aprj-699 leadership in the canadian forces applied...

Leadership in the CF - 1/48

APRJ-699

Leadership in the Canadian Forces

Applied Project

Student: Alex Tupper

Supervisor: Lucien Cortis

May 20, 2006


Table of Contents 1.0 INTRODUCTION / BACKGROUND .......................................................................3 2.0 RESEARCH OBJECTIVE.........................................................................................4 3.0 RESEARCH QUESTIONS........................................................................................5 4.0 DEFINING CF LEADERSHIP..................................................................................5 5.0 LEADERSHIP MODELS..........................................................................................8

5.1 Variables .............................................................................................................8 5.2 A Model for CF Leaders ...................................................................................9

6.0 HIERARCHY and CF LEADERSHIP .....................................................................11 6.1 Challenges........................................................................................................12 6.2 Hierarchical Balance ......................................................................................13

7.0 LEADERSHIP QUALITIES, ATTRIBUTES AND CHARACTERISTICS.............14 7.1 Common Core Competencies ......................................................................16 7.2 Junior and Middle Leader Attributes ..........................................................26 7.3 Middle and Senior Leader Attributes ..........................................................28 7.4 Senior Leader Attributes ...............................................................................32

8.0 VALUES, ETHOS, ETHICS & CF LEADERSHIP .................................................37 9.0 CONCLUSION .......................................................................................................41 APPENDIX 1......................................................................................................................45 REFERENCES....................................................................................................................46


1.0 INTRODUCTION / BACKGROUND

According to the Chief of Defence Staff�s (CDS) annual report the mission of the Canadian Forces (CF) is to defend Canada and Canadian interests, while contributing to international peace and security1. As the single largest employer in Canada2, the Department of National Defense (DND) is comprised of more than 100,000 Canadians, including 62,000 regular and 22,000 reserve force members3. Encompassing air, land and naval elements, the CF is a multi-purpose, combat-capable force prepared for a broad range of tasks including observation, peacekeeping and peace-enforcement, interdiction operations and the protection of displaced persons. Duties also include surveillance and control of Canadian territory, airspace and maritime approaches, civil defence and protection of infrastructure, search and rescue, and disaster relief. As well as being equipped to deal with terrorist and asymmetrical threats4 in Canada and abroad, the CF supports the civil authorities of other federal departments and agencies, and other levels of government, with respect to environmental surveillance, counter-terrorism, illegal immigration and drug trafficking. In May of 2005, the Government of Canada (GOC) published a new Defence Policy Statement (DPS) aimed at transforming defence and security in Canada. This policy, built on the national and international security strategy, sets out the overall objective of making Canada more relevant in the world5. In conjunction with the release of this policy the CF, under the leadership of the CDS General Rick Hillier, is currently immersed in a transformation process. Throughout the eighties, nineties and well into the new millennium the political landscape required a focus on efficiency at all cost. However, the current political environment is allowing the focus to center on effectiveness. A tenet of the redefined CF is the concept of waging a three-block war. The government has pledged a resource envelope sufficient to simultaneously enable the CF to engage armed terrorist forces in one city block, perform peace keeping in the next block, and administer humanitarian aid in the third. This change recognizes the blurring lines that distinguish combatants from non-combatants. General Charles Krulak postulates that adversaries that were once confounded by conventional military superiority will resort to asymmetrical means to redress the imbalance6. He also observes that the ubiquitous presence of the media will further complicate circumstances as future conflicts will be acted out before an international audience.

1 Retrieved from http://www.cds.forces.gc.ca/pubs/anrpt2004/introduction_e.asp 16 January 2006 2 Maple Leaf Magazine, 7 December 2005, pg 12 3 Retrieved from http://www.forces.gc.ca/site/about/family_e.asp 16 January 2006 4 Threats that are dissimilar to the capabilities of the CF. For example an entire army against a group of terrorists with small arms or peacekeepers versus a single suicide bomber. 5 The Honorable Minister of National Defense Bill Graham, retrieved from http://www.forces.gc.ca/site/reports/dps/index_e.asp 16 January 2006 6 Krulak C. (1999), The Strategic Corporal, Marines Magazine


This progression has taken place incrementally over the past several years. Phase shifts occurred at the end of the Cold War, the Serb-Bosnian conflict, the coalition victory in the Gulf War and finally the attacks of 9/11 and the subsequent Canadian participation in the war on terrorism. Clearly there are many ongoing changes in recognition of the emerging global political and military dynamics. In many respects the threat base has broadened, whereas the separation among response options, such as peacekeeping and war fighting, have narrowed. Despite the changing threat, the requirement to provide security remains constant. The shift away from warfare centered on engaging a similarly equipped combatant to an enemy that may never be fully revealed necessitates examination of CF leadership development and philosophy.

The importance of leadership to organizations of all sizes is indisputable, as it continues to be the topic of countless books, papers and presentations. In every generation organizations have continually sought great leaders, particularly those Corbin (2000) describes as special individuals who possess ethical character, care about their followers and have the courage to lead them into a positive future7. It is not a significant stretch to contend that the search for leaders is of greater importance in a military context, where leaders are empowered to ask followers to make the ultimate sacrifice. It is this unlimited liability that creates a separation between what is required of a competent business manager and a capable military leader.

According to a past version of the Canadian Forces leadership manual,

�Leadership is the art of influencing human behavior to accomplish a mission in the manner desired by the leader�8. For the CF, leadership ultimately relates to officers and non-commissioned members (NCMs) using their authority to accomplish this mission. Influence makes intuitive sense in a one-to-one context. However, is persuasion and influence enough to meet the requirement of all the circumstances that are presented in a military setting? As the CF Leadership manual insists9, a requirement exists to discover a balance between technical and heroic military leadership. This paper will seek to discover this balance.

2.0 RESEARCH OBJECTIVE �The problem with senior leaders today is they have small ears and big mouths�.

Colin Powell, JCS10

The objective of this research paper is to, within the context of the CF, assess, evaluate and compare the leadership qualities, attributes and characteristics required of junior, middle and senior leaders to lead small and large CF elements. The distinct requirements for effective individual and institutional leadership, as well 7 Corbin (2000), page xi 8 Canadian Force Army Leadership Manual A-PD-131-002 9 Leadership in the CF, pg 10 10 Harari (2002), pg 98


as application of leadership models and philosophies will be examined. The outcome of this examination will provide insights to improve leadership as the CF continues to transform in the current positive political environment in the face of emerging unconventional threats.

3.0 RESEARCH QUESTIONS

To achieve these objectives, research will focus on the following questions: -What is a suitable and useful definition and model for effective CF leadership? -How will the operating environments of the future impact CF leaders? Will leaders be obliged to rely less on formal authority based on a hierarchy and more on decentralized decision making models? What are the implications of hierarchy on CF leadership? -To wage the three-block war in diverse deployed and domestic theaters will require instant continuous transition from one task to another. Across the rank spectrum, what qualities, attributes and characteristics are required of junior, middle and senior leaders to successfully lead individuals and institutional CF elements in changing environments? -Which leadership and personality styles fit leader roles in small CF groups and large CF institutions? How can junior and senior CF leaders deal with bureaucratic challenges? -What value based and ethical considerations are necessary to be a successful CF leader?

4.0 DEFINING CF LEADERSHIP "The only definition of a leader is someone who has followers�

Peter Ducker

The volume of text and views on leadership is overwhelming. It is doubtful that answers to the questions of �what makes an effective leader, and can these traits be learned?� will ever be definitively resolved. However, foundational to a study of this nature is a functional definition of what leadership means in the CF.

Wright and Mackinnon (2003) assert that to properly examine leadership, we must first separate it from the concept of a role11. Leadership is not filling a role such as Commanding Officer or Unit Sergeant-Major, but it is the process of carrying out this role in relation to others. Calvert (1993) sees leadership as the act of communication that inspires a vision among followers to succeed12. This emphasis 11 Wright and Mackinnon (2003), pg 33 12 Calvert (1993), pg 25


highlights the importance of a leader�s communication ability. However, Calvert�s definition raises the question as to whether or not one can effectively lead by other means of communication not commonly used in 1993. The CF has embraced numerous electronic forms of communication including email, video teleconferencing and secure chat systems. Many commanders of large formations may never be physically present with the soldiers under their command and must therefore master other available means including Internet Protocol (IP) based communications to be effective.

Collins (2001) insists leadership should not be defined as coming up with answers and then motivating the masses to execute your vision, but is it having the modesty to ask questions that will lead to the best possible insights13. He identifies the best leaders as level five (5) leaders who build enduring greatness though a paradoxical blend of personal humility and professional will14. The antithesis of Collins (2001) best selling effort is MacCoby�s (2003) book �The Productive Narcissist�. MacCoby declares that today�s most successful leaders are self-absorbed and possess a change the world attitude. He carries this argument further contending that leadership theorists have overemphasized the importance of personal influence to leadership, skewing the definition away from the truth. In his view, the aptitude to build relationships, technical intellect, emotional intelligence, and even a proven track record do not define a leader. Instead he proposes the notion of strategic intelligence15. This expands the focus of the definition from influencing interpersonal relationships to the art of constructing strategic vision and turning it into reality. The grandeur of MacCoby�s leadership characterization is lessened however, when he further explains that strategic intelligence is akin to motivating a workforce to share in the goal of the leader. This comment places strategic intelligence inline with the other definitions presented. A distinct view, although based more on practical experience than on academic study is the definition from the former US Military Joint Chief of Staff, General Colin Powell. He characterizes leadership as the art of accomplishing more than the science of management says is possible16. This definition appears out of place, but it conjures the image of a true leader adding intangibles to the equation, such as charisma and allure that enable success and advancement beyond what is normally possible.

The US Army Leader Field Manual (2004) defines leadership as influencing people by providing purpose, direction and motivation. The difference between this definition and others is the manual�s addition of the criteria �while operating to accomplish the mission and improve the organization�17. Hinging the actions of the military leader on a greater purpose implies that more than the desires and aspirations of the one appointed to give orders should guide leadership. This definition however, places an unwarranted emphasis on influencing people and fails

13 Collins (2001), pg 75 14 Ibid, pg 20 15 MacCoby (2003), pg 15 16 Harari (2002), pg 13 17 US Army Leadership Field Manual (2004), part one pg 5


to recognize the importance of institutional leadership that goes beyond direct contact.

Bentley (2005) adds three additional dimensions that must be considered in a

military context: Distributed Leadership. One cannot expect a large and complex organization like the CF to be controlled by a single individual. This highlights the importance of distributed leadership. Bennett et al (2003) view distributed leadership as an emergent property of a group of interacting individuals that is in contrast to leadership that arises from a single individual. It suggests an openness of boundaries while emphasizing a variety of expertise distributed across many18. Bringing out the potential of this type of leadership requires the sharing of responsibilities both vertically and horizontally. Occasionally, individuals make significant contributions, but as stressed by the CF leadership manual, in the long term, to be effective the organization must rely on the breath and depth of the entire leadership team, that includes all ranks19.

