like many of his friends, had joined the American Volunteer Group (AVG) on promises of combat with lucrative pay .62 In 1939 President Roosevelt agreed to send private contractors to assist China’s Chiang Kai Shek against the Japanese. Leading the effort was retired Air Force (AF) Captain Claire Chennault.63 Roosevelt had been moved by the last line of A.E. Housman’s poem “Epitaph on an Army of Mercenaries:” [they] saved the sum of things for pay.64 Smart man, thought Sandy as he crawled out of the ditch. That $500 dollar bounty the recruiter offered him had sealed the deal.65 But reality was harsh, most were ready to quit their first day in Burma until they met Chennault. “Here was a man we could follow,” wrote one.66 Chennault had been fighting the Japanese since 1939. His advice was blunt, use his tactics and live, don’t and “we’ll be picking up pieces of you all over the jungle”.67 Chennault was also blunt about their contract, perform or go home.68 Perform they did, 12 days after Pearl Harbor the AVG vengefully killed 14 Japanese crews. The AF, who balked at the idea of paid mercenaries, took notice. Chennault, leery of the AF’s covetous eyes, resisted. He knew AVG life required strong incentives unavailable to “regulars.” For him, raw ability was all that mattered. Men who performed well were rewarded and respected, left alone to do what they did best, fight. Granted, they did other things pretty well too but the AF didn’t seem to take too kindly those skills.69 Chennault didn’t seem to mind anyway, he was gone most of the time but the men knew he had their backs.70 He saw that families of fallen pilots received their pay for the rest of their contract.71 When stress and poor living conditions took its toll, he granted desk duty with no cut in pay.72 Still, Chennault was a patriot and took the men to task when things came to head during the “Pilots Revolt.” Fight, he demanded, or go home as deserters and face the draft board .73 The men retreated and the matter was never mentioned again.74 Eventually, the AF moved towards converting the AVG into a regular unit. Chennault fought to keep their contract pay, the commissions they resigned to join the AVG, and even secured a few promotions. The rest went home with a $500 bonus.75 By the time the AVG became the 23rd Fighter Group, America loved the wild antics of the AVG as much as their impressive combat record. Inspired, Walt Disney got involved, penning the name and caricature they would carry through history, The Flying Tigers.76 15 Source: Daniel Ford, Flying Tigers: Claire Chennault and His American Volunteers, 19411942, New York: Harper Collins, 2007 Management by Exception (MBE). Unlike CR, this behavior is labeled as a corrective transaction and is usually not as effective as CR or transformational behaviors, but necessary in high-risk or life-threatening situations,77 as in the military. Further, MBE may take two forms; active (MBE-A) or passive (MBE-P). During the active approach, leaders actively monitor followers for deviations from standards in the form of mistakes or errors and take corrective action as necessary. Utilizing an active approach may become necessary and effective in some situations, particularly when safety is a factor. During MBE-P or the passive approach, leaders passively take corrective action only when they feel they must get involved, which is usually too late. Unfortunately, when leaders are supervising large numbers of followers, it may be difficult for them to actively monitor all members.78 However, when leaders deliberately wait until a situation is out of control before intervening, this is a passive approach. See Figure 3 for characteristics and examples of these behaviors. Behavior/Component Characteristic Example Contingent Reward Reward for performance A supervisor rewards Airmen with an afternoon off for task completions Management by Exception Responds to deviations in standards as soon as possible MSgt corrects an Airmen for not saluting an officer (Active) Management by Exception (Passive) Responds to deviations in Capt finally intervenes when standards only when necessary two of his careless Airmen actually cause an accident Figure 3. Transactional Leadership Behaviors/Components In MBE-A, followers are monitored and controlled through forced compliance of rules and regulations along with performance expectations. This management philosophy was actually based on Taylor’s (1911) scientific management school. They believed that the use of careful observation, detailed instruction, and active supervision would improve organizational efficiency. A key tenet from this school of thought suggested that leaders should focus on noncompliance, mistakes, and poor performance which deviate from normal operations. MBE-A utilizes this practice by actively seeking and eliminating any such deviations prior to or immediately following non-compliance.79 Is this realistic in the AF environment? Possibly, but there are exceptions, let us look at one example in the maintenance field. A typical maintenance officer may supervise hundreds of Airmen, making MBE-A challenging. It is likely that for this officer, MBE approaches may be inadvertently passive. How much time do we have before 16 active turns into passive? If the maintenance officer responds as soon as he can, then it is active; if he delays corrective action until something goes awry, this is obviously a passive approach. Further, MBE-A incorporates a corrective transaction between the leader and follower as stated earlier. This behavior is corrective in nature since the leader will focus on the specific deviation from predefined standards. A typical MBE-A leader promptly corrects subordinates whenever their performance deviates from these organizational standards. Using MBE-A occasionally or in a critical setting would be acceptable, but overuse of this transactional behavior could create disharmony. Some leaders may misuse this leadership behavior as a means to micromanage or aggressively find fault with their followers; an overall negative approach.80 For MBE-P, the leader typically chooses to wait for problems to occur before getting involved and taking any corrective action. When leaders choose to intervene only when standards are not met, all focus is on negative performance; rarely on positive accomplishments. Followers exposed to this approach typically have low trust in their leader since they are only confronted for errors or mistakes. For organizations in high-risk settings, such as the military, this approach could become a dangerous choice; an active approach would be safer and more effective. The leader that espouses this passive approach usually ascribes to “if it ain’t broke, don’t fix it.” Followers typically react to this behavior with low commitment, identity, and trust for their leaders. Additionally, this behavior often promotes fear and complacency among followers.81 Example in History MANAGEMENT BY EXCEPTION AND THE GREAT ESCAPE They should have shot him before he hit the ground, it would have saved the awful headache he was going to give them over the next four years. Roger Bushell was ambushed by five German Messerschmitt fighters on May 23, 1940. He brought down two before ejecting right into the hands of a waiting German patrol.82 His first interrogation was amusing since he was also a trained lawyer. “Suavel y belligerent,” his friends called him.83 Two escape attempts later, the Germans were done with him. Five thousand troops had searched for him and the Luftwaffe, who oversaw allied airmen, grew tired of saving him from the many attempts by the Gestapo to kill him. Apparently his skills as a lawyer did not amuse them either. He was moved to Stalag Luft III, a maximum security compound.84 Undeterred, he set about building an escape, or X crew. He planned four tunnels codenamed: Tom, Dick, Harry and George. As Big X, he controlled everything: recruitment, construction and most importantly, security.85 He restricted operations to a dozen of the 800 prisoners at the camp. 86 Roger issued a warning, “if any bastard utters the word tunnel… I’ll have him court-martialed.”87 Secrecy aside, the sheer magnitude of the project: engineering, forging documents and hiding evidence all required detailed planning 17 and ingenuity. Obviously, discussions could go off the rails at times. Once, a heated debate started on how to exit Tom, ramp or ladder? Roger stepped in. He didn’t usually engage in technical arguments but he would definitely end them, the ramp was out.88 Documents required such “engagements” as well. One of his forgers spoke up in defense of a German sympathizer who had balked at procuring them a camera. “We can’t ask him… he’s liable to be shot.” Roger was unmoved, “Tell him he’s liable to be shot if he doesn’t.”89 Another forger complained about hand writing 200 forged passes. “Jesus!” the man protested. “Maybe he’ll help you,” replied Roger, “get it done.”90 Stress was high, then the 4th of July hit. Every yank in camp pulled out bottles of moonshine, hell brew they called it, and paraded through camp dressed as Paul Revere, Americans! He still made everyone work.91 Finally, on 25 March 1944, their time came. As expected, they were eventually discovered, but 76 had made it out.92 Over the next several weeks, 70,000 German troops hunted down the men. Hitler was furious and after pleas from Hermann Goring, acquiesced to shooting “only” half of the escapees.93 Back at Stalag Luft III, the men waited anxiously for news. Their sympathetic Luftwaffe guards quietly leaked that most were recaptured and sent to other camps. They also provided a list of 50 men who were executed, Rogers name was among them.94 Undeterred, they remembered Roger’s words, “The only reason that God allowed us this extra ration of life is so we can make their [the Germans] life hell.”95 True to their leader, and the Germans irritation, the men kept escaping, branching out even, to concentration camps. Source: Paul Brickhill, The Great Escape, New York: W.W. Norton & Company Inc.:, 1950 In the military setting, it is critical that we employ positive forms of transactional leadership in order to monitor and meet all standards as well as meet all critical performance goals to enable mission accomplishment. However, utilizing a purely transactional approach would not fully develop, challenge, or instill the highest moral or ethical behaviors within our followers.96 Transactional leaders are vital to the military mission, but as we will learn in the next section transformational leadership has been empirically proven as the most effective form of leadership at organizational levels. Transformational Leadership In contrast with transactional leadership, transformational leadership involves creating personal relationships with followers that raises their level of motivation and morality. A transformational leader is attentive to follower’s needs and strives to help them reach their fullest potential. Raising the level of morality in others was a key tenet in this style of leadership according to Burns (1978). However, this may become complex when defining leaders such as Adolph Hitler or Saddam