Along with an appropriate recognition of distributed leadership there is a requirement to exert both direct and indirect influence20:

Direct Influence. Direct military leadership influence is well understood, particularly as it relates to acts of heroism in times of crisis. In face-to-face settings leaders can capitalize on follower competences, and as necessary provide direction and guidance to improve deficiencies. Well-established forms of direct influence include verbal guidance, coaching, mentoring, goal setting, compensation, discipline, and performance management feedback21. The effects of these efforts will vary greatly as to their duration and impact. However to be effective, leaders must come to know and understand those they have been empowered to directly lead.

Indirect Influence. In addition to directly influencing followers, indirectly affecting behavior and performance is equally important. Over the long-term this influence is realized by shaping the task environment. In the CF, exercising this influence is challenging for junior leaders as they act to execute polices they did not create. However, as leaders advance across the rank compendium, their mastery of indirect influence becomes critical. Altering systems and structure such as the delivery of training, technology, organization, services and culture demonstrate this influence. Enabling enhanced performance and neutralizing the constraints of situational factors by indirect influence can contribute to CF effectiveness.

18 Bennett et al (2003), pg 8 19 Leadership in the CF (2005), pg 6 20 Bentley (2005), pg 3 21 Ibid, pg 6


Connecting the critical elements of the above mentioned business and military explanations enables the proposition of wider effective leadership definition that is uniquely relevant to the CF in its current disposition:

In the author�s view, effective leadership in the CF is the application of both indirect and direct influence, through strategic intelligence and communication by any means, for the collective good to accomplish the mission in a professional and ethical manner.

5.0 LEADERSHIP MODELS

Several models have been derived to demonstrate the potential interactions of leaders. Given the hierarchical nature of the military environment a simplistic view is that the leader must interact with subordinates and superiors. The Company Commander provides instruction to Platoon Commander to secure a ridge. Individual commanders then report back on the level of success in achieving their portion of the mission. However, as presented by the AU Study Guide leadership model there is a much wider range of interactions that take place, which includes other superiors, external contacts, subordinates in other groups and peers22. Although these additions are an improvement over early models, the most significant omission is the absence of the situational factors described in Clark�s (1997) work on the concepts of leadership23. 5.1 Variables Leadership is a dynamic social process that involves hierarchical and mutual persuasion24. The diversity of influences highlights the complexity of leader behavior, which Gary Yukl (1998) segregates into several elements. Key components of these elements are situational characteristics that influence follower performance and intervening variables that refer to the impact the leader�s behavior has on the performance of followers. Yukl�s model, which takes a systems approach, infers that in the near term the leader must correct limitations associated with intervening variables, and over the long term the leader must improve situational factors25. Given the uniqueness of the military environment, the CF Leadership manual builds on Yukl�s work, taking a step further by proposing an integrative CF leadership model26 based on major classes of variables including leader characteristics, leader behavior, outcomes, as well as individual, group and situational variables.

22 Human Resource Management (HRMT-502) Study Guide 3 - Lesson 3: Leadership \ 3-1 Introduction 23 Retrieved from http://www.nwlink.com/~donclark/leader/leadcon.html 25 January 2006 24 CF Leadership Manual (2005), pg 121 25 Yukl (1998), pg 273 26 CF Leadership Manual (2004), pg 120


5.2 A Model for CF Leaders

A leadership model is an academic notion. However, it can play an instructive role that will potentially improve knowledge and can be leveraged to enhance performance. The CF model at appendix 1 is relatively complex. Combining elements of Clark and Yukl�s work along with a significant simplification of the model at appendix 1 yields figure 1: Figure 1: Simplified CF Leadership Model

Each of the four major components interacts as follows: Leader. Built on four variable sets, the simplified CF model begins with the leader. Critical elements include the leader�s behavior, characteristics, and personal power. The leader�s influence can be direct, which is typical of tactical leadership, or indirect, which is common with strategic leadership. The leader�s influence is also multifaceted as it includes subordinates, peers, colleagues, superiors, and external human resources (HR). In turn, each of these elements may counter influence the leader. These observations, according to Bentley (2005), are useful to CF leaders as they increase understanding of leadership as a dynamic social process that involves both hierarchical and mutual influences27. Individual/Group. These variables include the individual or group task/role proficiency, motivation, resilience and confidence. The importance of the capabilities, behaviors and performance of the individual or group being led cannot be underestimated. Cohesion, teamwork, expertise, and enthusiasm play a key roll. Experience shows that group and individual error, misconduct or inaptitude can result in mission failure. In his book �Good to Great�, Collins admonishes leaders to ensure that the right people are employed, or in his analogy �the right people are on

27 Bentley (2005), pg 121

Leader Variables

Individual/Group/OrganizationPerformance & Behavior

Situational FactorsControllable & Uncontrollable

OutcomesPrimary & Secondary


the bus�28. If the bus changes direction, than those on the bus are not there for the destination, but because of who is on the bus. This concept is important to effective military leadership, as mission focus is subject to government direction, which can change based on political requirements29. Unfortunately, CF leaders in junior and middle management position often cannot select their team members. They either inherit the team, or based on previous experience, they can reject a candidate offered. The problem is further compounded by the stringent regulations governing employee rights. However, leaders need to pay close attention to how they can help individuals and groups exploit opportunities. Situational Factors. Situational factors can be a great challenge to leaders as these elements are the most difficult to manage. With an increase in rank there is a commensurate increase in the CF leader�s ability to change or influence conditions that affect the organization. Two factors can interfere with this influence. First, as CF leaders rise in rank, the complexities of issues increase substantially. Secondly, the final outcome can often be irrevocably altered by natural phenomena and other uncontrollable events. Retired CF Lieutenant Gen MacDonald describes the current era as one of complexity that is immersed in a continuum of discontinuous change30. For the CF leader, MacDonald anticipates that predictability and stability are not achievable in the future. Although change is often not sought or welcome, it is now a fact of service life. For these reasons, Bentley (2005) cites a requirement for CF leaders to be continuously alert to the variety of possible outcomes, as well as striving to develop contingency and management plans that will contain and offset identifiable risks31. Leaders must be proactive and adaptive to avoid being blindsided. Outcomes. The fourth and final variable is the outcome. Colonel Peter Varlijen is attributed with the quote �leadership is more than mission accomplishment�. This axiom is evident, as many poor leaders have managed to accomplish the mission. In contrast is General Douglas MacArthur�s view. In summarizing what he learned in several wars he stated �Your mission � is to win wars�32 and �There is no substitute for victory�33. These expressions of the criticality of mission success could force the leader to place precedence on the mission above other considerations. However, in a military context this imperative cannot be accomplished without some risk. Leaders at all levels must determine if maintaining the primacy of operations is worthy of the sacrifice of their followers. The CF Leadership manual�s stratum of mission first, then people, with self last makes sense in the face of national survival. However, in other circumstances such as normal operations or peacekeeping, where the outcome does not protect a vital Canadian interest, accomplishing the mission must be a secondary outcome to the safety of followers. These exceptions indicate

28 Collins (2001), pg 44 29 Tupper (2004), pg 7 30 Horn and Harris (2001), pg 172 31 Bentley (2005), pg 122 32 US Army Staff Leadership Field Manual (2004), pg 1 33 Garlow (2002), pg 199


that CF leaders must be flexible in their pursuit of outcomes, and be mindful of the risks. From this perspective, protecting both the well being of CF followers and their commitment to the leader should be considered a primary outcome.

In addition to achieving the primary mission, CF leaders must also be cognizant of the value of secondary outcomes. The growing influence of the media on both political and pubic opinion is a necessary consideration. Retired Canadian General Lewis Mackenzie opined that the media should not be viewed as a tool, but as a weapon34. For senior leaders the opportunity to influence the public through the media can provide an edge to achieve the secondary outcomes of instilling trust and confidence in the CF. Success in these areas can lead to an increased resource envelope and greater support for CF missions and personnel. An equally important secondary outcome for junior leaders is a healthy reputation and professional image. Mackenzie further cites the appreciation and admiration of subordinates for support as the greatest satisfaction a leader can achieve. It is important to note that secondary outcomes are most often not under the control of the leader, but dependant on the perception of others. The CF Leadership manual evaluates these perceptions in terms of effectiveness and legitimacy. Focusing these perceptions on leadership yields questions to which the CF leader should strive to reach a positive response:

Perceived Effectiveness. Did the CF leader achieve the results one might expect of a professional military? A positive result improves opportunities for support. Perceived Legitimacy. Were the results the leader attained and achieved in an appropriate manner? A positive response improves trust, confidence and reputation.

In light of the variables proposed by this model a key consideration is the

leader�s ability to both directly and indirectly shape the mission, and environmental characteristics. This will be particularly relevant to further discussion of strategic and institutional leadership.

6.0 HIERARCHY and CF LEADERSHIP �In a hierarchy, delegation is the primary tool for creating opportunity for more leaders�If delegation is the norm, each leader can create subordinate leaders.�

Gifford Pinchot

An intuitive benefit of the well-defined hierarchical rank structure the CF employs is clarity on leader roles at each level. Desmond Morton recognizes that in a peacetime setting like the CF currently enjoys, a hierarchical institution can create acute competition for advancement and rewards like pay, pension, status and

34 Horn and Harris (2001), pg 400


dignity35. In a war or crisis environment the military structure allows for the timely replacement of fallen or wounded leaders. In general, each CF rank has a common definition with commensurate responsibilities. As personnel move about, their rank and place in the hierarchy is immediately recognized. For example, in all three (3) services36 Commanding Officers of Naval ships, Air Force squadrons, and Army battalions are Lieutenant-Colonels. The pervasiveness of military hierarchy is further maintained by the use of uniforms. In all settings an individual�s rank or position in the hierarchy is clearly displayed. Although there are numerous exceptions, rank tends to permeate all aspects of leadership. This includes the formation of temporary teams, groups and committees, where the individual of the highest rank is appointed or assumes the position of chair or director. For the CF however, 11 officer ranks and seven NCM ranks can create several challenges that CF leaders must learn to effectively manage. 6.1 Challenges

Wright and Mackinnon (2003) claim that positional power, which has traditionally been the basis for power and control has broken down and authority now comes from individual stance, presence and the ability to add value37. Evidence of this decay is seen in the current business trend toward delayering or flattening of the organizational chain-of-command. Stripping away management layers has brought workers closer to both their superiors and their customers. In contrast, the CF has not altered its rank structure since World War II. The advantages of a flat organization include efficiency, flexibility, and responsiveness. However, for military leaders the CF�s hierarchy creates several limitations:

Organizational Inefficiency. Paradoxically, leaders establish hierarchies to improve efficiency and reduce ambiguity. However, additional structure can create the opposite effect. Many levels of management can create time delays, as well as a requirement for numerous written policies, rules and bureaucratic measures. Further inhibitors to efficiency are the organizational divisions that hierarchies create, which can prevent collaboration among followers. Many CF leaders are quick to employ influence that functions in a top-down or vertical manner, but they must also facilitate internal and external vertical linkages to improve efficiency when operating in an extended hierarchy. Rigidity. To be effective Colin Powell asserts that military leaders at all levels require details. Leaders who have mastered details will inspire confidence38. However, hierarchical rigidity can rob leaders of critical details by the summarization and filtering efforts of subordinates. Wilson (2006) declares that the mainstay of any fighting force is the sanctity of its chain-of-

35 Ibid, pg 363 36 Navy, Army, and Air Force 37 Wright and Mackinnon (2003), pg 84 38 Harari (2002), pg 142


command39. Without discipline, the military is both ineffective and a threat to the society which sanctions and funds it. A degree of organizational rigidity must be embraced, and leaders must ensure it remains part of CF culture. However, it must also be managed. In �A Passion for Excellence�, Peters et al (1985) describes management-by-walking-around (MBWA) as a highly effective means of appropriately addressing a rigid hierarchy. MBWA allows leaders to accomplish the critical activities of listening, teaching and facilitating40 through dialogue. Latency. When an organization has numerous ranks, direction can often move very slowly. Technological innovations, like email and other electronic broadcast means have increased flow rates, but critical information can still take considerable time to move down and up the chain-of-command. In the CF for example, although assessments are an important aspect of leadership, a top performing Corporal�s evaluation will be reviewed by nine different ranks before it is signed, and then returned through the chain-of-command for presentation to the member. The impact of latency on critical operational data, which can quickly become stale, can have devastating implications in war and crisis environments. Junior and senior CF leaders must be cognizant of these inherent delays and implement means to ensure timely reporting.