Hussein, who were negatively transforming followers. Bass (1998) referred to this type of transformation as pseudo-transformational leadership. Leaders who are self-consumed, exploitive, and power-oriented with a distorted sense of morality fit this classification of leadership. When leaders are focused on their own self-interests over the interests of others, this is considered a personalized leadership approach.97 18 Another key ingredient to the transformational approach is addressing the follower’s sense of self-worth. The challenge for all transformational leaders is to motivate their followers to accomplish more than they originally intended; realizing their fullest potential. This is accomplished by creating challenging expectations allowing followers to achieve higher standards of performance.98 However, transformational leaders go beyond simple exchanges and agreements with followers by employing one or more of the behaviors or components of transformational leadership. To some extent, these four behaviors have evolved through conceptualization and measurement of transformational leadership over time. Conceptually, leadership is idealized or charismatic whereby followers identify and want to emulate their leader. Effective leaders inspire their followers with persuasion and challenging goals, providing meaning and understanding. Leaders intellectually stimulate their members to expand their skills and abilities. Finally, leaders are individually considerate as they coach and mentor their followers.99 The following four transformational behaviors: idealized influence, inspirational motivation, intellectual stimulation, and individualized consideration are discussed in the following sections. See Figure 4 for characteristics and examples of each behavior. Behavior/Component Characteristic Example Idealized Influence Role model Junior officer volunteers offduty time to support a local charity event to raise money for a local food bank Respected Admired High ethical standards Inspirational Motivation Motivates Col inspires an organization to regroup and overcome adversity Inspires Articulates a vision Intellectual Stimulation Thinking “outside the box” Reframes old problems Airman finds innovative solutions to common maintenance issues Innovative Individual Consideration Coaching Capt takes an extra hour after the normal duty day to assist a Lt with a college course Mentor Active listener Values diversity Figure 4. Transformational Leadership Behaviors/Components 19 Idealized Influence (II). Transformational leaders exhibiting idealized influence behavior projects themselves as positive role models for followers to emulate. Typically, these leaders are respected, admired, and trusted completely. When followers are asked to recall past exemplars of leadership, they generally select from this category of leader. Followers identify with not only the leader, but their mission or cause often emulating behaviors and actions. In true idealized fashion, this type of leader addresses the needs of followers over personal needs. Principles and high standards of ethical and moral conduct are upheld by this leader who is consistently counted on to “do the right thing.” 100 Gandhi is probably the most celebrated idealized influence example in history. The reason for this is that he practiced what he preached to his followers; his genuine positive approach to leadership while advocating high ethical standards for all gained him the respect of followers and admirers. This form of role-modelling or leading by example is often referred to “walking the talk.” 101 Where does charismatic leadership fit into this model? According to Hunt (1999), Behling and McFillan (1996), and House (1995), they believe that charismatic and transformational leadership are one in the same, often citing this area of study as “charismatic/transformational leadership.”102 Additionally, II is measured on two components; behaviors and attributes. We can observe a leaders behaviors or actions based on what they say or demonstrate, whereas attributes are characteristics that followers perceive of their leaders.103 For example, trust could be a characteristic that a follower may believe their leaders personify. How can a leader earn the trust, respect and admiration of their followers? Just as JFK, Gandhi, and MLK have depicted throughout history, successful transformational leaders place the group’s interests ahead of their own personal interests. In the Air Force, we have core values that fit into this II behavior very neatly: Integrity first, Service before self, and Excellence in all we do. Relating to character, integrity has been described as the willingness to do what is right even when no one is watching you; often called the “moral compass” or the inner voice of reason.104 Accordingly, integrity is related to several other moral traits imperative to today’s leader:  Courage – moral courage allows members to do whatever is right, regardless of the cost  Honesty – the hallmark of military professionalism, our word is true; our bond  Responsibility – acknowledging one’s duties and executing accordingly  Accountability – integrity dictates owning up to our mistakes and taking the credit for our own work  Justice – members of integrity practice justice for the right and the wrong  Openness – promote a free flow of information and feedback  Self-respect – members of integrity learn to respect oneself as a professional  Humility – practicing integrity may require one to become grounded or humble at times105 Service before self describes a work ethic that maintains that our military duties take precedence over any personal issues. This area is based on: following rules for good order and discipline, respecting others regardless of rank, maintaining self-control, (anger, appetites, and religious tolerance), and having faith in the system to not only support your leaders, but develop 20 your followers. Excellence in all we do, ensures that we sustain our highest standards of performance and continuous search for a better way to do business; to innovate. We may accomplish this goal by integrating excellence in other areas of our daily duties by employing product and service excellence; personal excellence; community excellence; and resource excellence.106 Incorporating the idealized influence approach embraces the tenets of the Air Force Core Values creating a paragon for ethical leadership. Example in History IDEALIZED INFLUENCE AND A SECRETARY AT WAR What the hell am I doing here? I have just walked into a category-five S*&# storm!107 Secretary of Defense Robert Gates smiled as he reminisced over his confirmation hearing five years ago.108 The drive was a welcome respite from the long day on Capitol Hill. He’d come a long way from his days as a CIA sponsored Air Force Intelligence officer 40 years ago. It seemed like even longer when he sat down for his confirmation hearing, carefully explaining his plan to manage the massive military enterprise and America’s two wars. Although overwhelmingly approved, Gates uttered a warning as the hearing concluded. He would serve with all his heart, but what was happening in the Middle East would affect generations to come and he believed only collective and collaborative effort would get the job done.109 He reminded them that as President of Texas A&M University he had lost twelve graduates, and that he was committed to doing what he thought best for the country and its men and women in uniform.110 He continued this refrain to the senior levels of the Pentagon. Characterized by his rhetoric on Pentagon bureaucracy, in reality he was out to mend fences and build a cohesive team. He was candid with senior military leaders, he needed their insight and wisdom: “I’m a good listener, and I prize candor above all. I also will respect [your] experience and views.”111 He favored sharp disagreements over consensus, informality, and tried in vain to mount a coup on the ever present parade of PowerPoint presentations.112 Most importantly, he reiterated that they were a team and when the time came, they would speak with one voice. At times this mantra was tested, especially after the infamous Rolling Stone article incident that detailed negative comments towards the President from the staff of his top Afghanistan Commander, General Stanley McCrystal. Gates stuck by his General, even though he knew he was doomed.113 His commitment to the troops was also unwavering, fighting to get them equipment they said they needed despite leaders who said they did not.114 Gates wanted every man and woman in uniform to know just how committed he was to them and their mission. He was a visible leader, visiting countless bases, wrote handwritten notes to families of the fallen and sat patiently to hear from the lowest ranks. He took the time to hear from family members, like when a 15-year-old girl 21 detailed the impact the Army’s new 15-month deployment was having on their family.115 Ironically, Gates admitted privately he detested his job. The strain and faces of the dead weighed heavily on him. But he admitted “I will do my duty, but I can’t wait to lay down this burden.” 116 His last visit to Afghanistan was met with hundreds of well-wishers. The troops he served thanked him for his efforts, detailing their accomplishments and the lives saved because of him. In a tearful goodbye he stated simply “thank you.”117 Source: Robert M. Gates, Duty: Memoirs of a Secretary at War, New York: Random House, 2014 Inspirational Motivation (IM). There are times when leaders are required to enhance team spirit, provide meaning, and challenge their followers’ work. Through the use of enthusiasm and optimism, leaders may inspire and motivate their followers to achieve what they never thought was possible. Using this component of transformational leadership, we can energize followers to seek or envision attractive future states or alternatives not normally considered. A powerful inspirational leader may motivate followers by what they say, by their actions, optimally; by both. 118 Various famous speeches in history have inspired ordinary people to accomplish seemingly impossible tasks like Henry V’s famous speech prior to the Battle of Agincourt, whereby an outnumbered army of Englishmen defeated a superior French opposition119 or General Patton’s famous Third Army speech in 1944, motivating thousands of young soldiers to persevere on the shores of Normandy,120 or Martin Luther King’s inspiring “I Have a Dream” speech during the greatest demonstration for freedom in America’s history from Washington, D.C. in 1963 greatly impacting the Civil Rights Movement.121 Air Force leaders will inevitably find opportunities that require inspiring followers to accomplish challenging goals; a vital leadership skill. Further, IM is typically demonstrated in leaders who share high expectations with followers, using inspiration to garner commitment for a shared vision for the organization. Often leaders promoting IM use symbols or emotional appeals to focus group synergy beyond original objectives. Team spirit is often associated with this transformational behavior.122 Leaders often describe an optimistic vision for followers often “raising the bar” setting the stage to exceed normal expectations. Status quo is not acceptable to most transformational leaders, their vision typically raises performance expectations. Additionally, by using IM, leaders are expressing confidence in their followers and their shared vision. Through this synergy of vision and behavior, inspirational leaders energize their Airmen to exert extra effort during future challenges.123 An example of IM in the Air Force would be a squadron commander who holds commander’s call to motivate the organization prior to an upcoming inspection or a flight commander that articulates a vision that inspires followers to perform beyond their limits. A key ingredient to leadership development is the notion that leaders must elevate their followers’ expectations by inspiring collaboration and team efforts toward a challenging vision. In order to reach this stage, leaders must appeal to the idealistic drives within each follower to release the dormant “greatness” in each follower; employing IM. Transformational leaders exemplifying IM trigger inspiration through three main concepts:  Motivation – Inspiration provides energy and direction that fuels the action of followers. 