6.2 Hierarchical Balance

The concept of a hierarchy41, or the sharing of leadership power according to the needs of the moment, presents a significant contradiction for the military leader. Is there space for the diversity of views and multiple perspectives when the welfare of human lives and national sovereignty are potentially at stake? On closer examination, power sharing among leaders in the CF hierarchy is not only possible, but also essential.

Globalization and technological advancements have made large amounts of data relative to the battle space readily available to all levels of leadership. This data can be shared so as to enable subordinate commanders to act quickly, and as necessary independently. Conversely, Bentley (2005) sees this availability as an opportunity for leaders to centralize information and decision-making42. A balance of these approaches is required. CF leaders must act to ensure they only make the decisions they need to, with the remainder either funneled up to superiors or pushed down to the appropriate level. Retired Major General Smith (2002) describes the requirement for leaders to establish equilibrium between centralization and

39 Wilson (2006), Retrieved from http://www.dailypioneer.com/columnist1.asp?main_variable=Columnist&file_name=JOHN38.txt&writer=JOHN&validit=yes 2 February 2006 40 Peters et al (1985), pg 378 41 Wright and Mackinnon (2003), pg 92 42 Bentley (2005), pg xii


decentralization43. At each level within the CF there should be an appropriate amount of decision-making authority and empowerment. The concept of a swarm44 or a self-organizing system45 may be too radical for a small military force like the CF, but leaders in the current information dominated operational environment must learn to depend less on structure and hierarchical dominance. Pritchard (1997) advocates open, informal and networked communications that are based on decentralized decision making models, relying on multi-channel cross-functional teams46. According to Horn and Harris (2001), CF members are better educated than any of their predecessors and expect to be well led, as well as having their lives valued and their professionalism appreciated47. These requirements highlight the importance of the previously discussed concept of distributed leadership. In peace and wartime missions, CF leaders must possess initiative and be empowered to assume higher leadership roles when circumstances require. CF leaders that recognize this trait will be able to overcome hierarchy limitations and leverage its benefits.

7.0 LEADERSHIP QUALITIES, ATTRIBUTES AND CHARACTERISTICS �Leaders must be open, vulnerable and real, providing direction, not directions.�

Carol MacKinnon

This segment will address the qualities, attributes and characteristics required of leaders to successfully lead individuals in tactical settings and institutional CF elements in strategic settings. In the context of the CF, this analysis will discuss attributes necessary for the three distinct categories of junior, middle and senior leaders defined as:

Junior Leaders. Within the noncommissioned member (NCM) ranks the entry-level leader is typically a Master-Corporal (MCpl). MCpls lead small groups, but also have work responsibilities. According to the Canadian Forces Performance Appraisal System (CFPAS), within the Officer corps the ranks of Second Lieutenant (2Lt), Lieutenant (Lt), and Captain (Capt) are categorized as junior officers. These leaders occupy entry level and training positions. In addition, the rank of Capt is frequently referred to as a working rank, with varying leadership responsibilities.

Middle Leaders. The terms middle management or middle leader are not officially quoted in DND regulations. Although CFPAS defines NCMs of Sergeant through Master Warrant Officer (MWO) as senior NCMs, their

43 Smith P.M. (2002), pg 89 44 A swarm system is a collection of effectively autonomous members, which act in coordinated way. 45 Adams T.K. (2000), retrieved from http://carlisle-www.army.mil/usawc/Parameters/00autumn/adams.htm 1 February 2006 46 Pritchard (1997), retrieved from http://www.au.af.mil/au/awc/awcgate/milreview/pritchard.htm 1 February 2006 47 Horn and Harris (2001), pg 36


responsibilities better fit the description of middle management and as such will be included in this group. For officers, Majors (Maj), and Lieutenant-Colonels (LCol) are officially referred to as senior officers. These ranks often divide their focus across a broad spectrum of leadership responsibilities. For officers these are gateway ranks to Generalship in CF. Despite this grouping of NCMs and officers, there remain distinct competencies, authorities and responsibilities between the two groups.

Senior Leaders. Senior leaders for the purpose of this study are the senior officer ranks of Colonel (Col) and General or Flag officer. One exception is the rank of CWO. Recently declared as the custodians of the CF�s NCM corps well being under the stewardship of General Officers48, CWOs hold a privileged position along side the CF�s most senior leaders. Command CWOs now train concurrently with the General Officer they are partnered with. This change of focus places CWOs in the senior leader category. The senior leader category is comprised of six ranks, CWO, Col, Brigadier-General (BGen), Major-General (MGen), Lieutenant-General (LGen), and General (Gen), along with equivalent naval ranks. This group, currently comprised of 650 CWOs, 325 Cols and 7549 General officers, provides senior guidance to the institutional elements of the CF. These ranks represent the end CF leader�s culminating developmental period. Officers at this stage receive the training and experience required for high-level command and staff employment and for particular senior appointments. This is when the officer's development as a highly skilled leader and commander is complete. Ordinarily, this period entails command of a Base or Formation or other CF institutional elements50. The Minister of National Defence (MND) approves all general officer promotions, and Cabinet appoints the CDS51.

Table 1 summarizes the ranks and the typical responsibilities for each category: Canadian Forces (CF) Rank Groups

Function Category Insignia Rank Typical Appointments

Master-Corporal

Platoon Section 2IC Section

Second Lieutenant

-Officer in training -Project Officer

Leading People

Junior Leader

Lieutenant -Platoon Commander

-Operations Officer

48 Retrieved from http://www.cds.forces.gc.ca/pubs/speeches/12-Feb-03_e.asp 14 February 2006 49 Retrieved from http://dhrim04.desc.mil.ca/engraph/stats/output/218951385/NDRSTR01.htm and http://cda-cdai.ca/quarterly/quarterly3-3-1.htm 14 February 2006 50 Retrieved from http://www.dnd.ca/somalia/vol1/v1c8e.htm 10 February 2006 51 QR&O 11.01; CFAO 49-4, paragraph 4; and CFAO 11-6, paragraph 9


Captain -Deputy Flight Commander -Platoon Commander -Executive Assistant

Sergeant -Platoon/Section

Commander

Warrant Officer -Flight Section Head

Master Warrant Officer

-Platoon Sergeant-Major

Major -Flight Commander

-Squadron Commander -Divisional Officer

Middle Leader

Lieutenant-Colonel

-Commanding Officer

Chief-Warrant-Officer

-Regimental Sergeant-Major -Command or CF Chief

Colonel -Base/Wing Commander

-NDHQ Director

Brigadier-General

-NDHQ Director General

Major-General -Formation Commander

Lieutenant-General

-Air/Army/Navy Commander

Leading the Institution

Senior Leader

General -Chief-of-Defence Staff

7.1 Common Core Competencies Junior leaders occupy entry-level positions such as platoon commander, whereas middle leaders have a broader spectrum of responsibilities including Commanding Officer posts. Senior leaders provide strategic guidance to entire institutional elements of the CF. Each of these categories has common and unique qualities, attributes and characteristics necessary for success. The US Department of Agriculture (2005) defines leadership competencies as a cluster of related knowledge, skills and abilities that can be measured against a standard, that are necessary to produce desired organizational outcomes52. Wright and MacKinnon (2003) see competencies causally related to superior or even effective performance in a job53. For this reason individual characteristics must 52 USDA (2005), Training Plan for Supervisors, Managers, and Executives. Retrieved from http://www.aphis.usda.gov/library/directives/pdf/aphis4315_1.pdf 10 February 2006 53 Wright and MacKinnon (2003), pg 120


precede the performance in the leader role. Viewing this notion in a perspective broader than a single job, core competencies relate to the entire leadership spectrum. Wright and MacKinnon (2003) further argue that competencies extend into the underlying characteristics of the leader in any setting. However, as mentioned by McNamara (1999) the competencies needed to lead at a particular time in an organization depends on a variety of factors54, including:

a. The size of the group being led; b. The leader�s fundamental nature and values; c. The nature of the organization (ie profit, nonprofit, government, new or

long-established); and d. Organizational culture, including values and associated behaviors of

followers. These views and conditions strengthen the argument for a set of common competencies for all CF leaders.

The obvious distinction among the three (3) CF leader groups55 is the focus of their leadership. Junior leaders and a portion of middle leaders focus on leading people. According to the CF Leadership manual, through authority and influence these tactical and operational level leaders develop individual and collective capabilities to execute tasks through others56. The remainder of middle leaders and most senior leaders focus on the long-term effectiveness of the CF, and instead of using direct influence like junior leaders they apply indirect influence to affect organizational performance.

Nevertheless, CF leaders at all three levels must demonstrate numerous common traits to effectively lead. Figure 2, provides an author developed Venn diagram of common and distinct qualities and characteristics necessary for the three groups. Figure 2: Leader Competencies

54 MacNamara (1999), Retrieved from http://www.managementhelp.org/ldr_dev/cmptncy/cmptncy.htm 10 February 2006 55 Junior, Middle and Senior Leaders 56 CF Leadership Manual (2005), pg 76


The centre of the Venn diagram lists the attributes that are core to all successful CF leaders. It is unlikely that one individual can demonstrate all of these attributes. More improbable is the potential for all of these attributes being demonstrated at one time or during a single leadership event. In some instances these attributes are mutually exclusive. For example the demonstration of personal courage often requires a daring approach, which is in conflict with the attribute of the prudence required of an analytical approach. The following descriptions represent the key common attributes and their applicability to junior, middle and senior CF leaders. 7.1.1 Duty �In doing what we ought, we deserve no praise, because it is our duty�

St Augustine Duty is not commonly mentioned as a leadership attribute, as it applies equally to all members of the CF. The CF�s statement of military ethos expresses duty as a leader�s obligation to adhere to the law of armed conflict while displaying dedication, initiative and discipline in the execution of tasks57. For CF leaders, duty is an individual act that calls for self-development. Duty relates to a willingness to sacrifice. Garlow (2002) lists sacrifice as an essential act of leadership that causes those witnessing the sacrifice to get involved58. It is a leader�s duty to be willing to sacrifice first, which in turn can inspire followers to model this behavior. A sense of

57 Duty With Honour (2003), pg 30 58 Garlow J.L. (2003), pg 235

Senior Leaders

Junior Leaders

MiddleLeaders

-Social Aptitude-Social Capacity-Visioning-Moral Courage

-Duty-Loyalty-Integrity

-Knowledge and Skill-Empowerment

-Adaptability-Motivation -Mental Agility

-Political Skill-Public Affairs Skill-Analytical Capacity-Strategic Anticipation

-Personal Courage-Delegation


duty motivates leaders and then followers collectively. It allows the team to perform at levels beyond expectations and gives the group purpose and direction. The best leaders, lead from the front. The US Army Leadership manual encourages leaders to embrace the values associated with duty, live them until they become habit, and then pass them on to subordinates through action and example59. This practice, like all forms of service to the CF must be subject to the ideal of duty with honour. 7.1.2 Loyalty �Loyalty is the greatest battle asset of all. But no man ever wins the loyalty of troops by preaching loyalty. It is given to him as he proves his possession of the other virtues�

General Marshall Loyalty is an attribute of self that must be earned and then can only be demonstrated through action. Loyalty is seen as important among business leaders, however for military leaders loyalty is a necessity. In peacetime operations loyalty builds a foundation of trust that enables leaders to ask followers to put themselves in harm�s way during combat. Wright and MacKinnon (2003) see the building of loyalty and trust as foundational to their coaching model60. Without a foundation of trust there is little chance for mutual learning. For leaders of all ranks, loyalty is a two-dimensional. Loyalty cannot be expected, unless a genuine commitment is first given. The US Army Leadership manual describes the fiercest loyalty as that shown by followers for leaders that have taken them through the dangers of combat61. It is the leader�s responsibility to build loyalty from front to rear, as well as horizontally to support elements. Bentley (2005) cautions leaders to be aware of the potential negative aspects of loyalty in a results-obsessed or extreme authoritative culture62. Acts of misguided loyalty in response to actual or perceived direction can take place in peacekeeping, war and administrative settings. This does not mean that subordinates who disagree with their superior officers are disloyal. Smith (1998), challenges that loyalty and criticism are mutually supportive63. Leaders must be honest with themselves, and demand the same, whether positive or negative, from their followers. Giuliani (2002) implies that leaders who demand and expect much of followers will often gain a higher degree of loyalty64. When leaders distance themselves from followers who struggle or fail, they send a clear message to others that they will not be supported if things do not go well. This can result in a risk

59 US Army Leadership Field Manual (2004), pg 8 60 Wright and MacKinnon (2003), pg 190 61 The US Army Leadership Field Manual (2004), pg 24 62 Bentley (2005), pg 25 63 Smith (1998), pg 18 64 Giuliani (2002), pg 234


adverse organization. Leaders should be prepared for circumstances that will demand them to exercise loyalty to followers, potentially at the cost of their own advancement. This does not mean leaders should focus on short-term goals or ignore the truth in order to gain follower loyalty. Dishonesty is not loyalty and will ultimately result in ineffective followers and ultimately, among senior leaders, an ineffective institution. Dishonesty represents disloyalty to the CF and the Canadian values both Officers and senior NCMs swear to uphold. Loyalty to personal relationships should come second to that of loyalty to Canada and the CF institution. 7.1.3 Integrity �Integrity is when you do the right thing even though no one is watching�

Anonymous Integrity is not a unique obligation to military leadership. However, in the profession of arms, values like integrity as observed by Sir John Hackett, acquire a functional and moral significance65. In a military context, integrity is functionally indispensable as it contributes to military efficiency66. The CF leadership manual defines integrity as moral honor, completeness and consistency between behavior and moral principles and values67. All leaders are faced with a continuous stream of distractions that can create confusion as to what is merely important or necessary from what is moral and right. It is a CF leader�s obligation to separate these domains and the requisite pressure between military outcomes and moral obligations.

Integrity encompasses the CF leader�s entire personal and professional character. This means acting in manner that is honest and upright at all times, despite pressures to do otherwise. Achieving CF missions and objectives by means that are inconsistent with publicly accepted standards is unacceptable over the long term. For this reason, even the perception of leader integrity will reinforce the necessity for proper conduct amongst followers. Bentley (2005) cites three tangible benefits of leader integrity68:

a. Creation of trust between leaders and followers; b. Duty with honour; and c. Preservation of the CF�s professional reputation.

The integrity challenge for all CF leaders is finding an acceptable balance across competing interests and values. As discussed earlier, completing the mission and ensuring the well-being of followers can at times become mutually exclusive options. Integrity demands that good leaders weigh risks and either convince subordinates as to why the risk is necessary, or convince decision makers

65 Sir John W. Hackett (1963), pg 45-46 66 Bentley (2005), pg 23 67 The CF Leadership Manual (2005), pg 24 68 Bentley (2005), pg 24


why the mission must be reassessed. For all three CF leader groups�, conducting oneself with integrity requires:

a. Separation of right from wrong. For many junior and even middle CF leaders this may require a resolution between Canadian and personal values;

b. Choosing what is right, regardless of professional or personal loss; and c. Clear articulation by the leader that his/her actions are based on their

understanding of what is ethical, acceptable and right. These requirements are highlighted by the observation that leaders are continuously on display69. Instilling integrity in followers demands internalization and demonstration of the CF�s values and principles. 7.1.4 Empowerment �The beauty of empowering others is that your own power is not diminished in the process.�

Barbara Coloroso

Wright (2003) describes empowerment as the act of sharing leader power, so followers become invested in the outcome70. As described in the AU Study Guide, this concept recognizes the paradox of control and power. The more control managers try to achieve the less control they have. Conversely, the leader who gives up control will paradoxically ended up gaining more power71. This presents obvious challenges in a crisis and wartime environment. Subordinate leaders learn by doing. However, there is always the possibility that leaders, particularly new ones, will make mistakes, yet their personal growth is depended on this process. Senior and intermediate leaders must endeavor to allow subordinate leaders to operate within the established bounds of the mission or task. Instead of the term empowerment the CF Leadership manual calls for distributed leadership. Distributed leadership requires action. For the CF, Bentley (2005) sees these actions as72:

a. Leadership should be shared with peer and subordinate leaders;

b. The leadership potential of junior, middle and senior leaders should be fully developed and exploited; and

c. Latent leadership potential in all CF members should be given an

opportunity for development and expression.

69 US Army Leadership Field Manual (2004), 29 70 Ibid, pg 39 71 Human Resource Management (HRMT-502) Study Guide 1 - Lesson 1: Strategic Human Resource Management \ 1-2 Management Philosophy and Strategic Human Resource Management 72 Bentley (2005), pg 122


The benefits and challenges of hierarchies were previously discussed in-depth; however empowerment supports the use and effectiveness of the chain-of-command. Leaders who routinely bypass their sub-leaders to provide direction to subordinates weaken the chain-of-chain. They also deny subordinate leaders valuable learning opportunities, and send the message that doing so is an acceptable leadership practice. Conversely, empowerment creates an environment of trust and teamwork that according to the US Army Leadership manual �encourages subordinates to seize the initiative and act�73. In a military environment effective empowerment is built on a shared understanding of the commander�s intent. This intent must be clear, readily available and relevant. It must also provide sufficient purpose, direction and motivation for subordinate leaders and their followers to operate in support of the overall plan. It is the responsibility of leaders at all levels to make empowerment a reality in their organization. If applied correctly subordinate leaders will develop the capabilities required to achieve mission success in an ethical and professional manner. 7.1.5 Adaptability �A wise man adapts himself to circumstances, as water shapes itself to the vessel that contains it�

Japanese Proverb According to Walker (2004), the undeniable entity that shapes CF leaders is change across global, unit, personal and philosophical boundaries74. In the author�s experience adaptability is the synthesis of learning through change. This attribute calls for the leader to be a master learner, while not trying to master change. Wright and Mackinnon (2003), describe the necessity of embracing creative tension, and yet being ready as a leader to admit confusion in the face of conflicting data75. This nuance presents a potential conflict with Bentley�s (2005) notion that an important military leadership trait is confidence and composure in high-demand situations76. For Kotter (1998) producing change is the function of leadership77. Leaders who are adaptive and flexible appear so because they have learned to anticipate the variety of potential outcomes. This anticipation should logically lead to planning and development of contingencies to address challenges. According to the CF Leadership Manual, adaptation presupposes a concern for flexibility78. To be flexible, leaders have an obligation to avoid isolationism or an over emphasis on internal issues and engage external factors. Adaptability requires a unique focus for each rank group:

73 US Army Leadership Field Manual (2004), pg 13 74 Walker (2004), pg 6 75 Wright and Mackinnon (2003), pg 41 76 CF Leadership Manual (2005), pg 61 77 Kotter (1998), pg 42 78 CF Leadership Manual (2005), pg 21


Junior Leaders. Given the focus on tactical concerns, junior leader external engagement must centre on lateral communication and cooperation. This includes seeking information, keeping current, experimentation and anticipating the future.

Middle Leaders. Bentley (2005) believes operational level adaptability calls for leaders to focus on unit and system performance relative to objective reference points79. This includes maintaining situational awareness.

Senior Leaders. At the strategic level senior leaders must build professional and collaborative networks. Operating in a multinational, joint service or civil-military environment often will demand a team approach. This concept can present barriers for those whose experience has limited them to the clear lines of command in a hierarchical setting. Adaptability can be facilitated through the gathering and analysis of intelligence data. In addition, senior leaders who define current and future threats will position themselves to adapt to change.

In context of learning, adaptability demands that leaders learn from not only their mistakes, but the mistakes of past military leaders and operations. A vast repository of lessons learned is readily available, but requires investigative diligence on the part of CF leaders. Powell challenges the notion that leaders should be measured by how well they perform their job, and advocates for an assessment of how much they have progressed and changed their job80. For example, what transformational initiatives has the leader launched? In the past, military leaders have been guilty of preparing soldiers and resources for the last conflict they were involved in, when they should be preparing for what the future might bring. Effective CF leaders therefore must look beyond yesterday, and with a balanced resolve adapt to tomorrow�s challenges. This calls for leaders to be continuous learners and innovators. 7.1.6 Knowledge & Skill

Much of the discussion to this point has highlighted character qualities. However, leaders must also possess knowledge and be capable of demonstrating its existence skillfully. A military leader, with delegated authority to command, who lacks the professional knowledge to guide followers will likely fail. Leader performance depends on understanding the task and the requisite ability to motivate followers. CF Junior leader tasks are often directed by superiors and may be accompanied by some explanation as to what is required. However, rank progression in all cases will demand increasing amounts of leader task interpretation. In addition, as task complexity and ambiguity increases, the leader�s latitude to direct resources to reach the end state will experience a commensurate 79 CF Leadership Manual (2005), pg 21 80 Harari (2002), pg 62


increase. The CF�s proactive career management system attempts to ensure leaders build knowledge and skill sets required for the demands of higher ranks. This includes job and location changes every three to five years. In addition, the performance management (PM) systems for all three rank groups place an emphasis on measuring the application of job knowledge and skills. Military leader knowledge can be divided into several skill domains:

Conceptual Skills. Conceptual skill includes the ability to grasp abstract and intangible theories and concepts. Although the Intelligence Quotient (IQ) is frequently discussed as a measure, IQ must be balanced with judgment and psychological stability. A further beneficial nuance for military leaders, particularly at higher ranks, is inquisitiveness to continue to apprehend new knowledge and skill sets. Technical Skills. Detailed knowledge to use and develop specialized tools and equipment is most common among junior leaders. For middle and senior leaders a more important attribute is the knowledge set to make the right decisions in the employment of technical resources and concepts81.