22  Evocation – You cannot force inspiration on someone through an act of will; instead, inspiration is evoked from within or through significant others (e.g., flight commanders, squadron commanders, directors, etc.) and their environment.  Transcendence – Inspiration moves followers through an appreciation of beauty and excellence that allows them to rise above ordinary preoccupations or limitations.124 Today we see such feelings and attitudes typically associated with visionary leaders like Mark Zuckerberg of Facebook and Jeff Bezos of Obviously these are extreme leadership exemplars; the takeaway point here is that Air Force leaders may adapt these concepts with surprisingly similar results. As a visionary leader, one may see a brighter future than most, expressing dissatisfaction with status quo; challenging followers. Using effective communication, creative metaphors, and colorful rhetoric, a visionary inspires associates, teams, and followers to seek new levels of organizational success. 125 Both IM and II elicit powerful emotional bonds, trust, and commitment between leaders and followers. Based on this point, IM tends to increase followers’ willingness to excel.126 Example in History INSPIRATIONAL MOTIVATION AND THE GREEN HORNET We’re all dead… That was the last thought to run through Lieutenant Louis “Louie” Zamperini’s mind as their 24,000 pound B-24 liberator, The Green Hornet, crashed into the crystal blue waters of the Pacific Ocean.127 It was 27 May 1943 and three of the eleven airmen on board fought their way to the surface. Louie broke the surface of the water, grabbed a nearby life raft, and located two other crewmen, their Pilot, Captain Russell “Phil” Phillips and tail gunner Francis “Mac” McNamara.128 Louie took stock of their injuries and supplies, the situation was grim. Mac was in shock, Phil had a severe head wound and small fins were knifing their way through the water in their direction.129 Louie reassured everyone that they were going to make it, their Squadron would find them, heck, they would be home by nightfall.130 Yet days passed and the trio drifted aimlessly. Mac grew more depressed and in a delirium induced nighttime binge, ate most of their survival rations.131 Louie remained supportive, repeating over and over “were going to make it.” Later Louie managed to catch a sea gull and use it for bait. The food gave the men hope, he showed them that if they were persistent and resourceful they could make it.132 Days turned into weeks and Louie worked to keep their spirits up. He started peppering Phil and Mac with questions to keep their minds, if not their bodies, engaged and healthy.133 A non-stop quiz show emerged and Louie encouraged everyone to share stories and retell the hilarious practical jokes they played on their friends back home. They never discussed the crash though, it was still too raw for Phil. Louie knew he needed reassurance not blame.134 Louie also started a “meal 23 time” ritual where he meticulously described every ingredient in his mother’s cooking, walking them through each stage of the cooking process.135 His vivid imagery fooled their empty stomachs, even if only for a brief time. On day 27 they were sighted by a lone fighter in the sky. They were ecstatic, until it turned out to be a Japanese Zero. The pilot dived at the helpless men, mercilessly strafing their tiny craft. Louie was upbeat; declaring that such ineptitude meant America was sure to win the war.136 The humor would not last as the sharks became bolder, frustrated at the men’s amazing luck. One day they began leaping into the raft and Mac and Louie furiously fought back. As the water settled, Louie looked at Mac and told him how grateful and proud he was of his efforts that day.137 Mac’s redemption was short-lived. On day 33 he passed away, Louie and Phil were on their own. The two men held a quiet ceremony for Mac. Louie repeated all the good things they knew about Mac, laughing at his love of mess hall pie.138 Mac was gone but they still had a chance. On day 46, the salvation they so eagerly sought came upon them in the shape of a Japanese patrol boat. In a cruel twist of fate, they were safe, and now prisoners of war.139 Source: Laura Hillenbrand, Unbroken: A World War II Story of Survival, Resilience, and Redemption, New York: Random House, 2010 Intellectual Stimulation (IS). Leaders that foster creativity and innovation for their followers while supporting new approaches to organizational challenges exemplify the IS behavior. This critical thinking approach encourages followers to develop unique ways to carefully solve problems or complex issues within the organization.140 Further, leaders employing IS stimulate members to become more creative by questioning assumptions, reframing problems, while approaching old situations or problems with new methodologies. Followers are encouraged to try new approaches and not criticized for taking risks or disagreeing with leadership. Encouraging this type of stimulation coupled with leadership support is not only a powerful transformational tool, but may lead to unexpected innovations such as “Scotch tape” or “Post-it Notes” created by 3M employees that were given 15% of their work time to pursue any projects that interested them. During WW II, a US Army NCO reframed an old problem and quickly converted tanks into bulldozers to cut through the Normandy hedgegrows. 141 How do we encourage our followers to generate good ideas? Leaders should support creativity as a risk-free norm without repercussions (within reason, of course). There are multiple methods for generating good ideas: brainstorming, nominal group techniques, ad hoc committees and so forth. In order for leaders to cultivate an innovative environment, they must not only solicit ideas from all levels of the organization, but must be willing to support those members regardless of success or failure. Further, the transformational leader should concentrate on the what pertaining to problems as opposed to the who, where blame is the focus.142 As leaders create a culture of creativity and innovation, followers are less inhibited and more likely to exchange a free-flow of ideas. The great thinkers throughout history such as Albert Einstein, Thomas Aquinas, and Maria Sklodowska-Curie were advocates of considering opposing views, rational thinking, and analysis to achieve creative problem solving. When followers seek different perspectives, reexamine assumptions, look at problems in new ways, and encourage 24 nontraditional thinking, they are employing IS behaviors. Eventually, these behaviors will instill creativity and innovation within followers leading to changes in people, processes, products, and services for the better.143 Sosik and Jung (2010) suggest six key transformational leadership actions that promote intellectual stimulation within organizations:  Reexamine critical assumptions to question whether they are appropriate  Seek different perspectives when solving problems  Get others to look at problems from many different angles  Suggest new ways of looking at how to complete assignments  Encourage nontraditional thinking to deal with traditional problems  Encourage rethinking those ideas that have never been questioned before144 A final area for consideration when leveraging IS behaviors is the removal of roadblocks. Using a strategic approach, leaders must consider potential barriers while building trust to prevent negative effects on group creativity. The anticipation of these impediments is critical to the success of ensuring a productive climate. The sources of resistance are: your organization, leader, followers, problem orientation, and yourself. It is imperative that leaders are aware of these barriers to IS and understand how to manage or reduce these obstacles for followers. Your Organization may include the structure, policies, procedures, regulations, instructions, and other guidelines that determine your organization’s culture. If you determine that some of these areas are inhibiting IS growth within your organization, you must collaborate with your colleagues and peers to promote innovation by recruiting creative personnel, include innovation within strategic planning, and rewards for creative solutions. Your Leader may include anyone in your chain from your immediate supervisor to your commander. If any one of these leaders is impeding the climate of creativity, you must involve others to help champion innovation by generating support for solving organizational problems, testing new ideas, and educating your leadership on the risks of inhibiting creativity and innovation. Your followers may be too reliant on your abilities to seek new ideas and solutions; introverted, or feels they lack creativity. Whatever the case, leaders must ensure that followers receive relevant education and training in solving problems, developing creativity, and exploring new methods to generate ideas. Your Problem Orientation involves the way that you perceive problem solving or arriving at solutions. If you feel that creative people are born, not made or that there is only one right answer to any problem, you may need to become more open-minded. Again, courses in creativity and problem solving can help one overcome these tendencies. Most universities offer professional development, continuing education courses, as well as credited courses in many of these topics. Yourself may address your own blinders to creativity. Many of us feel that we are not creative people or that sitting around thinking of good ideas is a waste of time and cling to old existing solutions for convenience. You may solve this dilemma by becoming more flexible and accepting other ideas and solutions from all levels of the organization. 145 You may need to collaborate with colleagues or peers for assistance, take courses in creativity or innovation; do whatever is necessary to remove these obstacles for your followers. 25 Example in History INTELLECTUAL STIMULATION AND THE MAN WHO NEVER WAS Royal Navy Lieutenant Ewen Montagu was watching a dead man being loaded into a submarine and wondered quietly to himself if this wild plan would work. It was 1943 and Montagu had to somehow mask the impending Allied invasion of Sicily. His answer came from Royal Air Force Lieutenant Charles Cholmondeley. Cholmondeley had once proposed dropping a dead man right into occupied France with a radio to feed misinformation about Allied invasion plans into the eager ears of listening Germans. Cholmondeley, a man described politely as “eccentric,” was ultimately told his plan was unworkable and unrealistic.146 Montagu however saw an opportunity and quickly set about building the ground work for Operation Mincemeat: de positing a body on the Spanish coast to throw German eyes off the Allies invasion plans for Sicily.147 Montague recruited a colorful team to adapt Cholmondeley’s plan, explaining that lives were at stake and he needed their expertise and ingenuity for the project. Montague enlisted the services of famed pathologist Sir Bernard Spilsbury to secure an appropriate body for their task.148 Spilsbury’s contacts led them to Glyndwr Michael, a Welsh homeless man with no next of kin who died after ingesting rat poison.149 Spilsbury knew Glyndwr’s manner of death was critical, coroners in devoutly Catholic Spain were unlikely to autopsy a man with such a benign cause of death.150 Montagu next charged his team to create an elaborate yet believable tale about the life of a man who never was. Cholmondeley proposed the name Major William Martin; it was relatively common and easily checked by the Germans against public navy records. The team eagerly worked to sell the ruse down to the smallest detail, Cholmondeley wore the dead man’s uniform to give it a wellworn appearance. Montague encouraged his team to humanize Major Martin. They all decided to make him a mildly careless yet trustworthy courier. They visited London’s Lloyds Bank general manager to draft an angry letter about a small account overdraft and added a temporary ID in his wallet to stand in for some lost credentials.151 They included several personal letters with cryptic references to Greece and Sardinia, long believed by the Germans to be the Allies’ main target. 152 Keeping Maj Martin “fresh” for his mission led them to British Intelligence’s chief inventor, Charles Fraser-Smith, the inspiration for James Bonds master of spy toys, Q.153 Montagu charged Cholmondeley to engage Charles for assistance. Charles was ecstatic and worked closely with Cholmondeley, building a capsule filled with dry ice that, as it evaporated, released carbon dioxide, forcing out oxygen to ward off decomposition.154 On 19 April, Operation Mincemeat was ready, and Major Martin was quietly deposited on the Spanish coast. His discovery set history in motion, no part in thanks to the man who never was and an unconventional leader with an equally unconventional team. 26 Source: Ben Macintyre, Operation Mincemeat: How A Dead Man and a Bizarre Plan Fooled the Nazi’s and Assured an Allied Victory, New York: Broadway paperbacks, 2011 Individual Consideration (IC). Probably the most personal leadership behavior that you can offer a follower day-to-day is individual consideration. On Monday morning when you ask one of your followers how her weekend went, you are using a form of IC. The mistake that many leaders make in disconnecting with their members is using the words without meaning or action. Take for example the time when your supervisor asked “How are you doing? How’s the family? Can you meet today’s deadlines? All of these questions without even breaking his stride down the hallway or better yet –without looking up from his smart phone! How genuine was that interaction? Does this actually happen in our work environment? Unfortunately, this has become the norm in today’s dynamic military workplace with short-suspense tasks, limited resources, and information overload! A typical military leader is distracted, but utilizing the IC behavior is not only a powerful transformational instrument, but a reminder to all of us what it is to be human! Try this experiment over the next eight hours … actually attempt to give your followers 100% of your attention during any interaction. This means ignore the vibrating cell phone, the ringing office phone, interruptions by others, watching the aircraft fly by, checking your watch, reading your texts, answering your emails, and other communication barriers! Believe it or not, this will be tougher than it sounds. One reason for this distraction is due to the different rates at which we think and speak. The average person is capable of thinking five times faster than the rate at which most of us can speak. This difference creates what is referred to as a “physiological barrier” to active listening. Although the average person can speak at a rate of 125 to 150 words per minute, the brain can comprehend between 500 and 1,000 words per minute, creating an opportunity for our minds to wander or lose focus on the current speaker.155 The key to managing this “mental noise” is to stay focused on your speaker and block out any interruptions ensuring a two-way exchange in communication. In addition to active listening and two-way communication, a leader leveraging IC considers each individual’s needs for growth and achievement by assuming the role of teacher, coach, mentor, facilitator, confidant, and counselor. Further, creating new learning opportunities along with a supportive climate for learning is critical. Leaders must not only recognize individual differences to foster creativity and innovation as described in IS, but understand that each follower is motivated by different needs and desires; some may require more encouragement, more autonomy, or in some cases, firmer standards.156 Moreover, the end goal of transformational leaders is to develop their followers into effective leaders, so reflect on your own development and recall who mentored your career. Utilizing IC, means being empathetic towards your followers and understanding their backgrounds, their needs, and aspirations. Using this approach allows followers to feel valued, encouraging not only professional, but personal growth. Sosik and Jung (2010) suggest six actions to enhance individual consideration for your followers:  Consider individuals as having different needs, abilities, and aspirations from others  Treat others as individuals rather than a member of a group  Listen attentively to others’ concerns 27  Help others develop their strengths  Spend time teaching and coaching  Promote self-development 157 When leaders display these actions with followers, members become more amenable to personal development expressing individuality as they learn to embrace the concept of continuous personal improvement, ultimately transforming them into leaders. Example in History INDIVIDUAL CONSIDERATION AND THE RED BARON How the hell did this happen?... thought British Lieutenant Wilfred May. My first combat mission and I wind up being chased by the Red Baron himself! On his tail was a bright red plane piloted by none other than Baron Manfred Albrecht von Richtofen. I’m dead, thought May as Richtofen began shooting with icy precision. Suddenly, as they crested a ridge, the world erupted around Richtofen in a shower of bullets.158 Although wounded before, Richtofen knew this time was different. As he watched May make his escape, his world grew darker. Enjoying the sudden quiet, he let his mind wander back to 1916, the peak of German air superiority over the battlefields of World War I (WWI). He had watched in horror as his mentor and Germany’s celebrated fighter ace, Oswald Boelcke, died in a mid-air collision during training.159 As Germany’s second best fighter ace, Boelcke’s legacy and German pride lay squarely on his shoulders. The task was daunting, even the allies admired Boelcke, so much so that they dropped memorial wreaths in his honor.160 Adding to the pressure, Richtofen was now in command of Jasta 11, an experienced but unbloodied squadron.161 Undaunted Richtofen charged headlong into his new command, meeting individually with each pilot to learn all he could about his men. Richtofen was a keen judge of ability, yet the two men he selected as having the most potential, Lieutenants Kurt Wolff and Karl Schaefer, hardly fit the bill of an ideal aviator. Wolff was rail thin, suffered from a permanently dislocated shoulder and Schafer had a crippled leg.162 In time, under Richtofen’s coaching, they would become two of Germany’s top aces. Wolff, Schafer, and the rest of Jasta 11 were relentlessly schooled in the tactics or Dicta Richtofen had learned under Boelcke.163 For their graduation, Richtofen led them straight into their first engagement. On January 23, Jasta 11 attacked a formation of British bombers and secured their first aerial victory. 164 As their combat record grew, Richtofen’s next target lay squarely on their so-called advanced fighter, the Albatross. It was a death trap, design flaws had caused the deaths of two of his men, prompting him into action. Richtofen engaged with Germany’s top engineers and together developed the infamous Albatross D III and Fokker Dridekker I.165 German fighters were now killing 28 machines, feared by allied aviators and the icons still associated with Ricthofen today.166 To keep up morale, Richtofen rewarded his best pilots with leadership roles and sponsored parties to celebrate their victories.167 Richtofen’s leadership culminated in 1917 during “Bloody April” after Jasta 11 killed 81 Allied airmen.168 Allied airmen ominously dubbed themselves the “Suicide Club,” most survived less than 12 days after flight school. Yet April would prove to be an ominous month for Richtofen. On 17 April 1918, his world went completely black as he crashed behind enemy lines. The Allies he had fought for more than four years laid him to rest with full military honors.169 Source: William E. Burrows, Richtofen: A True History of the Red Baron, New York: Harcourt, Brace and World Inc.:, 1969 FRLM in Teams Research has indicated that groups and teams typically enter various stages of development and during these transitions, leadership by members may differ at each stage. Additionally, these stages of development are also characterized by different levels of performance as described in Figure 5. Bruce Tuckman, social psychologist provided the five classic stages of group development: forming, storming, norming, performing, and adjourning. In the final column of Figure 5, Bruce Avolio, leadership scholar correlated FRLM behaviors with each of these development stages.170 Let us describe each of these stages of team development as it relates to the FRLM behaviors. Stage of Development/ Performance Level Tuckman’s Five Stages of Development Correlated FRLM Behaviors Early in group’s life Lowest level of performance Deadline approaching Low level of performance Deadline is imminent Mediocre performance Due date for team’s task Performance is high Due date and beyond Excellent performance Forming