Interpersonal Skills. In a knowledge context, interpersonal skill captures the notion of knowing how to work with one�s subordinates, peers and superiors. Powell declares that effective leaders will surround themselves with people who complement their leadership skills82. If the leader is cognizant of an expertise weakness, exercising the interpersonal skill necessary to add a team member with the requisite talent can be invaluable. This ability to draw on the corporate knowledge and the experience of followers can foster group learning and innovation as well as inspire innovation.

Fuqua et al (ND) contend that attempting to lead based on the authority associated exclusively with one�s position rarely works83. However, developing a high degree of knowledge and expertise can substantially increase a leader�s power. This assertion is supported by Kotter�s (1977) finding that making leader achievements known establishes a higher organizational standard and increases respect among subordinates. In the CF, high value is placed on military skill and knowledge, which in turn supports the requirement for technical proficiency that enables expert power among leaders. Comprehensive knowledge provides an organizational competitive advantage and reduces operational risk, making it both a functional necessity and an ethical imperative for all CF leaders84. Former CF CDS General Baril supports this view. While addressing the Conference of Defence Associates he stated that present uncertainties demand greater analytical and intellectual qualities on the part of senior leadership, both to master ambiguity and to

81 US Army Leadership Field Manual (2004), pg 8 82 Harari (2002), pg 178 83 Fuqua H.E. et al (ND), pg 3 84 Bentley (2005), pg 60


provide effective leadership, as experience alone cannot fully provide for the development of essential leader wisdom and knowledge85. 7.1.7 Motivation �Motivation is the art of getting people to do what you want them to do, because they want to do it�

Supreme Allied Commander D Eisenhower Maslow�s motivation theory postulates that all human behavior is motivated86. As a value judgment, those engaged in approved behavior are referred to as motivated, whereas those who pursue negative behavior are considered unmotivated. However, effective leaders must recognize that most behavior is logical from the follower�s standpoint and from that perspective it is positive87. Thus the art of motivation encompasses all that is needed to influence or lead behavior. Across the spectrum of behavior influence, from a dictatorial to a participative approach, the application of motivation is required. Motivation is what gives followers the will to accomplish the mission. For some the presence of a well articulated mission is enough to challenge them to action. The CF Leadership Manual points out that the act of delegation can enrich the recipient�s motivation and satisfaction88. Others will require different incentives and rewards. Not all members of the CF are motivated toward leadership. However, their technical competency and expertise may place them in positions of responsibility with leadership demands. At all levels it is the leader�s responsibility to know their followers and the triggers necessary to stimulate them to action. For military leaders the value of comradeship, the preservation of life and faith in a larger purpose cannot be underestimated as sources of indefatigable motivation. Leaders must always seek means of developing followers, and on occasion punishment may be a necessary option. The CF management framework provides a wide variety of negative motivation options including warnings, administrative repercussion, counseling, probation and reprimands. For more serious behavioral challenges the code of service discipline, under which all uniformed CF members serve, allows for more serious sanctions including fines, detention, release and even execution. However, the use of punishment or logical consequences to motivate followers away from undesired behavior requires considerable leader judgment and insight. The idea of a transformational leader, proposed by Burn nearly thirty years ago, embodies the motivation process. Transformational leadership will be discussed further in visioning, but the concept has its foundation in the motivation of

85 Baril (nk), retrieved form http://cda-cdai.ca/quarterly/quarterly3-3-1.htm 18 March 2006 86 Retrieved from http://www.tpub.com/content/administration/134t/css/134t_25.htm 24 February 2006 87 AU Study Guide, HRMT 502, 2-2 Motivation 88 CF Leadership Manual (2005), pg 67


followers, and includes enabling others to accomplish the mission professionally, and ethically, while developing and improving capabilities that contribute to mission success. These leaders motivate followers by appealing to their moral values and higher needs89. They inspire and motivate by creating in followers a sense of admiration, loyalty, trust and respect. As a result the leader enables followers to achieve more than is expected. 7.2 Junior and Middle Leader Attributes �Managers loaded soldiers onto landing craft for Normandy. Leaders led them off�

Bill McAndrew

CF Junior Leaders. Although war and combat are glorified by Hollywood, the response to modern crisis requiring CF military intervention are often complex activities. CF junior leaders will likely only spend a very small portion of their career engaged in combat, but will almost certainly participate in military-operations-other-than-war (MOOTW) during their leadership tenure. Krulak (1999) believes that based on past operations, the outcome of humanitarian, peacekeeping, or war fighting missions will hinge on decisions made by small unit leaders, and by actions taken at the lowest levels90. In addition, he sees the results of their decisions being subjected to the scrutiny of both the media and the court of public opinion. In critical situations junior leaders may be asked to operate without the direct supervision of senior commanders.

CF Middle Leader. The attributes required for successful middle leadership may be described as the most demanding of the three groups. Equivalent to being stuck-in-the-middle, these leaders need to exercise leadership across small and medium groups and often through delegation will be asked to lead the entire organization through a specific activity. Kotter (1998) points out that most military organizations can survive in peacetime operations with good administration up and down the chain-of-command, if there is good senior leadership91. However, in a war and crisis environment a military requires competent leadership at all levels, particularly amongst middle leaders.

To succeed under demanding conditions, in addition to the attributes of duty, loyalty, integrity, empowerment, adaptability, motivation, knowledge and skill discussed above, both junior and middle leaders require the following. 7.2.1 Personal Courage �Courage is not the absence of fear, but the ability to put fear aside and act�

William Connelly 89 AU Study Guide, HRMT 502, 3-3 Transformational Leadership 90 Krulak (1999), pg 3 91 Kotter (1998), pg 40


Horn and Harris (2003) describe physical or personal courage as the oldest and most enduring quality of military leaders92. For military junior and middle leaders a more apt term may be bravery. Technological developments allow senior ranks to reduce symmetrical93 risks by functioning outside the battle space. However, the same cannot be said for Section, Platoon and Company leaders in combat and combat support roles, who must close-with, engage and as necessary destroy or neutralize the enemy. Loran Moran highlights this reality in the Anatomy of Courage by his belief that �courageous actions are dictated by conscience, of which war is the final test�94. The display of bravery by military youth is confirmed by the fact that many of Canada�s nearly 10095 Victoria Cross winners were relatively young leaders96. Sadly many of these medals were awarded posthumously as their courage demanded the ultimate sacrifice. Personal courage in combat calls for self-control, balance and stability when the emotions of fear, dread, panic and hopelessness are pervasive. Although courage is ultimately an issue of character, combat and crisis environments take their toll on leaders with devastating results including the potential life long effects of posttraumatic stress disorder. Personal courage enables leader action when the potential for bodily harm is probable. As remarked by Sgt Kridtek during Operation Just Cause, operating despite fear is what allows for acts of courage to take place97. It is the author�s observation that junior and middle leaders will rarely be forced to be heroes, but if circumstances demand it they may choose to become one. 7.2.2 Delegation �Don't be a bottleneck. If a matter is not a decision you must make then delegate it. Force responsibility down and out. Find problem areas, add structure and delegate. The pressure is to do the reverse. Resist it.�

Donald Rumsfeld

For CF junior and middle leaders, delegation is entrusting their authority on subordinates. Duty With Honor (2003) notes that to oversee the regulator functions that operate throughout the profession of arms, leaders must acquire the skill of delegating tasks and authorities so NCMs can accomplish their mission without being micromanaged98. The principle of delegation recognizes the importance of relying extensively on NCM expertise in order to lead effectively and efficiently. Bentley (2005) supposes that as long as the delegated tasks and authorities are not trivial, subordinates will gain meaningfulness, autonomy, motivation and

92 Horn and Harris (2001), pg 370 93 Risks that are similar to the capabilities of the CF, ie tanks on tanks or ships on ships 94 Lord Moran (1945), pg 159 95 Retrieved from http://en.wikipedia.org/wiki/List_of_Canadian_Victoria_Cross_winners 27 February 2006 96 Since 1856, 1,351 British and colonial soldiers have won the right to wear a medal in the shape of a small Maltese Cross, made of bronze taken from Russian guns captured at Sebastopol during the Crimean War. Retrieved from http://www.historynet.com/bh/bl-victoria-cross/ 4 April 2006 97 US Army Leadership Field Manual (2004), pg 39 98 Duty With Honour (2003), pg 15


satisfaction99. In all phases of basic leadership, CF junior and middle leaders are taught that delegation does not absolve them of responsibility. However, they should resist the temptation to resume control at the first sign of a problem. Ongoing influence is necessary, but should be exercised through reporting, monitoring, regular meetings and in-person check-ups taking into account both group and individual progress. Leaders must be aware of the progress followers are making as potential leaders, as most will develop at different rates. Many followers may not be interested in leading and should be delegated responsibility accordingly. Across the CF, delegation must be balanced against the follower�s willingness and readiness to lead, with a commensurate measure of accountability and oversight. 7.3 Middle and Senior Leader Attributes The transition from middle to senior leadership in the CF is particularly challenging with the increasing complexity of modern military operations. However, several key common characteristics, both natural and acquired, are required for effective intermediate and senior leadership. 7.3.1 Social Aptitude and Capacity

�Personality is a mask you believe in� Dr White100

Changing social circumstances have significantly impacted the composition of Canadian society and the individuals that are the CF. In this altered social environment, attitudes have changed, becoming more liberal concerning gender, age, sexual orientation, and race. In response to these changes the CF has heavily invested in sensitization education to prevent harassment and racism. Bentley calls for a forward-looking approach to leadership development in the CF101. CF leaders must be effective in leveraging both relationships and their social influence to accomplish the mission. However, they must also recognize that the improvement in minority and individual rights has brought a corresponding decrease in inherent respect for authority.