Unstructured Group (LF) Storming Semi structured Group (MBE-P) Structured Group (MBE-A and CR) Team (IC and IS) Highly Developed Team (II and IM) Norming Performing Excelling and Adjourning Figure 5. Levels of Team Development171 At the earliest group life stage, members assume an unstructured form, generally experience confusion, excitement, anticipation, mixed with fear and anxiety. They typically ask questions like “Why am I here?” or “Do I want to be part of this group?” At this point members cling to 29 their individuality. They normally take a LF approach to leadership of the group exhibiting poor performance. As the team’s inevitable deadline approaches for completing a specific task, members begin to storm through confrontations, particularly over roles and expectations. Members at this stage begin to assert their individuality by asking “Who are you?” and “Who is in charge?” Further, at this stage members begin posturing for position or roles in the group by arguing among themselves, taking sides, and becoming defensive. Since the team is considered semi-structured at this point, they assume a MBE-P behavior role with a typically low performance level. As the team task deadline becomes imminent, group members become structured by establishing norms, roles within the group, and rewarding performance. Members ask “How well we will get the work done?” The need for interdependence begins to outweigh the need for independence and members begin to integrate knowledge, skills, and abilities. Additionally, they begin to compliment and reward each other for meeting performance goals. They not only become more cohesive and communicate more effectively, but may be prone to groupthink in this stage.172 Groupthink as defined by Janis (1972) describes a group that maintains internal harmony by avoiding open discussion or disagreement, members develop an illusion of invulnerability and likely to overestimate the probability of success for a risky course of action.173 At this stage members utilize MBE-A and CR behaviors to add structure to their team development. Upon arrival of the task deadline, the team takes on the synergy of a performing team exuding confidence and cohesion as members interact with effective communication and collaboration skills. At this stage they are using IC and IS transformational behaviors as they are considerate of each member’s contributions and individual creativity. Finally, at the adjourning stage, members are exceeding performance expectations and are driven by a mutual vision and implementing high moral and ethical standards along with other idealized choices. At this final stage, team members are exemplifying II and IM transformational behaviors.174 Accepting Avolio’s correlation, teams develop through stages of FRLM behaviors beginning with an unstructured group (LF), semi-structured group (MBE-P), structured group (MBE-A & CR), transitioning to a team (IC & IS) and culminating in a highly developed team (II & IM). Incorporating the FRLM behaviors beyond an individual approach can lead to effective team building. How can leaders inculcate this shared leadership concept and create high-performing teams? Sosik and Jung (2010) suggest four effective actions:     Instill pride in team members for being associated with the team Go beyond self-interest for the good of the team Emphasize the importance of having a collective sense of mission Help team members to develop their strengths Traditionally, research has focused on individual leadership capabilities determining team performance. However, as employees receive more autonomy, become more empowered, and as self-managed teams become more prevalent, it is imperative that we understand distributed or shared leadership within teams or by teams as opposed to leadership of teams.175 The next and final section will incorporate an area of leadership that we collectively feel has diminished over the years in most leadership programs; the human side of leadership development. 30 Bringing Humanity to Leadership Are we discussing ethics adequately in the Air Force? Before you answer, consider which topic gets more daily emphasis in your professional lives – ethics or results? Both are important, but multiple experts testify that an unhealthy results-oriented focus, one which ignores or minimizes ethics, encourages unethical behavior at the personal and organizational level.176 Lieutenant General Wilson, speaking at a press briefing in March 2014 concerning the Malmstrom Air Force Base missileer cheating scandal, pointed to this kind of unhealthy focus, which he described as a “perfection is the standard culture”, as a pivotal encouragement to cheat.177 A way to approach the right context for understanding ethics is to ask ourselves some questions. Are you actively discussing the rightness or wrongness of actions with your leaders, peers, or followers on a day-to-day basis? Have you made a conscious decision to approach ethics as a topic worthy of study? Do you expect or demand results from your subordinates without explaining and reinforcing to them the difference between right and wrong behavior to produce the results? Learning to behave ethically requires study, reflection, discussion, and ideally the formation of a community that inspires continual growth in personal and professional ethics. Experts agree that building a solid intellectual foundation for making ethically sound decisions is a continual, lifelong pursuit.178 How often do we attend to it? It is tempting to sidestep this responsibility – are we too busy? If we do, we remain guilty of General Omar Bradley’s charge that for all of our scientific advancement “ours is a world of nuclear giants and ethical infants.”179 Indeed, the key missing ingredient in Air Force leadership culture may be that we do not teach, reinforce, and model the consistent daily cultivation of ethical soundness in our decisions. In short, we as a force can afford to clarify our approach to ethics, so that the daily practice of ethically sound thinking is common to Air Force life. What do we do? One of the key steps toward gaining clarity on ethics is first, to realize and emphasize that a perfect military record is not the same thing as having perfect personal ethics – we are all accountable, and we all can fail in the absence of constant self-vigilance. Second, we must recognize that the goal of a perfect military record can, if not balanced against other goods such as truthfulness, justice, and our core values, lead us to commit unethical behavior, and that these temptations are present from the lowest to the highest ranks. 31 Acknowledging these realities will help us to respond with something more productive than shock when we receive news of fellow airmen, many with perfect records, who pierced themselves on the point of an ethical failure. Third, we need awareness that the success of other leadership behaviors hinge on the continual practice of ethical soundness – you have to humbly live this one every day. Get it wrong, and you will weaken the impact of anything else you do as a leader.180 Moreover, the damage often extends far beyond the circumstances that nudged you into wrongdoing. It is unfortunate that one of the biggest challenges in hierarchical organizations is that, as evidence suggests,181 the higher you climb the more narcissistic (dominant, selfabsorbed, low empathy182) you are likely to be and the more inclined you may be to commit ethical failures.183 As we rise in rank and responsibility, our calling, then, is to become even more humble and more educated on how to behave ethically. How do we develop our ability to practice ethical soundness every day? Put simply, we learn to bring our full humanity into every act: “A righteous man, a man attached to humanity does not seek life at the expense of his humanity.”184 Bring our humanity? What? What does this mean exactly? This phrase may become clearer if we first reflect on a very personal example from our own lives. Consider the difference you have experienced between spending time with people who invest themselves in the interaction with you (IC) or spending time with others who are pre-occupied, withdrawn and cold to you, clearly focused elsewhere. Which treatment do you prefer? Similarly, the act of learning to behave ethically requires our entire humanity, not merely our intellect. Logical thinking by itself is not sufficient grounds. If the use of intellect, of our reasoning capacity, alone were enough to guide us to a foundation of ethical soundness, it is worth reflecting that prior to the rise of the Nazis, democratic Weimar Germany was the most literate country in Europe.185 In 1920, 12 years before the Nazi Party’s democratically elected rise to power, highly respected German professionals Judge Karl Binding and medical doctor Alfred Hoche, of their own volition, wrote and published their rationally-conceived booklet “On Permitting the Destruction of Life Unworthy of Life.”186 From philosophy, we can get a clearer handle on the term “humanity.” Plato viewed the whole human person in terms of his famous tripartite concept:    Reason (my ability to study knowledge and make plans) Will (the decision-making “I” – what do I care about, and how much?) Appetites (my bodily desires). He argued that only a cooperation between reason and the will in which reason guides the will to desire truth more than the mere fulfillment of desires would lead to a proper control of the appetites and produce just behavior.187 C.S. Lewis has a modern take on Plato. He emphasized the necessary combination of reason and trained emotions, warning that “without the aid of trained emotions the intellect is powerless against the animal organism”. Lewis’ updating of Plato, in short, is: the head (reason) rules the belly (appetites) through the chest (will). The key is those trained emotions – “emotions organized by trained habit into stable sentiments”. Without 32 trained emotions, we don’t know how to properly weight our concern for people and things. We can become disordered, such as becoming uncaring thinkers who disregard the pain of others or gluttons who care way too much about fulfilling our own desires. In the end, we may allow our desires to lead us to use logic to achieve unethical goals.188 How can one eventually come to use logical thinking to behave unethically? Given the ethical failures of gifted and privileged leaders in history, this is not only a fair question but perhaps an essential question in regard to behaving ethically. Maybe it is the question when we consider the phrase “bringing your (entire) humanity into every act”. It may seem odd at first that logical thinking can get us into trouble, but a decent understanding of history can show us the truth about ourselves and about the fallibility of using logic in isolation.189 One can see in the acts of mass brutality littering the last century the consequences of the use of reason without the accompaniment of trained emotions. To facilitate the Holocaust, Nazi leaders had to figure out logically the most efficient means of killing millions of people. This is why literary critic G. K. Chesterton, remarking on the dangers of using unaided reason, wrote that “the madman is not the man who has lost his reason. The madman is the man who has lost everything except his reason.”190 Philosopher Philippa Foot emphasized that virtuous behavior, especially when the welfare of other people is directly involved, requires more motivation than simply that the behavior is rational.191 Journalist Leon Wieseltier, speaking at the Holocaust Museum in Washington D.C. in 2005, did not point to irrationality to explain the Holocaust, but instead to an abundance of logical thinking, all directed at the achievement of evil desires.192 Today, we can also review lots of evidence of the careful planning behind some of the worst mass murders in recent US history. How does the power of this connection of reason and trained emotions as a basis for ethical soundness contribute to good leadership? Think about this analogy as you ponder the relationship between ethics and leadership. In 2009 a Rand study revealed that Air Force personnel operate more successfully in foreign cultures when they enable their communication by first consciously managing their stress levels in unfamiliar surroundings – a skill which can be taught.193 In a similar way, a sound personal ethics enables the practice of leadership behaviors. The daily demonstration of ethical soundness creates the conditions of trust upon which all leadership influence depends. How can a leader who fails to daily demonstrate solid ethics effectively use FRLM behaviors such as individual consideration or idealized influence in ways that improve others’ performance? We all want to see integrity in our leaders, and part of what that means is that we want to see an act of IC as more than a momentary fit of concern in an otherwise tyrannical leadership style. We want to see a leader who is not split apart by competing motivations and thus unpredictable. How do we best communicate our wholeness as a leader, our personal integrity? It begins, and ends, with the daily practice of ethical soundness, which reveals your willingness as a leader to act self-sacrificially. If you continually reinforce this, you will enjoy the two crucial resources essential to leadership in the Air Force: 1) you will have established the conditions for trust to grow, so that, for example, others will see your use of 33 IC as significant and dependable because you are dependable all the time whether it helps you personally or not; and 2) you will have shown that your behavior consistently encompasses the core values themselves, since each one of them depends on your readiness to subordinate your self-interest when required. Now the final point of this section – without a developed personal ethics, internalizing one’s organizational ethics is impossible! When the reality of the human being is acknowledged and honored, we see this is a fact, not a suggestion. It makes no difference when an organization says “service before self” if the members have no experience or investment in what that means to them personally. Change or improvement in behavior comes from a significant personal reaction with motive force to a proposed behavioral goal, not the reading or hearing of words.194 Air Force ethics expert James Toner calls for Air Force professionals to be men and women who have “learned to reason wisely and well. Such people are not produced quickly or easily”. He goes on to call ethics training an oxymoron. “Using traditional military training techniques in ethics instruction will not work…We can speak forever about ‘integrity’, ‘excellence in all we do’, and ‘service before self’. We can put those words on calendars, desks, and walls. When we have to apply them, what do they mean?”195 What does make a difference is that when people are viewed properly as thinking, breathing moral agents capable of integrity in their behavior, rather than mere parts of a system, there is no actual distinction between one’s off-duty personal ethics and ethics on the job. Toner writes that “the officer who is a personal degenerate either is, or will soon become, a professional degenerate.”196 How you behave at work is how you live out your personal ethics in your professional setting. The key for you as a leader, particularly if you aspire to be a transformational leader, is to develop your personal ethics. We describe this development as a process of study and practiced habits that mature your ability to integrate your reason and trained emotions. Do well at this and you will enable yourself not only to deeply internalize the core values, but you will be more effective at influencing others to do the same! As discussed earlier, the FRLM behavior of idealized influence demands the daily practice of high ethical standards as pivotal to transforming others. Thus, a strong personal ethics is the cornerstone of truly powerful leadership In closing, we introduce and propose Five Ethical Steps (see Figure 6) to gain mastery of this skill of bringing your entire humanity into your daily routine and with each decision you make: 1) learn to handle failure; 2) reject the image of perfection as a valid goal; 3) embrace humility over arrogance; 4) relearn what it means to be human; and 5) develop a personal ethics. This kind of approach to developing a personal ethics plan can help you recognize the inherent dangers in such goals as a “perfect military record” or results at “any" cost, and to learn to integrate our reason and trained emotions. The often heavily peer-driven learning environments of Air Force resident professional military education (PME) programs present opportune milieus to consider and practice these steps:  Learn to Handle Failure - Many of our lessons purposefully create conditions for conflict and the possibility of failure – these are valuable experiences that also resemble 34 reality. We can begin to think more deeply about behaving ethically when we reflect on how well we react to conflict and failure.  Reject the Image of Perfection as a Valid Goal - Our peers have a way of seeing through us. Whether the course is several weeks or several months long, the veil of appearances is too difficult to keep up. As honest relationships grow, striving for excellence in front of your peers gains more importance (and is certainly more tolerable!) than presenting an image of perfection.  Embrace Humility Over Arrogance - Arrogance wears thin quickly in the company of peers. Hopefully we learn neither to flaunt it nor applaud it in others. And if our peers help to teach us to be humble, why stop with them? All levels – leaders, peers, and followers – find humility much more attractive and inspiring!  Relearn What it Means to be Human - None of us lives in a universe of one. SOS leadership curriculum, for example, requires journaling and reflection on self and team performance. During these events, we see the students experiencing countless epiphanies on the larger significance of human life and military service. They have the opportunity to see they are unique, and also part of a community, and that both of these realities bring obligations, leading to the question “How then should I behave?”  Develop a Personal Ethics - Each program provides a thick suite of lessons on ethical behavior, including dozens of case studies, hypothetical scenarios, and lessons learned. Only the foolish or extremely arrogant remain unaffected by exposure to such content. Five Ethical Steps Learn to Handle Failure Guidelines Begin to think more deeply about behaving ethically when you reflect on how well you respond to conflict and failure. Reject the Image of Perfection As you develop relationships, strive for excellence in front of your peers vs. presenting an image of perfection. Embrace Humility Over Arrogance Arrogance wears thin quickly in the company of peers; learn neither to flaunt it nor applaud it in others. Further, be humble at all levels – with leaders, peers, and followers. Relearn What it Means to be Human None of us lives in a universe of one. Try journaling and reflection for your introspective development. 35 Develop Your Personal Ethics Build your library on ethical behavior, including case studies, hypothetical scenarios, and various lessons learned. Volunteer for community projects that touch your values. Figure 6. Five Ethical Steps Conclusion What does it mean to be a leader in the USAF? It means having a theoretical background to ground current leadership approaches to important leadership models of the past; inculcating a full range of leadership approach within a complex military environment; comprehending vital leadership behaviors for team effectiveness, and incorporating personal ethics and values within your leadership approach. The concepts underpinning full range leadership are not particularly complicated. One can learn and promote these behaviors in a relatively short period of time. The true challenge is to sustain these concepts to strengthen leadership behaviors – both in yourself and within your followers and to discern the conditions whereby these behaviors would be most effective. This constitutes the leadership-development journey that should define your career! Utilizing the Full Range Leadership Model, you can ameliorate your leadership approach immediately! As this theoretical construct approaches its fourth decade of existence, multiple empirical studies have proven that employing the components of transformational leadership results in the most effective style of leadership. Further, transactional leadership is a necessary style inherent to all military settings and should not be regarded in a negative light. Moreover, the laissez-faire or non-leadership approach is not conducive to effective leadership and should be avoided. Notes 1 U.S. Air Force photo/Master Sgt. Lee Osberry. A group of F-15E Strike Eagles taxi following a training combat mission Nov. 26, 2013, during Blue Flag exercise on Uvda Air Force Base, Israel. Aircraft from the 492nd Fighter Squadron, Royal Air Force Lakenheath, England, deployed to participate in the exercise, where they engaged multiple heavy air defense assets, ground base targets and simulated opposition forces to meet combined operations requirements. 2 Peter G. Northhouse , Leadership: Theory and Practice, (Thousand Oaks, CA: Sage Publications, Inc., 2007), 15. 3 Bernard M. Bass, The Bass Handbook of Leadership: Theory, Research & Managerial Applications, (New York: Free Press, 2008). 4 Ibid., 49. 5 Ibid. 6 Gary Yukl, Leadership in Organizations, (Upper Saddle River, NJ: Pearson Prentice Hall, 2006). 7 Richard Hughes, Robert Ginnett, and Gordon Curphy, Leadership: Enhancing the Lessons of Experience, (Boston, MA: McGraw Hill, 2006). 8 Robert N. Lussier and Christopher F. Achua, Leadership: Theory, Application, Skill Development, (Canada: Thomson, South-Western, 2007), 18. 9 Ibid., 75-78. 10 Ibid., 78-80. 11 Ibid., 80-81. 12 Lussier and Achua, Leadership, 18. 13 Bass, The Bass Handbook of Leadership, 459. 36 14 Jon P. Howell and Dan L. Costley, Understanding Behaviors for Effective Leadership, (Upper Saddle River, NJ: Pearson Prentice Hall, 2006), 96-97. 15 Bass, The Bass Handbook of Leadership, 460. 