Smithers et al�s (2002) study of the impact of personality on military leaders reveals five key domains of human personality. These domains have been found to predict career success, job satisfaction, and performance, as well as being closely linked to organizational outcomes102. Through self-assessment, these traits can help leaders understand and appraise their social capacity and aptitude. In most leadership situations the first four of these personality factors are desirable, with the fifth clearly a detriment:

99 Bentley (2005), pg 67 100 Retrieved from http://www.worldofquotes.com/topic/Personality/1/index.html 7 March 2006 101 Bentley (2005), pg viii 102 Smithers et al�s (2002), pg 7


Agreeableness. The demonstration of trust, straightforwardness, altruism, modesty along with sympathy represents agreeableness. Believing others are honest and showing humility and genuine concern for others indicate the presence of this factor.

Extraversion. Extraversion refers to the quantity and intensity of the leader�s interpersonal interactions103. Leaders who are warm, gregarious, and enjoy the company of others in a high tempo environment display this factor.

Conscientiousness. Persistence, competence, organized, self-disciplined and goal directed behavior is consistent with conscientiousness. Leaders that are typically well prepared and motivated with high aspirations display this factor.

Openness to Experience. Proactive seeking new experiences with an intellectual curiosity are the characteristics of leader openness.

Neuroticism. Neuroticism refers to the leader�s propensity to anxiety, worry, anger, depression, and impulsiveness. Leaders that are uneasy around others, overly sensitive to criticism, panicky, or are unable to cope with stress display this factor.

All of these factors entail interaction with followers. Thus a leader�s social capacity will dictate in part their ability to deal openly and candidly with followers. In this context leaders must be careful not to facilitate cognitive dissonance among followers. When followers see a disconnection between what leaders say and do, according to Wright and MacKinnon (2003), their trust in leadership is diminished104. The resulting conflicting cognitions inhibit follower confidence in the leader, highlighting the importance of social capacity to speak and act with one voice. In addition to formal influence, a leader�s social aptitude can also dictate their effective use of persuasion, consultation and coalition building. 7.3.2 Visioning �Vision without action is a daydream. Action without vision is a nightmare�

Japanese Proverb The corner stone of leadership is a vision for things beyond the present. In this competency the leader becomes a manifestation of the organization�s vision and values, in both word and deed. This occurs in both a positive environment, as well as in the presence of instability and doubt. Vision is synonymous with foresight and the ability to conceptualize. Kotter (1990) contends that a vision for the future is what differentiates leadership from management.

103 Smithers et al�s (2002), pg 6 104 Wright and MacKinnon (2003), pg 45


For middle and senior leaders, the command of medium to large units requires that they fill the role of visionary. In this capacity, Bentley (2005) imagines leaders who can anticipate the future, both creatively and pragmatically105 along with establishing a comprehensive strategic direction for the future. A number of theory-based explanations have been proposed to explain higher levels of influence behavior among followers.

a. Transactional Leadership. Transactional leadership is contingent on rewarding and penalizing followers depending on their behavior, and is normally based on an exchange of pay for work. Transactional leadership is often associated with management vice leadership, where the manager is seen as a custodian and administrator of the status quo inducing a culture of compliance. Transactional motivation can produce tangible results. However, it is dependant on the leader possessing and using legitimate power, with followers respecting authority and rules106. These conditions occur naturally in a military work environment, and as a result leaders have a tendency to adopt this leadership mode. Smithers et al (2002) notes that transactional leaders often engage in behaviors to improve their opportunity for advancement and are thus less effective in creating a shared vision. Although this style can serve a purpose, for middle and senior CF leaders charged with guiding the CF, it falls short of what is necessary for continuous mission success;

b. Charismatic Leadership. Rooted in the term gifted, charisma refers to the leader�s charm, magnetism and personal appeal. The followers of charismatic leaders, according to CF Leadership manual are often emotionally attached, deeply committed and have a strong identity with the leader107. This connection can allow the leader access to the underlying hopes and desires of followers. This strong referent power, based on emotion can lead followers to take significant risks in support of the leader. However, charisma has a well-documented darkside. Peter Drucker views leader charisma as a negative force, that makes leaders inflexible, convinced of their own infallibility, unable to change. When charismatic leaders are driven by personal power motives they may be willing to manipulate followers to achieve their personal objectives. In the worst case, they may be narcissistic and aggressive, demand special privileges, reject sound council, and exploit their followers. The unconventional behavior exhibited by these leaders can lead to mission success. However, CF middle and senior leaders should not rely on charisma as their principal means of influence. As

105 Bentley (2005), pg 51 106 Human Resource Management (HRMT-502) Study Guide, 3 - Lesson 3: Leadership \ 3-3 Transformational Leadership 107 CF Leadership Manual (2005), pg 67


described by Bast (2004), this style can be a double-edged sword when used corruptly through censure and self-interest108.

c. Transformational Leadership. To transform followers, middle and senior CF leaders must challenge subordinates to move beyond their own self-interests and needs to see a greater purpose. This approach requires an emphasis on individual personal and professional growth as well as organizational development109. In practical terms transformative leadership requires more of the leader than just flawless execution in technical terms. Leaders must increase the focus of change from the inside out. This process starts with the leader�s willingness to effectively develop, learn from and understand followers. This process, according to Wright and MacKinnon (2002), enables leaders to model inner strength and recognizes their need of a community to effectively lead110. Transformational leaders see their influence as an ongoing means to develop relationships and initiatives with followers. In the CF, leaders must provide event meaning and interpretation. The consistent management of meaning can effectively establish a framework to focus the attention of followers on what needs to be done. The transformational leader must be ready to answer difficult questions such as �why is this effort is required?� and �what is the long term impact?� Conversely, the leader must genuinely acknowledge that subordinate opinion on strategic direction can add value. Farkas and Wetlaufer�s (1996) business study of executives revealed that employees with the most frequent and meaningful contact with customers and competitors should be, in part, responsible for strategic assessment and planning111. This reinforces the requirement for CF transformational leaders to engage followers for their insight. This provides a secondary benefit of subordinate mission buy in. A unique challenge faced by transformational leaders in the CF�s bureaucratic and rigid force structure is the slow pace of policy change. When the leader�s vision points the institution in a promising direction, follower�s enthusiasm can wane in face of an unresponsive cultural bureaucracy.

In the author�s view, effective CF institutional leadership requires a visionary leader who can employ all three of the styles discussed above as circumstances dictate. A transactional style is necessary when personal and organizational learning is needed or when followers are inexperienced. In addition, when there is little room for variation from the stated mission a directive or transactional approach is suitable. Charisma may be necessary when motivation is low, or the organization is facing an immediate crisis or disenchantment. A transformational approach can produce results during periods of transition, upheaval, and instability. According to the AU study guide, transformational leaders are more likely to be successful than charismatic leaders, in situations where the organization is already successful and

108 Bast M.R, (2004),. pg 3 109 US Army Leadership Field Manual (2004), pg 68 110 Wright and MacKinnon (2002), pg 84 111 Farkas and Wetlaufer (1996), pg 122


stable. Although being viewed as charismatic can help CF leader they must avoid the problems that occur when followers are more committed to the leader than to the mission112. 7.3.3 Moral Courage �It is curious that physical courage should be so common in the world and moral courage so rare.�

Mark Twain

Moral courage is driven by the leader�s convictions and beliefs. General Macarthur saw the world in a constant conspiracy against the brave, with the roar of the crowd on one side and the voice of the military leader�s conscience on the other113. Courage is an issue of character, which ensures leaders do right regardless of the circumstance or consequence. Although situations requiring physical courage are rare, middle and senior CF leaders must be able to exercise moral bravery daily. Colonel Chapstick, former Director of Land Personnel Strategy, views the moral courage to do the right thing when confronted with difficult and conflicting choices, as equal to or more important than the concept of traditional valor on the battlefield114. Leaders must recognize that for themselves and their followers, moral courage is not developed overnight, but requires constant effort. Physical courage normally requires a one-time risk in specific circumstances; however moral courage may require the denial of one�s fear and the acceptance of risk many times. Stewardship of the institution requires senior and middle leaders who have internalized the CF�s culture of duty with honour. The actions of these leaders can create positive and negative culture alignment. Moral credibility through self-regulation will ensure the alignment process has the outcomes expect by the profession of arms in Canada. For example, leader courage and resolve is necessary to provide the correct military advice to political leaders in domestic and deployed operations. Although remaining silent and following orders may appear to be the easiest option, effective leaders must strive to demonstrate moral courage through candor and honesty. 7.4 Senior Leader Attributes �Rank does not confer privilege or give power. It imposes responsibility�

Peter F. Drucker Face-to-face leadership is about accomplishing the mission by direct means. However, for senior management, particularly in large organizations, a broader

112 Human Resource Management (HRMT-502) Study Guide 3 - Lesson 3: Leadership \ 3-3 Transformational Leadership 113 Quotes of the Heart Retrieved from http://www.heartquotes.net/Courage.html 27 February 2006 114 Canadian Military Journal (Spring 2003), pg 52. Retrieved from Canadian Military Journal (Spring 2003), pg 52 28 March 2006


perspective and indirect leadership is required. As the CF leadership manual states, leadership at this level is concerned with national-strategic interests, as well as acquiring and allocating capabilities115. As a consequence of these responsibilities senior leaders operate in a social environment that requires the application of 360-degrees of influence. Colin Powell simplifies the difference by comparing the efforts of small group leaders to those leading institutions. Small group leaders may spend the majority of their time performing functions, with the remainder spent managing their staff. Conversely, executives, such as the CEO of Dell or General Electric, claim to spend most of their time on people and policy issues116. The level of command that demands the most of the individual member is at the senior level. Leading people and leading the institution do not occur in isolation from one another, and are in fact interdependent. However, as one progresses in rank the requirement to lead face-to-face narrows, with a substantial increase on the long-term complexities of the entire organization. This transition means the leader may no longer have answers to questions or even know the potential alternatives. Operating effectively as part of a non-hierarchical team will transcend the requirement to command and direct action. In this diverse and potentially mixed civilian and military environment with its conceptual challenges, several unique attributes are required. 7.4.1 Analytical Capacity & Mental Agility Walker�s (2004) summary of requisite leader attributes for the CF points out that the institutional leader must learn to view the world in terms of paradoxes and contradictions that require a balance between competing demands117. In practice, this kind of leader transformation can be challenging as it requires �a dramatic change in outlook, a redefinition of one�s world view. It means transcending the rules of logic used for solving well defined problems and adopting a more comprehensive and flexible kind of logic�118. In contrast to social aptitude, cognitive capacity refers to a leader�s problem-solving, analytical and critical thinking competencies. The mental discipline and creativity to discover and create innovative solutions and conclusions is a unique and invaluable combination. Effectiveness is greatly enhanced among senior leaders that can simultaneously harness left-brain common sense and right-brain imagination. Although intellectualism is commonly a derogatory term, having senior leaders that are devoted in part to intellectual pursuits has merit. CF Officers, according to the Rowley Report, are drawn from the intellectual top fifteen percent of Canada citizens, with 20% of CF General Officers possessing an advanced degree.