16 Yukl, Leadership in Organizations, 82-83. 17 Ibid., 84-85. 18 Bass, The Bass Handbook of Leadership, 461. 19 Peter G. Northhouse, Leadership: Theory and Practice, (Thousand Oaks, CA: Sage Publications, Inc., 2013), 123. 20 Yukl, Leadership in Organizations, 214-215. 21 Afsaneh Nahavandi, The Art and Science of Leadership, (Upper Saddle River, NJ: Pearson Prentice Hall, 2006), 134. 22 Ibid., 134-135. 23 Yukl, Leadership in Organizations, 216. 24 Ibid., 216-217. 25 Lussier and Achua, Leadership, 175. 26 Ibid., 175-177. 27 Howell and Costley, Understanding Behaviors for Effective Leadership, 55-57. 28 Bass, The Bass Handbook of Leadership, 459-460. 29 DuBrin, Leadership, 142. 30 Ibid., 52. 31 Yukl, Leadership in Organizations, 218. 32 Ibid. 33 Anthony J. DuBrin, Leadership: Research Findings, Practice, and Skills (Mason, Ohio: South-Western, 2013), 147-148. 34 Nahavandi, The Art and Science of Leadership, 181. 35 Ibid., 181-182. 36 DuBrin, Leadership, 150-153. 37 Northhouse, Leadership, (2007), 176. 38 Ibid. 39 Bass, The Bass Handbook of Leadership, 618-619. 40 Northhouse, Leadership, (2013), 185. 41 Bernard M. Bass, Leadership and Performance Beyond Expectations, (New York: Free Press, 1985). 42 Bruce J. Avolio and Bernard M. Bass, Developing Potential Across a Full Range of Leadership: Cases on Transactional and Transformational Leadership, (New York: Psychology Press, 2002), 2-4. 43 Northhouse, Leadership, (2013), 196. 44 John J. Sosik and Don I. Jung, Full Range Leadership Development: Pathways for People, Profit, and Planet, (New York: Psychology Press, 2010), 272. 45 Bass, The Bass Handbook of Leadership, 146. 46 Sosik and Jung, Full Range Leadership Development, 272-273. 47 Orlando Figes, The Crimean War: A History, (New York, NY: Picadore, 2011), 248. 48 Ibid., 249-252. 49 Ibid., 200. 50 Ibid., 209. 51 Ibid., 213. 52 Ibid., 248. 53 Bass, The Bass Handbook of Leadership, 150. 54 Lussier and Achua, Leadership, 383. 55 Ibid., 623. 56 Sosik and Jung, Full Range Leadership Development, 230-231. 57 Ibid., 231-236. 58 Air Force Personnel Center web site, Air Force Fitness Program, 2 June 2014, 59 Sosik and Jung, Full Range Leadership Development, 248-252. 60 Bernard M. Bass and Ronald E. Riggio, Transformational Leadership, (Mahwah, NJ: Lawrence Erlbaum Associates, Inc., 2006), 8. 37 61 Daniel Ford, Flying Tigers: Claire Chennault and His American Volunteers, 1941-1942, (New York, NY: Harper Collins, 2007), 187. 62 Ibid., 48. 63 Ibid., 10. 64 Ibid., 38. 65 Ibid., 45. 66 Ibid., 70. 67 Ibid., 72. 68 Ibid., 76. 69 Ibid., 199. 70 Ibid., 259. 71 Ibid., 153. 72 Ibid., 76. 73 Ibid. 269. 74 Ibid., 270. 75 Ibid., 303. 76 Ibid., 107. 77 Bruce J. Avolio, Full Range Leadership Development, (Thousand Oaks, CA: SAGE Publications, Inc., 2011), 64. 78 Bass and Riggio, Transformational Leadership, 8. 79 Sosik and Jung, Full Range Leadership Development, 237-238. 80 Ibid., 238. 81 Ibid., 267. 82 Paul Brickhill, The Great Escape.: (New York, NY: W. W. Norton and Company Inc., 1950), 3-4. 83 Ibid., 5. 84 Ibid., 19-21. 85 Ibid., 20. 86 Ibid., 26. 87 Ibid., 33. 88 Ibid., 91. 89 Ibid., 117. 90 Ibid., 23. 91 Ibid., 93. 92 Ibid., 195. 93 Ibid., 209-210. 94 Ibid., 225-229. 95 Ibid., 20. 96 Avolio, Full Range Leadership Development, 49-50. 97 Northhouse, Leadership, (2013), 186-187. 98 Bass, The Bass Handbook of Leadership, 618. 99 Bass and Riggio, Transformational Leadership, 5. 100 Avolio, Full Range Leadership Development, 60. 101 Sosik and Jung, Full Range Leadership Development, 82-85. 102 Bass, The Bass Handbook of Leadership, 581. 103 Northhouse, Leadership, (2013), 191. 104 Citations from The Little Blue Book (USAF: AETC, 1 Jan 1997). 105 Ibid. 106 Ibid. 107 Robert M. Gates, Duty: Memoirs of a Secretary at War, (New Yory, NY: Random House, 2014). 108 Ibid., 16. 109 Ibid., 18. 110 Ibid., 20. 111 Ibid., 22. 112 Ibid., 84. 113 Ibid., 477-478. 114 Ibid., 120. 38 115 Ibid., 59. Ibid., 262. 117 Ibid., 562. 118 Bruce J. Avolio, Full Leadership Development: Building the Vital Forces in Organizations, (Thousand Oaks, CA: Sage Publications, Inc., 1999), 45. 119 Folger Shakespeare Library web site, “The St. Crispin’s Day Speech,” 23 Jul 2014, 120 Charles M. Province, “The Famous Patton Speech,” excerpt from The Unknown Patton (2009), 22 Jul 2014, 121 Drew D. Hansen, The Dream: Martin Luther King, Jr., and the Speech that Inspired a Nation, (New York, NY: Harper Collins, 2003), 177. 122 Northhouse, Leadership, (2013), 193. 123 Sosik and Jung, Full Range Leadership Development, 16. 124 Ibid., 119. 125 Ibid., 119-120. 126 Ibid., 16. 127 , Laura Hillenbrand, Unbroken: A World War II Story of Survival, Resilience, and Redemption, (New York, NY: Random House, 2010), 119. 128 Ibid., 120-121. 129 Ibid., 125-126. 130 Ibid., 128. 131 Ibid., 132. 132 Ibid., 143. 133 Ibid., 145. 134 Ibid., 146-147. 135 Ibid., 146. 136 Ibid., 155-156. 137 Ibid., 161. 138 Ibid., 164. 139 Ibid., 170. 140 Northhouse, Leadership, (2013), 193. 141 Bass and Riggio, Transformational Leadership, 7, 37. 142 Avolio, Full Range Leadership Development, 61. 143 Sosik and Jung, Full Range Leadership Development, 17. 144 Ibid., 159-171. 145 Ibid., 171-175. 146 , Ben Macintyre, Operation Mincemeat: How A Dead Man and a Bizarre Plan Fooled the Nazi’s and Assured an Allied Victory, (New York, NY: Broadway Paperbacks, 2011), 16-19. 147 Ibid., 23. 148 Ibid., 44. 149 Ibid., 54. 150 Ibid., 68. 151 Ibid., 69-70. 152 Ibid., 122-126. 153 Ibid., 112. 154 Ibid., 114. 155 Susan Fritz, F. William Brown, Joyce Povlacs Lunde, and Elizabeth A. Banset, Interpersonal Skills for Leadership, (Upper Saddle River, NJ: Prentice Hall, 2005), 28. 156 Avolio, Full Range Leadership Development, 47. 157 Sosik and Jung, Full Range Leadership Development, 195-208. 158 William E. Burrows, Richtofen: A True History of the Red Baron, (New York, NY: Harcourt, Brace and World Inc., 1969), 199. 159 Ibid., 100. 160 Ibid., 101. 161 Ibid., 123. 116 39 162 Ibid., 122-123. Ibid., 123. 164 Ibid., 125. 165 Ibid., 124. 166 Ibid., 130. 167 Ibid., 170, 183. 168 Ibid., 143. 169 Ibid., 203. 170 Sosik and Jung, Full Range Leadership Development, 310. 171 Ibid. 172 Ibid., 311. 173 Yukl, Leadership in Organizations, 339. 174 Sosik and Jung, Full Range Leadership Development, 311. 175 Ibid., 294. 176 James Toner, “Military OR Ethics”, Air and Space Power Journal 17, no. 2 (Summer 2003). 177 Defense Department Press Briefing, transcript, 27 March 2014, (accessed 14 Apr 2014). 178 James Toner, “Mistakes in Teaching Ethics,” Air Power Journal 12, no. 2 (Summer 1998): 46. 179 Gen Omar Bradley (Armistice Day Address, Boston, Massachusetts, 10 November 1948). 180 James Toner, “Leadership, Community, and Virtue”, Joint Forces Quarterly 1, no.11 (Spring 1996), 103. 181 “The Psychology of Power: Absolutely”, Economist, (23 Jan 2010). 182 Jeffrey Pfeffer, “Petraeus and the Rise of Narcissistic Leaders”, Harvard Business Review, (HBR Blog, 12 November 2012). 183 Ibid. 184 Confucius, quoted in Gloria Fiero, The Humanistic Tradition Volume I: Prehistory to the Modern World (NY: McGraw Hill, 2006), 162. 185 Jacques Maritain, Education at the Crossroads, (New Haven, CT: Yale University Press, 1943). 186 Dr. Leon Kass (speech, Holocaust Museum, Washington DC, 17 March 2005). 187 Plato’s Phaedrus, trans. R. Hackforth, (Cambridge, MA: Cambridge University Press, 1952). 188 Clive Staples Lewis, “Abolition of Man” in The Complete C.S. Lewis Signature Classics, (NY: Harper Collins, 2002), 698. 189 James Stockdale, “The World of Epictetus”, Atlantic Monthly 241, no. 4 (April 1978). 190 Gilbert Keith Chesterton, Orthodoxy, (San Francisco: Ignatius Press, 1995[orig.1908]). 191 Philippa Foot, “Morality as a System of Hypothetical Imperatives", Philosophical Review 81, no. 3 (July 1972): 305- 316. 192 Leon Wieseltier (interviewed by Terry Moran, ABC News 10 February 2005). 193 Chaitra Hardison et al., “Cross-Cultural Skills for Deployed Air Force Personnel: Defining Cross-Cultural Performance, (Santa Monica, CA: RAND Corp., 2009), 19. 194 Toner, “Mistakes in Teaching Ethics,” 49. 195 Ibid. 196 James Toner, “Temperance and the Profession of Arms” (paper presented at the annual meeting of the International Society for Military Ethics [formerly the Joint Services Conference on Professional Ethics]. Springfield, VA, 14 Dec 1998), 9. 163 40
On the Job With Emotional Intelligence Stan Emelander “The leader’s fundamental act is to induce people to be aware or conscious of what they feel—to feel their true needs so strongly, to define their values so meaningfully, that they can be moved to purposeful action.” —James MacGregor Burns, Leadership T he concept of emotional intelligence continues to gain acceptance as an important factor affecting leader effectiveness. Since the theory’s introduction and popularization in the 1990s, numerous studies show that being able to perceive, evaluate, and regulate feelings makes managers and leaders more effective and that team members with a higher sense of emotional awareness and control outperform those lacking these traits. Emelander is a product manager in the Army’s Individual Weapons program. He holds a doctorate in organization and management and is a graduate of the Excellence in Government Fellowship sponsored by the Partnership for Public Service. He is Level II certified in program management, Level I in systems engineering, and is an associate assistant professor at Colorado Technical University Online. 51 Defense AT&L: March-April 2013 Even though I may not feel like an emotionally aware individual, when I practice acting like one I move closer to the desired competence. ent increasingly emphasize aligning individual and organizational values, and the relationship between worker fulfillment and organizational effectiveness. All post-Theory X approaches to work recognize motivation and engagement as important components of worker effectiveness and organizational achievement. Perhaps the most popular theory, Transformational Leadership, was introduced by Pulitzer Prize-winner James McGregor Burns in his seminal 1978 book Leadership. Engagement, as noted by Burns, happens at an emotional level. Feelings are a part of what motivates us, and managers, especially those one level above any worker (e.g., many project managers), play an outsized role in shaping feelings and influencing how employees feel about their work. Emotional Intelligence Attributes Inquiry into emotional intelligence began with observations that people seem to possess intelligence in diverse areas such as language, mathematics, and music. Whether these are true intelligences, or the application of general intelligence in different domains (i.e., learned skills), is a topic of debate. What’s undebatable is that people, depending on their focus and native skill, have different levels of ability. Some people possess a high native sensitivity and capability for successfully perceiving and dealing with emotions. This capability—emotional intelligence—applies to both one’s self and others, and it includes the perception, interpretation, regulation, and response to emotions. Emotional intelligence, sometimes labeled “social intelligence,” seems to have a part