115 Ibid, pg 98 116 Harari (2002), pg 136 117 Walker (2004), pg 5 118 Quinn R (ND), Mastering Competing Values, pg 31


Although a positive position, it is in contrast to the 90% of US Generals that hold advanced degrees119. Retired Lieutenant-General Romeo Dallaire argues that rigorous intellectual development is the governing factor among CF officers in achieving corporate and operational success120. Not only must senior officers possess an intellectual capability to foster internal integration and the development of advanced doctrine across the institution, they must support academic inquiry. Senior leader influence is a critical factor to intellectual stimulation. The CF leadership philosophy calls for a culture where members are encouraged to think critically, engage in debate and practice in-depth exploration in order to contribute to collective effectiveness121. A learning and open culture must be encouraged if senior leaders intend to leverage the intellectual capital of the institutions they lead. In addition to analytical capacity, the mental agility to quickly deal with change is critical. Directing the battle space is most likely to occur in a time compressed and complex environment. Senior officers commanding operations will undoubtedly be confronted with unanticipated circumstances. According to Dr Shadrick of ARI, commanders who can monitor the progress of multiple activities across complex multidimensional plans and react quickly will increase the likelihood of overall mission success122.

Senior and middle leaders have to deal with broader responsibilities, more uncertainty and complexity. Both Harari (2002) and Bentley (2005) draw the same conclusion concerning upper management�s requirement to build numerous collaborative relationships, in the face of competing interests. These activities are essential for success. The AU Human Resources study guide supports this notion by linking leadership to cooperation from peers and support from superiors123. Regardless of how well or poorly a leader relates to the group, if they cannot get cooperation from peers, support from their boss or other superiors, or if they have few external contacts, they will be ineffective despite their popularity among followers. 7.4.2 Strategic Anticipation.

The term strategy has its origins in the efforts of military leaders to have their assets in an advantageous position before the battle. Slywotzky (2002) defines strategic anticipation as the ongoing search for general principles that are sturdy enough to fit specific cases124. Entrusted with the responsibility of implementing national security policy, senior leaders must be the agents of change. Readiness depends on the ability to accurately predict the threat environment in the near and

119 Horn and Harris (2001), pg 498 120 Foreword to Contemporary Issues in Officership: A Canadian Perspective 121 CF Leadership Manual (2005), pg 126 122 Shadrick (2003), pg 2 123 AU Study Guide 3-1 124 Slywotzky (2002), pg 10


distant future. While junior leaders must possess situational awareness, institutional leadership demands strategic anticipation.

Organizational leaders must also be aware of the wide-ranging impact of their

decisions. The US Army Leadership manual refers to these as second and third order affects125. In making decisions, leaders must anticipate the potential cascade of undesired effects, such as additional resource requirements and the impact on organizational morale. This strategic anticipation requires imagination, vision and a large-scale appreciation. At the same time strategic anticipation requires the orchestration by the leader of multiple subordinate actions in succession that have complementary and reinforcing effects.

In practice, senior leaders cannot and should not change strategies from moment to moment. Wright and MacKinnon (2003) make the distinction that senior leaders should be concerned with not only what happens, but how the changes are happening126. Senior leaders that are passive, custodial or only reactive will be unable to anticipate the strategic future with the same success as those who are self-directed, active and dynamic. Leaders cannot wait for the future, but must recognize that in the current environment of exponential change, they are already in future. From this perspective CF leader�s can, within certain limits, create new futures for their organization. Leaders possessing this attribute concentrate their efforts on understanding strategic relationships and interdependencies. These continuous learners proactively search the future for clues to what is next and adjust to address the challenges presented. With this understanding, strategic leaders can work through the complexities and ambiguities of their strategic environment, translating abstract concepts into concrete actions. Strategic anticipation entails more than accurately predicting the future, it entails strategic leaders shaping the future from concept to reality127. 7.4.3 Political and Public Affairs Skill �For the military, personal credibility is the coin of the realm of politics�

General Reimer, US Army As Desmond Morton points out, the job description for Canadian Senior commanders must include the necessity for more political skill and experience than in any other time in the CF�s history128. Senior military leaders will be called upon to advise on what capabilities will support national interests, as well as assist in the formulation of security policy to stabilize foreign and domestic missions. The modern era�s nuanced political environment demands an understanding of security issues and law in both national and international milieus. Setting political objectives is clearly a Canadian government responsibility. However, an overlap exists

125 US Army Leadership Manual (2004), pg 130 126 Wright and MacKinnon (2003), pg 85 127 US Army Leadership Manual (2004), pg 164 128 Horn and Harris (2001), pg 370


between civilian and military strategy creation in the areas of integrating national capabilities, as well as setting strategic military and security objectives. Despite the constant uncertainty and ambiguity, senior leaders unable to effectively operate in this realm disadvantage both followers and Canada alike.

A review of leadership characteristics by the Leadership Theory and Research Centre of senior military officers in Germany, the US and Canada revealed that political skill to work within their respective system was the single most important executive competency. In addition, the research noted, �current patterns of leadership in the military suggest that many top level officers might have been promoted on the basis of their transactional abilities to work well in the system"129. According to �Duty With Honour� military professionals must be cognizant of how political factors will influence strategic plans130, as these factors can create serious constraints in the conduct of operations. With the vast majority of senior leaders residing in Ottawa, National Defense Headquarters (NDHQ) is where most Canadian flag officers will face their greatest challenges. Senior leaders that are directed to achieve missions of questionable military importance, with ambiguous political goals face a tough challenge. They must either accept the risk to their followers, convincing them why it is necessary or persuade superiors to rethink the mission. Although the latter option may be the most difficult, senior leaders must learn to exert upward influence, as Bentley (2005) asserts, on both the political and bureaucratic venues of civilian-military relations131.

Within the CF, public affairs are the command responsibility of General Officers. The ability to use the pervasive influence of the media to a leader�s strategic and tactical advantage can be invaluable. All theatres of operation require leaders to properly plan, position and resource public affair efforts, in recognition that military commanders and journalists have different and often conflicting objectives132. American success in managing public affairs efforts during the Gulf War highlights the potential benefits in terms of public opinion and government support. Senior officers must recognize that for the foreseeable future the media will be present in all battlefields and theatres of operation. According to the CF Leadership manual, manipulating the external environment through public affairs activities is a major means by which senior leaders can achieve requisite capabilities and influence performance and effectiveness133.

A vital aspect to public affairs� success is the leader�s culture awareness. This includes understanding the culture of adversaries, partners and neutral parties, all of which may make contact with elements under the leader�s command. The omnipresent media makes this sensitivity particularly critical. In a multinational setting, effective leaders may be well served to create a third culture, which is a

129 Retrieved from http://www.cda-cdai.ca/library/cotton.htm 25 March 2006 130 Duty With Honour (2004), pg 42 131 Bentley (2005), pg 100 132 Horn and Harris (2001), pg 383 133 CF Leadership Manual (2004), pg 100


blend of the acceptable elements of partners. Creating and maintaining culture bridges can be an invaluable public affairs tool for senior leaders. The act of managing meaning through the media and symbolism can help leaders maintain both unit cohesion and morale.134

8.0 VALUES, ETHOS, ETHICS & CF LEADERSHIP �Managers do things right. Leaders do the right things�

Warren Bennis

Addressing values and ethical considerations for CF leaders requires the examination of the forces that both differentiate and integrate the profession of arms and the society it serves. The notion of corporate separateness, according to the Somalia Inquiry �flows from the distinctive mandate of the CF to maintain the security and defend the sovereignty of Canada, if necessary by means of force�135. As a national institution, CF responsibilities can be divided into:

Organizational Responsibilities. Within the CF these include the leader�s obligation to Canadian society, the government and allies. CF members serve voluntarily, but accept that they may be compelled to perform any lawful duty, including tasks that may be harmful. Additionally, as pointed out in �Duty With Honour�, organizational responsibility includes control of the CF by an elected parliament, and an obligation to provide professional military advice to government136.

Professional Responsibilities. These responsibilities demand that CF leaders maintain the highest professional effectiveness standards in support of the Canadian population. CF members, even in the absence of authority, are representatives of Canada. As professionals, CF members must individually and collectively be competent in generating force in all settings.

In the author�s opinion the combination of these responsibilities form the basis of values and ethics for CF leaders. Huntington, Janowitz, and Hackett conclude that the function of the military profession is the structured application of force to achieve the interests of the state. It is thus the responsibility of CF leaders to ensure the individuals that form the profession adhere to an accepted standard of core values, beliefs and ethics. This responsibility does warrant a caution in terms of charismatic influence. Although charisma is value-neutral, past experience has shown that charismatic leaders can use their power for personal gain, while censuring opposing views and demanding their own view be accepted without question. These actions clearly describe an unethical charismatic leader. Conversely, CF leaders possessing charisma should rely on the highest moral 134 Walker R (2004), pg 4 135 Somalia Inquiry (1997), pg 2. Retrieved from http://www.dnd.ca/somalia/vol1/v1c5e.htm 31 March 2006 136 Duty With Honour (2003), 46


standards, using their influence to positively align vision with follower needs, while stimulating followers to think independently137. On a positive note Bass (2004) believes that charismatic ethical leaders, by expressing confidence in follower abilities and encouraging free thought, can covert followers into leaders. This advice should form the basis for the ethical use of charisma in the CF. 8.1 Ethos As the distinguishing beliefs and moral nature of an institution138, military ethos represents the CF�s organizational culture. Bentley (2005) touts the Canadian military ethos as the byproduct of core CF values, beliefs and ethics139. Although military professionals wear different ranks and uniforms while serving in a wide variety of occupations, the CF ethos binds members together by creating a higher loyalty through service to Canada140. This unifying force and spirit embodied in the characteristics of the culture, is the heart of the military profession. In the US Army these professional attitudes and beliefs are referred to as the warrior ethos. Developed through discipline and commitment, the warrior ethos espouses that military service is more than an occupation; it is a profession that requires total leader commitment141.

The Canadian government Minister�s monitoring committee on change suggests that CF leaders must never consider the articulation and promulgation of the CF ethos as anything less than a core leadership mission142. The importance of the leadership function in the creation of this ethos cannot be underestimated. According to Lieutenant Commander (Retired) Davis, the leadership function in support of the military ethos can be divided into responsibilities143 focused on:

Leading People. Teaching followers to seek and accept responsibilities. Socializing new members to accept the CF values system, and understand history and traditions. Maintaining order and discipline by upholding professional norms, and reinforcing military ethos. Finally, leaders must establish a climate of respect for individual rights and diversity. Leading the Institution. In an institutional context the function of CF leadership is to clarify responsibilities and enforce accountabilities. It also includes developing and maintaining a professional identity, as well as preserving both the military justice system and CF heritage. Finally, leaders must establish an ethical culture.