in every recent article, study, book, and video on leadership. One of the pioneering researchers and authors on emotional intelligence, Peter Salovey, recently was nominated to be president of Yale University, demonstrating the theory’s recognition by the mainstream. There’s more to the theory than making people feel good—it draws from behavioral and brain science to describe why feelings arise as well as the importance of managing them. This article provides an orientation to emotional intelligence and offers advice on how to build capacity for it and put it to use. As a start, we can note that emotions have only recently been recognized as having a legitimate role in the workplace. The above definition encompasses two dimensions—objects and capabilities. Objects include one’s self and others, while capabilities include awareness and response. The interaction between these dimensions results in four attributes, directed towards one’s self and others, described as follows: • Self-awareness—recognizing your own emotions and how they affect your thoughts and behavior, knowing your strengths and weaknesses, and possessing awareness of how you respond in different circumstances. • Self-management—controlling impulsive feelings and behaviors; managing emotions in healthy ways, resulting in self-confidence and motivation. This includes taking the initiative, following through on commitments, and adapting to changing circumstances. • Other awareness (empathy)—understanding the emotions, needs, and concerns of other people; picking up on emotional cues; feeling comfortable socially; and recognizing the power dynamics in a group or organization. • Relationship management—knowing when the introduction of emotion is effective and beneficial. Includes developing and maintaining good relationships, communicating clearly, inspiring and influencing others, working well in teams, and managing conflict. The development of management theory began with a mechanistic, relatively simple perspective toward workers. The traditional command-and-control (Theory X) perspective toward motivation holds that employees dislike working, require close supervision, and are best encouraged with explicit material rewards. In this scenario, all people are thought to be out for themselves, with economic gain providing their core motivation. Theory X managers believe that employees find work disagreeable, resulting in cynicism and other emotions that should be suppressed. This perspective fits neatly with scientific management, the study of work flows and physical movements, with a goal of maximizing efficiency of production. In my experience, although the Theory X approach is viewed as outdated and even quaint in academia, it is alive and well in the workplace. Progressing beyond the mechanistic perspective, multiple research-supported theories from the 1950s to the presDefense AT&L: March-April 2013 52 Whether emotional intelligence is true intelligence or a learned skill is a subject of debate, but its effectiveness in the workplace is well recognized. Applying Emotional Intelligence Perhaps the most intuitive application of emotional intelligence is in continually sensing and responding effectively to others’ emotions. This use builds morale in individuals and contributes to employee impressions of the workplace as a place of support. One of the foremost benefits of emotional intelligence is trust building. Trust results from the favorable assessment of another’s intentions, reliability, and effectiveness. The first two components relate to the emotional attribute of self-management. Expressions of support and good intentions, for instance, are only effective when communicated at the right time with genuine feeling. This genuineness of expression is a facet of emotional intelligence. Teams always have the potential to be more creative than individuals— if they are not torn apart by disagreement. Often, it is episodes of high emotion, including outbursts or put-downs, that create the most lasting impressions about the work environment, and particularly about managers. achieved through constructive conflict. Teams always have the potential to be more creative than individuals—if they are not torn apart by disagreement. Potentially beneficial conflict is directed toward issues and concepts, while disruptive disagreement is directed toward persons, provoking animosity and hindering team effectiveness. Disagreements always carry the seeds of stress, and emotional intelligence can be essential for keeping team conflict healthy and focused on issues, not on individuals. Unpleasant events, particularly shocks or outbursts, are deeply memorable because they stimulate the amygdala, an area of the brain responsible for intense emotional reactions. The amygdala is responsible for the “fight or flight” response that includes redirection of blood away from the brain to muscles and the release of adrenaline. When we perceive a threat that stimulates the amygdala, referred to as an “amygdala hijack,” a term coined by Daniel Coleman in his 1996 book Emotional Intelligence, the emotion is accompanied by physical changes that include strong sensations. The sensations can reinforce our feelings and cognitions about the threat, making it a truly memorable experience. With our blood-depleted brains and a system awash in adrenaline, we are in poor shape to make a reasoned response to the threat. Self-monitoring to recognize symptoms of feeling threatened (including dry mouth, flushed skin, and raised voices) and framing an appropriate response (stepping back from a confrontation, making the conversation safe) can help put the thinking part of our brains, the neocortex, back in charge. Emotional intelligence also has exceptional application for team-based work leaders, including project and program managers. Building Emotional Intelligence Similar to how active listening skills can grow with practice, emotional intelligence skills can become habits with practice over time. A difference with emotional intelligence is that half of the skill building will be inner-directed. I am a fan of the “fake it until you make it” method. Even though I may not feel like an emotionally aware individual, when I practice acting like one, I move closer to the desired competence. To employ this tactic, it’s most useful to have a template of behavior, such as the following: • Assess your feelings throughout the day, looking for sources of your moods and feelings. Is your mood the same at a day’s beginning and end? Before and after lunch or a long meeting? Learn how to label your emotions. • Observe your reactions to other people; note the physical signs and sensations. Do you raise your voice when upset? What happens when you lower it? • Assess your behavior in your environment, including attention seeking, humility, and selflessness. Ask, “How am I showing up?” At least two aspects of teamwork suggest a strong role for emotional intelligence. The first is the team life cycle model (storming, norming, performing, adjourning) pioneered by Bruce Tuckman in 1965. Appropriately handling emotions during the storming and norming phases is an asset for helping teams transition quickly to effective performance. The second aspect concerns team decision making and creativity, often 53 Defense AT&L: March-April 2013 • Identify the positive emotional results from making decisions or achieving goals. • Attend to your reactions to stressful circumstances. • Look for positives, not just negatives, in situations and work outcomes. How can challenges lead to improvements? • Assume responsibility for your actions; engage in active problem solving rather than worry. • Before you act, assess how your behaviors will affect others. • Identify leaders who model the behaviors to which you aspire. of the leader. Charisma, the quality of providing attractive emotional stimulation, is identified with the most successful transformational leaders. Charisma can be thought of as the exercise of the relationship management dimension of emotional intelligence. The goal of transformational leadership always entails change, both for the organization as a whole and for individual followers. Planning and leading change relies on effectively communicating the rationale for change and expressing support and optimism—emotional intelligence skills for those being affected. Leadership development includes modeling desired behaviors, most of which are related to emotional intelligence. Emotional Intelligence and Leadership Emotional intelligence is related strongly to leadership; indeed, it is often identified as the most important attribute of successful leaders. Leadership is sometimes defined as the ability to motivate people to action, even in the absence of the leader; and it’s the emotional appeal of a leader’s values, goals, and vision that stirs followers. I recently attended a workshop in which government managers were asked to list three attributes of leaders they worked with and admired. The attributes then were sorted into three categories and added. The scores were: Intelligence Related–10; Technical Skill–20; Emotion Related–42. When I ask students to name the attributes of leaders they most admire, answers like “supportive,” “approachable,” and “trustworthy” dominate. The results of these informal surveys underscore to me the importance of emotional intelligence. The feelings they inspire in us are more important than raw ability or technical know-how. Leaders need to realize that a memorable legacy is founded on what they cause followers to feel, and attending to emotional intelligence can help achieve that goal. The transformational leadership model, emphasizing the leader’s communication of a vision and development of followers, shares much in common with emotional intelligence theory. The core appeal of the leader’s vision is emotional and valuebased; lacking those qualities, the vision can ring hollow. The follower’s buy-in to the leader’s program of self-development depends on the authenticity of the message, which in turn depends on the perceived genuineness and trustworthiness The author can be contacted at . DAU Alumni Association JOIN THE SUCCESS NETWORK The DAU Alumni Association opens the door to a worldwide network of Defense Acquisition University graduates, faculty, staff members, and defense industry representatives—all ready to share their expertise with you and benefit from yours. Be part of a two-way exchange of information with other acquisition professionals. • Stay connected to DAU and link to other professional organizations. • Keep up to date on evolving defense acquisition policies and developments through DAUAA newsletters and symposium papers. • Attend the DAUAA Annual Acquisition Community Conference/Symposium and earn Continuous Learning Points (CLPs) toward DoD continuing education requirements. Membership is open to all DAU graduates, faculty, staff, and defense industry members. It’s easy to join, right from the DAUAA Web site at For more information, call 703-960-6802 or 800-755-8805, or e-mail dauaa2(at) Defense AT&L: March-April 2013 54

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