137 Bass (2004), pg 3 138 Retrieved from http://gbgm-umc.org/umw/corinthians/glossary.stm#E 30 March 2006 139 Bentley (2005), pg 19 140 Duty With Honour (2003), pg 5 141 US Army Leadership Field Manual (2004), pg 42 142 Minister�s Monitoring Committee on Change (1999), pg 7 143 Lieutenant Commander (Retired) Davis (2005), Presentation to the IMTA 2005 Singapore


Current and future CF leaders must recognize that a strong ethos will inspire followers to fight to victory no matter how much effort is required. CF leadership must be also cognizant that in addition to being crucial to success, the CF ethos is a perishable commodity that must be continually maintained. 8.2 Values �Leadership is a potent combination of strategy and character. But if you must be without one, be without strategy�

General Norman Schwarzkopf According to Paul Niven�s Balanced Score Academy, values �represent the deeply held beliefs within the organization and are demonstrated through the day-to-day behaviors of all employees. An organization's values make an open proclamation about how it expects everyone to behave�144. This notion of deeply held beliefs that are consistently demonstrated by leaders is extremely important to the CF. Core values are the compass for action when superiors are absent, or when ambiguous circumstances call for difficult decisions. Bentley (2005) proposes two general processes for habituating organizational core values. These apply to all three leadership groups:

External Regulation. The legitimacy of the CF depends on leaders embodying the same values and beliefs as the society it defends. Duty With Honour (2003) affirms that this liability is limited only by the functional requirements of the military145. External regulation is a permanent fixture of service life, as new leaders initially lack the understanding, discipline and skill to effectively lead in the early years of duty. This form of regulation also extends across a leader�s career as they occupy positions of higher responsibility, as there may be times when they may be unwilling to comply with direction and rules. Internal Regulation. Although external controls provide key boundaries, more important is internal or self-regulation. Circumstances will undoubtedly occur where there is no policy, regulation or administrative directive to follow. The current complexity of contemporary war and peace fighting operations calls for leaders who can operate independently. Only leaders that have internalized CF value-based norms can effectively operate in ambiguous and demanding circumstances. The CF Leadership manual declares that a leader�s individual capacity for self-discipline depends on their understanding and internalization of institutional values. However, it is the author�s observation that in most cases these values are passed on and learned from their leaders. The continuation of this cycle demands the highest quality leaders at all ranks.

144 Retrieved from http://www.balancedscorecard.biz/Glossary.pdf 14 February 2006 145 Duty With Honour (2003), pg 29


CF leaders must exemplify dedication to institutional practices146, not only in word, but also in action. For Niven�s assertion that �values should endure over the long-term and provide a constant source of strength for an organization�147 to hold true for the CF, the specific attributes of duty, loyalty, integrity and courage, previously discussed, are necessary. 8.3. Ethics �Ethics is a code of values, which guide our choices and actions and determine the purpose and course of our lives�

Ayn Rand

Ethical behavior is a fundamental requirement of every CF leader. According to the Defence Integrity Framework, leadership has the responsibility to provide a strong ethical environment that fosters behavior to the highest ethical standard148. If a military leader�s most important asset is personal integrity, then leaders must give the highest precedence to ethical principles and obligations in every action and decision. The CDS�s handbook on ethics describes follower�s perception of the CF leader�s personal integrity as the most important indicator of the ethical health of an organization149.

CF leaders need to openly conduct an assessment of the ethical risks to the elements they lead. This assessment will identify both potential hazards, as well as current ethical shortfalls. Systemic ethical problems can take considerable time and effort to address, and require resolve and patience. The findings of the ethical assessment should lead to the development of the leader�s expectation for ethical conduct and climate, along with a problem mitigation strategy. This strategy will direct corrective action. A well-developed communications plan is also a key requirement, along with effective awareness training. Awareness training will ensure that ethical expectations are known and confirm that they are understood. Recent CDS guidance recommends that training should be practical and applied. In addition, it must provide a means of tackling potential ethical risks150. Training should also cover expectations, risk identification, and decision-making. The defence ethics program has been in place for nearly two decades. Its major elements are ethics awareness and education, the development and enhancement of core values, and the provision of practical advice on ethics in the workplace. In 1994 DND senior management fully committed to a values based program, as this approach was preferred over defining conduct in terms of what is ethical and what is non-ethical. Ethics and values have been recently added as a

146 Bentley (2003), pg 31 147 Retrieved from http://www.balancedscorecard.biz/Glossary.pdf 14 February 2006 148 Defence Ethics Program, Defence Integrity Framework. Retrieved from http://www.dnd.ca/ethics/leadership/index_e.asp 26 March 2006 149 CDS Guidance to Commanding Officers (2002), Chapter 3 pg 2 150 Ibid, Chapter 3 pg 5


distinct assessment factor within the CF Personnel Appraisal System (CFPAS). As CFPAS is directly linked to the compensation system, this initiative provides additional leverage for CF leaders to encourage ethical behavior. A GOC study aimed at gathering information concerning the CF ethics programs recommended the development of ethical values that reflect individual and institutional needs, the appointment of Unit ethics champions to obtain commitment from senior management, and a decision-making policy that gives priority to ethics151. Despite these recommendations and improvements, a recent Ethics in Operations study revealed that the greatest threat to proper CF conduct continues to be complacency of command, and the influence of peers. The complexity of the military and social environment continues to make the creation of an exhaustive list of CF follower rights and wrongs impossible. The convolution and fluidity of the ethical setting makes self-regulation critical to meeting CF values and ethical obligations. Retired LGen Penney suggests several tools to support CF leaders152, including:

Case Studies. Making available practical and relevant case studies for leaders at various levels to reflect on and discuss. CF leaders at all levels should pursue this approach.

Peer support. Although leadership is frequently described as a lonely position, support from those at the same level can provide an effective sounding board for ethical decision-making. In addition, the use of widely available electronic media makes accessing collegial support a more timely and viable option.

Networking. Networking has long been a successful strategy used by the private sector and should be acknowledged as an option for military leaders. Looking outside the military community can provide valuable alternative ethical perceptions, as well as access to new ideas and opinions.

9.0 CONCLUSION

The CF is a multi-purpose, combat-capable force prepared to defend Canada and Canadian interests, while contributing to international peace and security. Under the leadership of the CDS, the CF is currently immersed in a transformation process. This redefinition is aimed at enabling the Forces to wage a three-block war and recognizes the blurring lines that traditionally distinguish combatants from non-combatants. These changes necessitate examination of CF leader development and leadership philosophy.

151 Retrieved from http://www.hrma-agrh.gc.ca/veo-bve/implementationstrategiesforethicsprograms_e.asp#c7_Tableau_citoyenneté 26 March 2006 152 Horn and Harris (2001), pg 163


To understand leadership one must separate it from the concept of a single role and study it in the context of a relationship with others. Views on leadership greatness are often in conflict. For some, leaders build enduring greatness though a paradoxical blend of personal humility and professional will. Others contend that successful leaders can be self-absorbed, but must possess strategic intelligence that enables them to construct strategic vision and turn it into reality. Leadership is influencing people by providing purpose, direction and motivation. In a military context this influence, whether direct or indirect, should be distributed, satisfy the mission and improve the organization. In the author�s view, effective leadership in the CF is the application of both indirect and direct influence, through strategic intelligence and communication by any means, for the collective good to accomplish the mission in a professional and ethical manner.

Leadership encompasses a wide range of interactions including followers, superiors, external contacts, subordinates in other groups and peers. A dynamic social process that involves hierarchical and mutual persuasion, leaders must correct shortfalls associated with intervening variables and improve situational factors. A workable leadership model for the CF must be built on variables associated with the leader, individual/group, and situational factors, as well as primary and secondary outcomes. Hierarchies are a pervasive element of the CF that can create challenges for CF leaders. To effectively manage in a hierarchical environment, leaders must overcome organizational inefficiency, rigidity, and communication latency. Empowering followers is a start point for addressing these shortfalls. CF leaders in the current information dominated operational environment must learn to depend less on structure and hierarchical dominance.

Junior and middle leaders typically lead people using direct influence, where senior leaders focus on the long-term effectiveness by applying indirect influence to affect organizational performance. Common competencies for all three groups must relate to the entire leadership spectrum and can change depending on a variety of factors including organizational culture. CF culture demands several core competencies for successful leadership. First is duty, which in the CF expresses the leader�s obligation to adhere to the law of armed conflict while displaying sacrifice, dedication, honour, initiative and discipline in the execution of tasks. Leader integrity serves a moral significance that requires continuous vigilance. The challenge for all CF leaders is finding an acceptable balance across competing interests and values.

For CF followers to become invested in outcomes they must be empowered

by leaders. In the CF, empowerment is achieved through distributed leadership via the chain-of-command. Equally important for all CF leaders is adaptability, which is the synthesis of learning through change. CF leaders adapt by anticipating potential outcomes, avoiding isolationism and an over emphasis on internal issues. Given the increasing complexity and ambiguity of tasks, CF leaders must possess and demonstrate conceptual, technical and interpersonal knowledge and skill. As experience alone is insufficient, leaders must seek educational opportunities to obtain these skills. Effective CF leaders know their followers and the triggers


necessary to stimulate and motivate them to action. The value of comradeship, the preservation faith in a larger purpose cannot be underestimated.

The outcome of complex humanitarian, peacekeeping and war-fighting missions hinge on the decisions made by junior and middle leaders. Success under these demanding conditions requires personal courage and the ability to effectively delegate. Self-control and stability in the face of fear, along with a willingness to appropriately entrust authority to NCMs are critical CF leadership tenets. As CF leaders progress to middle and senior ranks, characteristics that take on greater importance include social aptitude, vision and moral courage. To improve, leaders should seek self-assessment of personality traits including agreeableness and openness to experience. Institutional leadership in the CF requires a visionary leader who has the moral courage to employ transactional, charismatic or transformational leadership as circumstances dictate.

Senior leaders require a broad perspective, indirect leadership skills and several unique attributes. Leaders at this level must possess problem-solving, analytical and critical thinking competencies, along with the intellectual capability to foster the development of advanced doctrine across the institution. Senior leaders cannot wait for the future, but through strategic anticipation proactively search for clues to what is next and adjust to address challenges. Finally, to succeed in the current bureaucratic environment, senior leaders must be cognizant and capable of addressing the impact of political, cultural and public affairs influences on plans and policy. These skills are a command responsibility that can provide key tactical and strategic advantage. The function of the military profession is the structured application of force to achieve the interests of the state. Thus it is the combination of CF organizational and professional responsibilities that form the basis of values and ethics for CF leaders. Military ethos represents the CF�s organizational culture and is the byproduct of core CF values, beliefs and ethics. The articulation and promulgation of the CF ethos is a core leadership mission. This mission entails socializing new members to accept the CF value system and developing and maintaining professional identity, as well as preserving CF heritage. To habituate organizational core values CF leaders must embrace both external and internal regulation in word and action. Giving the highest precedence to ethical principles and obligations in every action and decision is a fundamental requirement of every CF leader. To identify potential hazards, CF leaders should conduct continuous practical ethical education and risk assessment. The complexity of the current ethical environment highlights the importance of self-regulation in maintaining CF ethical obligations. In an interview following the Gulf War General Norman Schwartzkopf defined leadership as a combination of character and competence153. This notion is 153 Ibid, pg 144


reinforced by the analysis contained in this paper. Professional service in the CF is summarized as duty with honour. Leadership in the CF means standing for one�s values, taking action in the face of diversity, making decisions based on the best available information, and accepting responsibility for the outcome whether good or bad.


APPENDIX 1 Integrative CF Leadership Model154

154 CF Leadership Manual (2004), pg 121


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